| FORM
3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act
of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person
*
| C/O PIMCO |
| 650 NEWPORT CENTER DRIVE |
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
03/23/2017
|
3. Issuer Name
and
Ticker or Trading Symbol
PIMCO HIGH INCOME FUND
[
PHK
]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| Vice President |
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
| Remarks: |
| Exhibit List: Exhibit 24 - Power of Attorney |
|
/s/ Joel Reynolds, Attorney-in-Fact for Bijal Y. Parikh |
03/28/2017 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
SECTION 16
POWER OF ATTORNEY
Bijal Y. Parikh
The undersigned hereby constitutes and appoints the individuals named on
Schedule A attached hereto and as may be amended from time to time, or any of
them signing singly, with full power of substitution and resubstitution, the
undersigned's true and lawful attorney in fact to:
1. as may be required, prepare, execute in the undersigned's name and on the
undersigned's behalf, and submit to the United States Securities and Exchange
Commission (the "SEC") a Form ID, including amendments thereto, and any other
documents necessary or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports required by
Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or
regulation of the SEC;
2. execute for and on behalf of the undersigned, in the undersigned's capacity
as a Section 16 reporting person of the applicable registered investment
companies (and any successor companies) listed on Schedule A attached hereto, as
amended from time to time, and any other registered investment company
affiliated with or established by Pacific Investment Management Company LLC
("PIMCO"), for which the undersigned becomes a Section 16 reporting person
(each, a "Fund"), Forms 3, 4, and 5 in accordance with Section 16 of the
Securities Exchange Act of 1934, as amended, and the rules thereunder;
3. do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Form 3, 4, or 5,
complete and execute any amendment or amendments thereto, and timely file such
form with the SEC and any stock exchange or similar authority; and
4. take any other action of any type whatsoever in connection with the foregoing
which, in the opinion of such attorney in fact, may be of benefit to, in the
best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney in fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney in fact may approve in such
attorney in fact's discretion.
The undersigned hereby grants to each such attorney in fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution and
resubstitution or revocation, hereby ratifying and confirming all that such
attorney in fact, or such attorney in fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this Power of Attorney and the
rights and powers herein granted.
The undersigned acknowledges that the foregoing attorneys in fact, in serving in
such capacity at the request of the undersigned, are not assuming, nor is any
Fund assuming, any of the undersigned's responsibilities to comply with Section
16 of the Securities Exchange Act of 1934, as amended.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by any Fund,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys in fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 21st day of March, 2017.
/s/ Bijal Y. Parikh
Bijal Y. Parikh
SCHEDULE A
FUND NAME AND SYMBOL
1. PCM FUND, INC. (PCM)
2. PIMCO CALIFORNIA MUNICIPAL INCOME FUND (PCQ)
3. PIMCO CALIFORNIA MUNICIPAL INCOME FUND II (PCK)
4. PIMCO CALIFORNIA MUNICIPAL INCOME FUND III (PZC)
5. PIMCO CORPORATE & INCOME STRATEGY FUND (PCN)
6. PIMCO CORPORATE & INCOME OPPORTUNITY FUND (PTY)
7. PIMCO DYNAMIC INCOME FUND (PDI)
8. PIMCO DYNAMIC CREDIT & MORTGAGE INCOME FUND (PCI)
9. PIMCO INCOME STRATEGY FUND (PFL)
10. PIMCO INCOME STRATEGY FUND II (PFN)
11. PIMCO GLOBAL STOCKSPLUS & INCOME FUND (PGP)
12. PIMCO HIGH INCOME FUND (PHK)
13. PIMCO INCOME OPPORTUNITY FUND (PKO)
14. PIMCO MUNICIPAL INCOME FUND (PMF)
15. PIMCO MUNICIPAL INCOME FUND II (PML)
16. PIMCO MUNICIPAL INCOME FUND III (PMX)
17. PIMCO NEW YORK MUNICIPAL INCOME FUND (PNF)
18. PIMCO NEW YORK MUNICIPAL INCOME FUND II (PNI)
19. PIMCO NEW YORK MUNICIPAL INCOME FUND III (PYN)
20. PIMCO STRATEGIC INCOME FUND, INC. (RCS)
21. PIMCO FLEXIBLE CREDIT INCOME FUND (PFLEX)
INDIVIDUALS APPOINTED AS ATTORNEY-IN-FACT,
WITH FULL POWER OF SUBSTITUTION AND RESUBSTITUTION
1. Youse Guia, Chief Compliance Officer of the Funds and Executive Vice
President, Deputy Chief Compliance Officer of PIMCO
2. Jennifer Durham, Managing Director, Chief Compliance Officer of PIMCO
3. Richard Froio, Senior Vice President, Deputy Chief Compliance Officer of
PIMCO
4. Joshua D. Ratner, Vice President, Secretary, Chief Legal Officer of the Funds
and Executive Vice President, Senior Counsel of PIMCO
5. Joel Reynolds, Senior Vice President, Senior Compliance Officer of PIMCO
6. Ryan Leshaw, Senior Vice President, Senior Counsel of PIMCO
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