Basic Stats
| LEI | 549300WT3ICVH2Z06O49 |
| CIK | 1214935 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Virtus Convertible & Income Fund
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). ☒ Defi |
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| April 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). ☒ Def |
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| June 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Virtus Convertible & Income Fund (Name of Issuer) Series A Mandatory Redeemable Preferred Shares Series B Mandatory Redeemable Preferred Shares (Title of Class of Securities) BME5PHDY2 (Series A) BME5PHDW6 (Series B) (CUSIP Number) May 31, 2023 (Date of E |
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| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)). ☒ Def |
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| February 14, 2023 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION EX-99 2 boa-poa2.htm BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Kelvin Kwok, Tolu Tade, Andres Ortiz Custodio, Frank Lui, James Todd, Zainab Tarteel, Hannah Chae and Monica Yako as an attorney-in-fact for the Corporation acting for the Corporation and in the Corpora |
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| February 14, 2023 |
NCV / AGIC Convertible & Income Fund / BANK OF AMERICA CORP /DE/ Passive Investment SC 13G/A 1 doc1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 01)* Virtus Convertible & Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 92838X102 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 03)* Virtus Convertible & Income Fund (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 018828 (CUSIP Number) January 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 10, 2023 |
EX-99.01 2 jfa1.htm JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (incl |
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| February 10, 2023 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION EX-99.02 3 boa-poa.htm BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Kelvin Kwok, Tolu Tade, Andres Ortiz Custodio, Frank Lui, James Todd, Zainab Tarteel, Hannah Chae and Monica Yako as an attorney-in-fact for the Corporation acting for the Corporation and in the Corpo |
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| December 12, 2022 |
JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. |
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| December 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 02)* Virtus Convertible & Income Fund (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 018828 (CUSIP Number) November 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| December 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7) Virtus Convertible & Income Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 92838X201 92838X300 92838X409 92838X508 92838X607 (CUSIP Number) November 3, 2022 (Date of Event Which Requires Filing of this Statement) Check the ap |
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| November 4, 2022 |
Exhibit 99.(a)(1)(ix) News Release Virtus Convertible & Income Fund, Virtus Convertible & Income Fund II Announce Final Results of ARPS Tender Offers NCZ declares October distribution; starts process to pay previously declared common share distribution HARTFORD, CT, November 3, 2022 ?Virtus Convertible & Income Fund (NYSE: NCV) and Virtus Convertible & Income Fund II (NYSE: NCZ) (each, a ?Fund? an |
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| November 4, 2022 |
SC TO-I/A 1 tm2229788d1sctoia.htm SC TO-I/A As filed with the Securities and Exchange Commission on November 4, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act Of 1934 Amendment No. 1 Virtus Convertible & Income Fund (Name of Subject Company (Issuer)) Virtus Convertible |
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| October 3, 2022 |
Exhibit 99.(a)(1)(viii) News Release Virtus Convertible & Income Fund, Virtus Convertible & Income Fund II Commence Tender Offers for Outstanding Auction Rate Preferred Shares HARTFORD, CT, October 3, 2022 ?Virtus Convertible & Income Fund (NCV) and Virtus Convertible & Income Fund II (NCZ) (each, a ?Fund? and, together, the ?Funds?), announced that each Fund today commenced a voluntary tender off |
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| October 3, 2022 |
Exhibit 99.(a)(1)(v) Instructions for Withdrawal of Previously Tendered Preferred Shares of Virtus Convertible & Income Fund (the ?Fund?) If you tendered to the Fund, a Massachusetts business trust registered under the Investment Company Act of 1940, in connection with the offer by the Fund to purchase for cash up to 100% of its outstanding preferred shares of beneficial interest, par value $0.000 |
