Amended Statement of Beneficial Ownership (3/a)
February 12 2020 - 6:22PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MURATA ALFRED T |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/29/2014
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3. Issuer Name and Ticker or Trading Symbol
PIMCO Dynamic Credit & Mortgage Income Fund [PCI]
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(Last)
(First)
(Middle)
C/O PIMCO, 650 NEWPORT CENTER DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) ___X___ Other (specify below)
/ SEE REMARKS |
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(Street)
NEWPORT BEACH, CA 92660
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
2/7/2014
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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) |
| COMMON STOCK | 4000 | I (1) | BY 401(K) PLAN |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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: |
| (1) | This Form 3 is amended solely to clarify that the shares previously reported as directly owned by the Reporting Person are held indirectly through a 401(k) plan. |
Remarks:
Pacific Investment Management Company LLC ("PIMCO") is the investment adviser of the Issuer. The Reporting Person is a Portfolio Manager for this Issuer at PIMCO. Exhibit List: Exhibit 24 - Power of Attorney. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
MURATA ALFRED T
C/O PIMCO
650 NEWPORT CENTER DRIVE
NEWPORT BEACH, CA 92660 |
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| SEE REMARKS |
Signatures
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| /s/ Kevin Van Gorder, Attorney-in-Fact for Alfred T. Murata | | 2/12/2020 |
| **Signature of Reporting Person | Date |
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