8-K
PIMCO CORPORATE & INCOME OPPORTUNITY FUND (PTY)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event reported) September 26, 2023
PIMCO Corporate & Income Opportunity Fund
(Exact Name of Registrant as Specified in Its Charter)
Massachusetts
(State or Other Jurisdiction of Incorporation)
| 811-21238 | 46-6121513 |
|---|---|
| (Commission<br> <br>File Number) | (IRS Employer<br>Identification No.) |
| 1633 Broadway, New York, NY | 10019 |
| --- | --- |
| (Address of Principal Executive Offices) | (Zip Code) |
(844) 337-4626
(Registrant’s Telephone Number, Including Area Code)
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|---|---|
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| --- | --- |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| --- | --- |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| --- | --- |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading<br>Symbol(s) | Name of each exchange<br> <br>on which registered |
|---|---|---|
| Common shares | PTY | New York Stock Exchange |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 8.01 | Other Events. |
|---|
Effective October 27, 2023, the Fund’s investment guideline limiting the Fund’s investments in illiquid investments to 20% of the Fund’s total assets is removed. The supplement to the Fund’s prospectus and statement of additional information disclosing this change is attached hereto as Exhibit 99.1.
| Item 9.01 | Financial Statements and Exhibits. |
|---|
(d) Exhibits
| 99.1 | Supplement, dated September 26, 2023 |
|---|
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| PIMCO Corporate & Income Opportunity Fund | |
|---|---|
| By: | /s/ Ryan G. Leshaw |
| Name: | Ryan G. Leshaw |
| Title: | Chief Legal Officer |
Date: September 26, 2023
EX-99.1
PIMCO CORPORATE & INCOME OPPORTUNITY FUND
(the “Fund”)
Supplement dated September 26, 2023 to the Fund’s Prospectus and Statement of Additional
Information dated November 23, 2020, each as supplemented from time to time
(respectively, the “Prospectus” and the “SAI”)
Effective October 27, 2023, the Fund’s investment guideline limiting the Fund’s investments in illiquid investments to 20%of the Fund’s total assets is removed. Accordingly, effective as of that date, (i) the second paragraph of the “Portfolio Contents” section on the cover pages of the Prospectus; (ii) the sixth paragraph of the“Prospectus Summary – Portfolio Contents” and “Portfolio Contents” sections of the Prospectus; and (iii) the first sentence of the first paragraph of the “Investment Objective and Policies – IlliquidInvestments” section of the SAI are deleted and replaced with the following:
The Fund may invest without limit in illiquid investments.
In addition, effective October 27, 2023, the last sentence of the first paragraph of the “Principal Risks ofthe Fund – Liquidity Risk” section of the Prospectus is deleted and replaced with the following:
In such cases, the Fund, due to the difficulty in purchasing and selling such securities or instruments, may be unable to achieve its desired level of exposure to a certain sector.
Investors Should Retain This Supplement for Future Reference
PTY_SUPP2_092623