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| October 3, 2022 |
Exhibit 99.(a)(1)(iii) Offer by Virtus Convertible & Income Fund (the ?Fund?) to Purchase for Cash Up To 100% of Its Outstanding Preferred Shares (Virtus Convertible & Income Fund: Auction-Rate Preferred Shares Series A, Series B, Series C, Series D and Series E) [xx, 2022] To Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees: We have been appointed to act as Information Agent |
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| October 3, 2022 |
Exhibit 99.(a)(1)(vi) NOTICE OF GUARANTEED DELIVERY To Tender Preferred Shares Of Virtus Convertible & Income Fund (the ?Fund?) Pursuant to the Offer to Purchase Dated October 3, 2022 This form, or a form substantially equivalent to this form, must be used to accept the Offer (as defined in the Letter of Transmittal), upon the terms and subject to the conditions set forth in the Offer Documents (a |
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| October 3, 2022 |
Exhibit 99.(a)(1)(i) Offer by VIRTUS CONVERTIBLE & INCOME FUND (the ?Fund?) To Purchase Up to 100% of Its Outstanding Auction Rate Preferred Shares (Virtus Convertible & Income Fund: Auction Rate Preferred Shares Series A, Series B, Series C, Series D and Series E) THE FUND?S OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON November 1, 2022, UNLESS THE OFFER IS EXTENDED |
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| October 3, 2022 |
EX-FILING FEES 10 tm2227013d1ex-fillingfees.htm EX-FILING FEES EX-FILING FEES Calculation of Filing Fee Tables SC TO-I (Form Type) Virtus Convertible & Income Fund (Exact Name of Registrant as Specified in its Charter) Table 1 to Paragraph (a)(7) Transaction Valuation Fee rate Amount of Filing Fee Fees to Be Paid $ 218,697,862.50 $ 110.2 $ 24,100.50 Fees Previously Paid N/A 0.0 Total Transaction V |
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| October 3, 2022 |
Exhibit 99.(a)(1)(vii) TENDER OFFER AGREEMENT This Agreement (?Agreement?) is made and entered into as of the 19th day of September, 2022, by and among Virtus Convertible & Income Fund (?NCV?), Virtus Convertible & Income Fund II (?NCZ? and, together with NCV, each, a ?Fund? and, together, the ?Funds?), Virtus Investment Advisers, Inc. (?Virtus? and, together with the Funds, the ?Fund Parties?) an |
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| October 3, 2022 |
Exhibit 99.(a)(1)(iv) Offer by Virtus Convertible & Income Fund (the ?Fund?) to Purchase for Cash Up To 100% of Its Outstanding Preferred Shares (Virtus Convertible & Income Fund: Auction-Rate Preferred Shares Series A, Series B, Series C, Series D and Series E) [xx, 2022] To Our Clients: Enclosed for your consideration is the offer to purchase dated October 3, 2022 (the ?Offer to Purchase?) in co |
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| October 3, 2022 |
Exhibit 99.(a)(1)(ii) LETTER OF TRANSMITTAL To Tender Preferred Shares (Designated Auction-Rate Preferred Shares Series A, Series B, Series C, Series D and Series E) of Virtus Convertible & Income Fund Pursuant to the Offer to Purchase Dated October 3, 2022 THE OFFER AND WITHDRAWAL RIGHTS EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON NOVEMBER 1, 2022, UNLESS THE OFFER IS EXTENDED. The Depositary for |
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| October 3, 2022 |
As filed with the Securities and Exchange Commission on October 3, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 28, 2022 |
Press Release issued by the Fund dated September 28, 2022 Exhibit 99.1 News Release Virtus Convertible & Income Fund, Virtus Convertible & Income Fund II Announce Tender Offers for Outstanding Auction Rate Preferred Shares HARTFORD, CT, September 28, 2022 ? Virtus Convertible & Income Fund (NCV) and Virtus Convertible & Income Fund II (NCZ) (each, a ?Fund? and, together, the ?Funds?), announced today that each Fund will commence a voluntary tender offer |
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| September 28, 2022 |
SC TO-C 1 tm2226846d1sctoc.htm SC TO-C As filed with the Securities and Exchange Commission on September 28, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act Of 1934 Virtus Convertible & Income Fund (Name of Subject Company (Issuer)) Virtus Convertible & Income Fund (Nam |
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| September 9, 2022 |
DEFA14A 1 tm2224936-2defa14a.htm VIRTUS CLOSED-END FUNDS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the C |
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| September 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| August 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| August 10, 2022 |
DEFA14A 1 tm2221546-7defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only ( |
