PFL · Pimco Income Strategy Fund · Insider Trading
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2024-04-17 | UBS Group AG |
10% Owner |
Other↓
Filing footnotes — Auction Preferred Stock (Indirect)
CUSIP Nos. 72201H207, 72201H306, 72201H405 96% of par This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis. This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients. |
Auction Preferred Stock
(I)
|
355 |
| 2023-12-11 | Vandecruze Grace |
Director |
Buy↑
Filing footnotes — COMMON SHARES (Indirect)
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.09 to $8.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Held through Grace Global Capital LLC. |
COMMON SHARES
(I)
|
12,345 |
| 2023-09-18 | BANK OF AMERICA CORP /DE/ |
10% Owner |
Other↓
Filing footnotes — Series W Auction-Rate Preferred Shares (Indirect)
CUSIP 72201H306 The shares were purchased by the Issuer per the tender offer statement on Schedule TO filed by PIMCO INCOME STRATEGY FUND on August 15, 2023. The Auction Rate Preferred Stocks reported in Table I represent shares beneficially owned by Bank of America N.A. ("BANA"). BANA is a wholly owned subsidiary of Bank of America Corporation. |
Series W Auction-Rate Preferred Shares
(I)
|
464 |
| 2023-09-18 | BANK OF AMERICA CORP /DE/ |
10% Owner |
Other↓
Filing footnotes — Series T Auction-Rate Preferred Shares (Indirect)
CUSIP 72201H207 The shares were purchased by the Issuer per the tender offer statement on Schedule TO filed by PIMCO INCOME STRATEGY FUND on August 15, 2023. The Auction Rate Preferred Stocks reported in Table I represent shares beneficially owned by Bank of America N.A. ("BANA"). BANA is a wholly owned subsidiary of Bank of America Corporation. |
Series T Auction-Rate Preferred Shares
(I)
|
588 |
| 2023-09-18 | BANK OF AMERICA CORP /DE/ |
10% Owner |
Other↓
Filing footnotes — Series TH Auction-Rate Preferred Shares (Indirect)
CUSIP 72201H405 The shares were purchased by the Issuer per the tender offer statement on Schedule TO filed by PIMCO INCOME STRATEGY FUND on August 15, 2023. The Auction Rate Preferred Stocks reported in Table I represent shares beneficially owned by Bank of America N.A. ("BANA"). BANA is a wholly owned subsidiary of Bank of America Corporation. |
Series TH Auction-Rate Preferred Shares
(I)
|
351 |