Filing Details

Accession Number:
0001209191-20-005550
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-01-30 16:48:39
Reporting Period:
2020-01-29
Accepted Time:
2020-01-30 16:48:39
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1181504 Pimco California Municipal Income Fund Iii PZC () 161624050
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1764108 Matthew Thomas Buffington C/O Pimco
650 Newport Center Drive
Newport Beach CA 92660
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Auction Rate Preferred Shares Disposition 2020-01-29 14 $22,000.00 0 No 4 S Indirect By Dryden Capital Fund, LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Dryden Capital Fund, LP
Footnotes
  1. Represents 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.