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| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| August 4, 2022 |
DEF 14A 1 tm2221546-2def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only ( |
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| July 22, 2022 |
PRE 14A 1 tm2221546d1pre14a.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission |
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| June 24, 2022 |
VIRTUS ALLIANZGI Convertible & Income Fund SCHEDULE OF INVESTMENTS (Unaudited) April 30, 2022 VIRTUS ALLIANZGI Convertible & Income Fund SCHEDULE OF INVESTMENTS (Unaudited) April 30, 2022 ($ reported in thousands) Par Value Value Corporate Bonds and Notes—55. |
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| May 31, 2022 |
DEF 14A 1 tm2217093d1def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (a |
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| January 31, 2022 |
NCV / AGIC Convertible & Income Fund / BANK OF AMERICA CORP /DE/ Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. N/A)* Virtus AllianzGI Convertible & Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 92838X102 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| January 25, 2022 |
VIRTUS AllianzGI Convertible & Income Fund SCHEDULE OF INVESTMENTS (Unaudited) November 30, 2021 VIRTUS AllianzGI Convertible & Income Fund SCHEDULE OF INVESTMENTS (Unaudited) November 30, 2021 ($ reported in thousands) Par Value Value Corporate Bonds and Notes—48. |
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| July 29, 2021 |
Schedule of Investments Virtus AllianzGI Convertible & Income Fund May 31, 2021 (unaudited) Principal Amount (000s) Value CONVERTIBLE BONDS & NOTES—48. |
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| June 10, 2021 |
SC 13G 1 e13787-allianzgi.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* AllianzGI Diversified Income & Convertible Fund - (NAME OF ISSUER) Common Stock - (TITLE OF CLASS OF SECURITIES) 01883J108 - (CUSIP NUMBER) May 31, 2021 - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) C |
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| June 8, 2021 |
DEF 14A 1 tm2113685d2def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (a |
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| February 12, 2021 |
DEFA14A 1 d107836ddefa14a.htm FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only |
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| February 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ☐ Def |
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| February 4, 2021 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| February 1, 2021 |
BANK OF AMERICA, NATIONAL ASSOCIATION LIMITED POWER OF ATTORNEY EX-99.03 4 banalpoa.htm EX-99.03 EXHIBIT 99.3 BANK OF AMERICA, NATIONAL ASSOCIATION LIMITED POWER OF ATTORNEY BANK OF AMERICA, NATIONAL ASSOCIATION, a national association formed under the laws of the United States, (the “Association”), does hereby make, constitute, and appoint Michael Jentis as an attorney-in-fact for the Association acting for the Association and in the Association’s name, place |
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| February 1, 2021 |
EXHIBIT 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including a |
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| February 1, 2021 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY EX-99.02 3 baclpoa.htm EX-99.02 EXHIBIT 99.2 BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the “Corporation”), does hereby make, constitute, and appoint Michael Jentis as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation’s name, place and stead, for the Corporation’s use and benefit, to bind the Co |
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| February 1, 2021 |
Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 01)* AllianzGI Convertible & Income Fund (Name of Issuer) Auction Rate Preferred (Title of Class of Securities) 018828 (CUSIP Number) January 26, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ? Def |
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| January 25, 2021 |
HTML Schedule of Investments AllianzGI Convertible & Income Fund November 30, 2020 (unaudited) Principal Amount (000s) Value^ CONVERTIBLE BONDS & NOTES—43. |
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| January 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ? Def |
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| January 8, 2021 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| January 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ☐ Def |
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| January 4, 2021 |
DEFA14A 1 d52849ddefa14a.htm FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only |
