SEC Form 3 · accession 0001209191-19-003569
PIMCO CALIFORNIA MUNICIPAL INCOME FUND III · PZC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Matthew Buffington
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 14, 2019 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001181504
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Auction Rate Preferred SharesF1 | holding | — | — | — | 14 | I | By Dryden Capital Fund, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents Auction Rate Preferred Shares held by Dryden Capital Fund, LP (the "Fund"). Dryden Capital LLC is the investment adviser of the Fund, and Dryden Capital GP, LLC is the general partner of the Fund. Mr. Buffington is the sole portfolio manager at Dryden Capital LLC and the managing member of Dryden Capital GP, LLC. Mr. Buffington disclaims any beneficial ownership of any of the Issuer's securities reported herein except to the extent of his pecuniary interest therein.
Remarks
Exhibit List: Exhibit 24 - Power of Attorney