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| December 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ? Def |
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| December 23, 2020 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| December 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ☐ Def |
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| December 4, 2020 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| November 30, 2020 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| November 27, 2020 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| November 16, 2020 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| November 9, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2 |
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| October 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ? Def |
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| October 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ☐ Def |
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| October 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2)) ? Def |
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| October 9, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6(e)(2 |
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| October 7, 2020 |
Form DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14(a)-6 |
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| September 22, 2020 |
DEFR14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 16, 2020 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru |
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| September 15, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 15, 2020 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM September 15, 2020 Angela C. Jaimes (617) 951-7591 [email protected] Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Attn: Min S. Oh Re: AllianzGI Artificial Intelligence & Technology Opportunities Fund ("AIO"), AllianzGI Convertible & |
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| September 14, 2020 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM September 14, 2020 Angela C. Jaimes (617) 951-7591 [email protected] Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, DC 20549 Attn: Min S. Oh Re: AllianzGI Artificial Intelligence & Technology Opportunities Fund (“AIO”), AllianzGI Convertible & |
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| September 2, 2020 |
SEC Transmittal letter September 1, 2020 BY EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549-1090 Re: AllianzGI Artificial Intelligence & Technology Opportunities Fund (“AIO”), AllianzGI Convertible & Income Fund (“NCV”), AllianzGI Convertible & Income Fund II (“NCZ”), AllianzGI Convertible & Income 2024 Target Term Fund (“CBH”), AllianzGI Diversified Income & Convertible Fund (“ACV”), AllianzGI Equity & Convertible Income Fund (“NIE”) and AllianzGI Dividend, Interest & Premium Strategy Fund (“NFJ”) (each a “Fund” and, collectively, the “Funds”) (File Nos. |
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| September 2, 2020 |
PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru |
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| July 16, 2020 |
FOR VALIDATION PURPOSES ONLY - [854511.TX] Schedule of Investments AllianzGI Convertible & Income Fund May 31, 2020 (unaudited) Principal Amount (000s) Value^ CONVERTIBLE BONDS & NOTES—39.1% Airlines—0.5% $3,445 Southwest Airlines Co., 1.25%, 5/1/25 $ 3,890,697 Apparel & Textiles—0.9% 14,740 Iconix Brand Group, Inc., 5.75%, 8/15/23 7,075,200 Auto Manufacturers—1.3% 3,560 Tesla, Inc., 2.00%, 5/15/2 |
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| July 7, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 d87246d8k.htm FORM 8-K 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): July 7, 2020 AllianzGI Convertible & Income Fund (Exact Name of Registrant as Specified in Its Charter) Massachusetts (State or Other Jurisdiction of Incorp |
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| July 7, 2020 |
EX-99.1 2 d87246dex991.htm EX-99.1 News Release AllianzGI and Virtus Investment Partners Announce Strategic Partnership in U.S. Retail Market Virtus to assume responsibility for AllianzGI’s U.S. open- and closed-end funds; AllianzGI’s Value Equity team to join Virtus NEW YORK & HARTFORD, CT, July 7, 2020 – Allianz Global Investors (AllianzGI), a leading global active asset manager, and Virtus Inve |
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| June 12, 2020 |
NCV CORRESPONDENCE ALLIANZGI CONVERTIBLE & INCOME FUND 1633 Broadway New York, NY 10019 June 12, 2020 United States Securities and Exchange Commission 100 F Street N. |
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| June 9, 2020 |
Form DEFR14A SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 4, 2020 |
- ALLIANZGI JOINT PROXY STATEMENT AllianzGI Joint Proxy Statement SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 1, 2020 |
SEC Response Letter ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* AllianzGI Convertible & Income Fund (Name of Issuer) Preferred (Title of Class of Securities) 018828707 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| January 15, 2020 |
HTML Schedule of Investments AllianzGI Convertible & Income Fund November 30, 2019 (unaudited) Principal Amount (000s) Value^ CORPORATE BONDS & NOTES—36. |
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| July 18, 2019 |
NCV / AGIC Convertible & Income Fund NPORT-EX - - HTML Schedule of Investments AllianzGI Convertible & Income Fund May 31, 2019 (unaudited) Principal Amount (000s) Value* CORPORATE BONDS & NOTES—37. |
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| June 3, 2019 |
NCV / AGIC Convertible & Income Fund DEF 14A - - ALLIANZGI JOINT PROXY STATEMENT DEF 14A 1 d713964ddef14a.htm ALLIANZGI JOINT PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AllianzGI Convertible & Income Fund (Name of Issuer) Preferred (Title of Class of Securities) 018828707 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| January 25, 2019 |
Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including a |
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| January 25, 2019 |
NCV / AGIC Convertible & Income Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* AllianzGI Convertible & Income Fund (Name of Issuer) Auction Rate Preferred Shares (Title of Class of Securities) 018828 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| January 24, 2019 |
Section 302 Certifications Exhibit 99CERT CERTIFICATIONS I, Thomas J. Fuccillo, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| January 24, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21284 AllianzGI Convertible & Income Fund (Exact name of registrant as specified in charter) 1633 Broadway, New York, NY 10019 (Address of principal executive offices) (Zip code) Scott Whisten 16 |
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| September 14, 2018 |
NCV / AGIC Convertible & Income Fund ALLIANZGI CONVERTIBLE & INCOME FUND 8-A12B 1 d617555d8a12b.htm ALLIANZGI CONVERTIBLE & INCOME FUND SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 AllianzGI Convertible & Income Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 54-6527805 (State of Incorporation or Org |
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| September 14, 2018 |
Underwriting Agreement $100,000,000 ALLIANZGI CONVERTIBLE & INCOME FUND 4,000,000 Shares of 5. |
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| September 14, 2018 |
Amended and Restated Investment Management Agreement AMENDED AND RESTATED INVESTMENT MANAGEMENT AGREEMENT AllianzGI Convertible & Income Fund This Amended and Restated Investment Management Agreement, dated October 1,2016 (the “Agreement”), by and between AllianzGI Convertible & Income Fund (formerly known as Nicholas-Applegate Convertible & Income Fund), a Massachusetts business trust (the “Fund”), and Allianz Global Investors U. |
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| September 14, 2018 |
Statement of Preferences with Respect to Cumulative Preferred Shares. Statement of Preferences for Cumulative Preferred Shares ALLIANZGI CONVERTIBLE & INCOME FUND STATEMENT ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF CUMULATIVE PREFERRED SHARES AllianzGI Convertible & Income Fund (the “Trust”), a business trust organized under the laws of the Commonwealth of Massachusetts certifies that: RECITALS FIRST: The Board of Trustees of the Trust (together with any |
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| September 14, 2018 |
Fifth Amended and Restated Bylaws FIFTH AMENDED AND RESTATED BYLAWS OF ALLIANZGI CONVERTIBLE & INCOME FUND (Amended and Restated as of September 13, 2018) ARTICLE 1 AGREEMENT AND DECLARATION OF TRUST AND PRINCIPAL OFFICE 1. |
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| September 14, 2018 |
Form of Addendum to Transfer Agency and Registrar Services Agreement FORM OF ADDENDUM TO TRANSFER AGENCY AND REGISTRAR SERVICES AGREEMENT This Addendum (this “Addendum”), is made as of September , 2018, by and between AllianzGI Convertible & Income Fund, a Massachusetts business Trust (the “Company”) and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (“AST”). |
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| September 14, 2018 |
Ropes & Gray Securities Opinion ROPES & GRAY LLP |
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| September 14, 2018 |
NCV / AGIC Convertible & Income Fund ALLIANZGI CONVERTIBLE & INCOME FUND POS EX 1 d617539dposex.htm ALLIANZGI CONVERTIBLE & INCOME FUND As filed with the Securities and Exchange Commission on September 14, 2018 1933 Act File No. 333-225293 1940 Act File No. 811-21284 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form N-2 (Check Appropriate Box or Boxes) REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. ☒ Post-Ef |
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| August 17, 2018 |
NCV / AGIC Convertible & Income Fund CORRESP CORRESP ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| August 15, 2018 |
NCV / AGIC Convertible & Income Fund CORRESP CORRESP ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| August 15, 2018 |
NCV / AGIC Convertible & Income Fund CORRESP Acceleration Request ALLIANZGI CONVERTIBLE & INCOME FUND 1633 Broadway New York, NY 10019 August 15, 2018 United States Securities and Exchange Commission 100 F Street N. |
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| August 3, 2018 |
NCV / AGIC Convertible & Income Fund CORRESP CORRESP ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| August 1, 2018 |
Press Release Press release July 31, 2018 AllianzGI Convertible & Income Fund and AllianzGI Convertible & Income Fund II Announce Final Results of Tender Offers for Outstanding Auction Rate Preferred Shares NEW YORK, July 31, 2018 - Allianz Global Investors U. |
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| August 1, 2018 |
NCV / AGIC Convertible & Income Fund ALLIANZGI CONVERTIBLE & INCOME FUND AllianzGI Convertible & Income Fund As filed with the Securities and Exchange Commission on August 1, 2018 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 28, 2018 |
NCV / AGIC Convertible & Income Fund ALLIANZGI CONVERTIBLE & INCOME FUND SC TO-I/A 1 d590124dsctoia.htm ALLIANZGI CONVERTIBLE & INCOME FUND As filed with the Securities and Exchange Commission on July 27, 2018 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act Of 1934 Amendment No. 1 AllianzGI Convertible & Income Fund (Name of Subject Company (Issuer)) AllianzGI |
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| July 28, 2018 |
EX-99.(A)(5)(II) 2 d590124dex99a5ii.htm PRESS RELEASE Exhibit (a)(5)(ii) Press release July 27, 2018 AllianzGI Convertible & Income Fund and AllianzGI Convertible & Income Fund II Announce Extension of Tender Offers for Outstanding Auction Rate Preferred Shares NEW YORK, July 27, 2018—Allianz Global Investors U.S. LLC (“AllianzGI U.S.”), the investment manager of AllianzGI Convertible & Income Fun |
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| July 20, 2018 |
Section 302 Certifications Exhibit 99CERT CERTIFICATIONS I, Thomas J. Fuccillo, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| July 20, 2018 |
AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 20, 2018 |
NCV / AGIC Convertible & Income Fund CORRESP CORRESP July 20, 2018 Robert M. Schmidt T: 617-951-7831 F: 617-235-9425 [email protected] VIA EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attn: Mr. David L. Orlic, Esq. Re: AllianzGI Convertible & Income Fund (File Nos. 333-225293 and 811-21284) and AllianzGI Convertible & Income Fund II (File Nos. 333-225290 and 811 |
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| June 27, 2018 |
EX-99.(A)(1)(II) 3 d840271dex99a1ii.htm FORM OF LETTER OF TRANSMITTAL Exhibit (a)(1)(ii) LETTER OF TRANSMITTAL To Tender Preferred Shares (Designated Auction-Rate Preferred Shares Series A, Series B, Series C, Series D and Series E) of AllianzGI Convertible & Income Fund Pursuant to the Offer to Purchase Dated June 28, 2018 THE OFFER AND WITHDRAWAL RIGHTS EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, O |
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| June 27, 2018 |
EX-99.(D)(II) 10 d840271dex99dii.htm TENDER OFFER AGREEMENT, DATED JUNE 19, 2018 Exhibit (d)(ii) TENDER OFFER AGREEMENT This Agreement (“Agreement”) is made and entered into as of the 19th day of June, 2018, by and among AllianzGI Convertible & Income Fund (“NCV”), AllianzGI Convertible & Income Fund II (“NCZ” and, together with NCV, each, a “Fund” and, together, the “Funds”), Allianz Global Inves |
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| June 27, 2018 |
Form of Letter to Brokers, Dealers, Commercial Banks, Trust Companies Exhibit (a)(1)(iv) Offer by Each of AllianzGI Convertible & Income Fund AllianzGI Convertible & Income Fund II (each, a “Fund” and, collectively, the “Funds”) to Purchase for Cash Up To 100% of Its Outstanding Preferred Shares (AllianzGI Convertible & Income Fund: Auction-Rate Preferred Shares Series A, Series B, Series C, Serie |
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| June 27, 2018 |
Offer to Purchase Table of Contents Exhibit (a)(1)(i) Offer by Each of ALLIANZGI CONVERTIBLE & INCOME FUND ALLIANZGI CONVERTIBLE & INCOME FUND II (each, a “Fund”) To Purchase Up to 100% of Its Outstanding Auction Rate Preferred Shares (AllianzGI Convertible & Income Fund: Auction Rate Preferred Shares Series A, Series B, Series C, Series D and Series E) (AllianzGI Convertible & Income Fund II: Auction Rate Preferred Shares Series A, Series B, Series C, Series D and Series E) EACH FUND’S OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P. |
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| June 27, 2018 |
NCV / AGIC Convertible & Income Fund ALLIANZGI CONVERTIBLE & INCOME FUND SC TO-I 1 d840271dsctoi.htm ALLIANZGI CONVERTIBLE & INCOME FUND As filed with the Securities and Exchange Commission on June 28, 2018 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act Of 1934 AllianzGI Convertible & Income Fund (Name of Subject Company (Issuer)) AllianzGI Convertible & Inco |
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| June 27, 2018 |
Tender Offer Agreement, dated June 18, 2018 Exhibit (d)(i) TENDER OFFER AGREEMENT This Agreement (“Agreement”) is made and entered into as of the 18th day of June, 2018, by and among AllianzGI Convertible & Income Fund (“NCV”), AllianzGI Convertible & Income Fund II (“NCZ” and, together with NCV, each, a “Fund” and, together, the “Funds”), Allianz Global Investors U. |
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| June 27, 2018 |
EX-99.(A)(5)(I) 8 d840271dex99a5i.htm PRESS RELEASE ISSUED ON JUNE 27, 2018 Exhibit (a) (5) (i) Press Release AllianzGI Convertible & Income Fund and AllianzGI Convertible & Income Fund II Commence Tender Offers for Outstanding Auction Rate Preferred Shares NEW YORK, June 27, 2018 - Allianz Global Investors U.S. LLC (“AllianzGI U.S.”), the investment manager of AllianzGI Convertible & Income Fund |
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| June 27, 2018 |
EX-99.(A)(1)(V) 6 d840271dex99a1v.htm FORM OF LETTER TO CLIENTS FOR USE BY BROKERS, DEALERS, COMMERCIAL BANKS Exhibit (a)(1)(v) Offer by Each of AllianzGI Convertible & Income Fund AllianzGI Convertible & Income Fund II (each, a “Fund,” and collectively, the “Funds”) to Purchase for Cash Up To 100% of Its Outstanding Preferred Shares (AllianzGI Convertible & Income Fund: Auction-Rate Preferred Sha |
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| June 27, 2018 |
EX-99.(A)(1)(VI) 7 d840271dex99a1vi.htm FORM OF NOTICE OF WITHDRAWAL Exhibit (a)(1)(vi) Instructions for Withdrawal of Previously Tendered Preferred Shares of AllianzGI Convertible & Income Fund or AllianzGI Convertible & Income Fund II (each, a “Fund” and, collectively, the “Funds”) If you tendered to either of the Funds, each a Massachusetts business trust registered under the Investment Company |
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| June 27, 2018 |
EX-99.(A)(1)(III) 4 d840271dex99a1iii.htm FORM OF NOTICE OF GUARANTEED DELIVERY Exhibit (a)(1)(iii) NOTICE OF GUARANTEED DELIVERY To Tender Preferred Shares Of AllianzGI Convertible & Income Fund or AllianzGI Convertible & Income Fund II (each, a “Fund” and, collectively, the “Funds”) Pursuant to the Offer to Purchase Dated June 28, 2018 This form, or a form substantially equivalent to this form, |
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| June 20, 2018 |
EX-99.1 2 d618413dex991.htm PRESS RELEASE ISSUED BY THE FUND DATED JUNE 20, 2018 Press Release AllianzGI Convertible & Income Fund and AllianzGI Convertible & Income Fund II Announce Tender Offers for Outstanding Auction Rate Preferred Shares NEW YORK, June 20, 2018 - Allianz Global Investors U.S. LLC (“AllianzGI U.S.”), the investment manager of AllianzGI Convertible & Income Fund (NYSE: NCV) and |
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| June 20, 2018 |
NCV / AGIC Convertible & Income Fund ALLIANZGI CONVERTIBLE & INCOME FUND AllianzGI Convertible & Income Fund As filed with the Securities and Exchange Commission on June 20, 2018 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| June 4, 2018 |
NCV / AGIC Convertible & Income Fund ALLIANZGI JOINT PROXY STATEMENT AllianzGI Joint Proxy Statement SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| January 18, 2018 |
Section 302 Certifications Exhibit 99CERT CERTIFICATIONS I, Thomas J. Fuccillo, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| January 18, 2018 |
Allianzgi Convertible & Income Fund - ALLIANZGI CONVERTIBLE & INCOME FUND AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 20, 2017 |
Allianzgi Convertible & Income Fund - ALLIANZGI CONVERTIBLE & INCOME FUND AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 20, 2017 |
Section 302 Certifications Exhibit 99.302CERT CERTIFICATIONS I, Thomas J. Fuccillo, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such state |
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| June 1, 2017 |
AGIC Convertible & Income Fund ALLIANZGI JOINT PROXY STATEMENT AllianzGI Joint Proxy Statement SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 25, 2017 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results ex77c.htm AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results The Fund held its annual meeting of shareholders on June 30, 2016. Shareholders voted as indicated below: Convertible & Income: Affirmative Withheld Authority Re-election of Alan Rappaport*?Class I to serve until the annual meeting for the 2019-2020 fiscal year 10,024 590 Re-election of James A. Jacobson*?Class II to |
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| April 25, 2017 |
Report of Independent Registered Public Accounting Firm ex77b.htm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of AllianzGI Convertible & Income Fund In planning and performing our audit of the financial statements of AllianzGI Convertible & Income Fund (the "Fund") as of and for the year ended February 28, 2017, in accordance with the standards of the Public Company Accounting Oversight Board (Unite |
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| March 15, 2017 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM March 15, 2017 Justin Hebenstreit (415) 315-2344 [email protected] VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Mr. Jason Fox Re: Allianz Funds (Registration Nos. 033-36528 and 811-06161); Allianz Funds Multi-Strategy Trust (Registration Nos. 333- |
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| January 24, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21284 AllianzGI Convertible & Income Fund (Exact name of registrant as specified in charter) 1633 Broadway, New York, NY 10019 (Address of principal executive offices) (Zip code) Lawrence G. Alta |
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| January 24, 2017 |
Section 302 Certifications Exhibit 99.302CERT CERTIFICATIONS I, Thomas J. Fuccillo, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such state |
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| October 24, 2016 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results EX-99.77C VOTES 2 ex77c.htm EX77C AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results The Fund held its annual meeting of shareholders on June 30, 2016. Shareholders voted as indicated below: Convertible & Income: Affirmative Withheld Authority Re-election of Alan Rappaport*—Class I to serve until the annual meeting for the 2019-2020 fiscal year 10,024 590 Re-election of James A |
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| July 22, 2016 |
AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 22, 2016 |
EX-99.302CERT 2 d147445dex99302cert.htm SECTION 302 CERTIFICATIONS Exhibit 99.302CERT CERTIFICATIONS I, Thomas J. Fuccillo, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of |
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| May 20, 2016 |
AGIC Convertible & Income Fund ALLIANZGI JOINT PROXY STATEMENT AllianzGI Joint Proxy Statement SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 28, 2016 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 ex77b.htm EX77-B Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of AllianzGI Convertible & Income Fund In planning and performing our audit of the financial statements of AllianzGI Convertible & Income Fund (the "Fund") as of and for the year ended February 29, 2016, in accordance with the standards of the Public Company Acco |
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| April 28, 2016 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results ex77c.htm AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results The Fund held its annual meeting of shareholders on June 2, 2015. Common / Preferred shareholders voted as indicated below: Convertible & Income: Affirmative Withheld Authority Re-election of Deborah A. DeCotis—Class III to serve until the annual meeting for the 2018-2019 fiscal year 69,281,519 2,598,613 Election of F |
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| January 19, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21284 AllianzGI Convertible & Income Fund (Exact name of registrant as specified in charter) 1633 Broadway, New York, NY 10019 (Address of principal executive offices) (Zip code) Lawrence G. Alta |
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| January 19, 2016 |
Section 302 Certifications Exhibit 99.302CERT CERTIFICATIONS I, Julian Sluyters, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| October 26, 2015 |
EX-99.77Q1 OTHR EXHB 3 ex77q1.htm EX77Q-1 FOURTH AMENDED AND RESTATED BYLAWS OF ALLIANZGI CONVERTIBLE & INCOME FUND (Formerly Nicholas-Applegate Convertible & Income Fund) (Amended and Restated as of October 7, 2015) ARTICLE 1 AGREEMENT AND DECLARATION OF TRUST AND PRINCIPAL OFFICE 1.1. Principal Office of the Trust. A principal office of the Trust shall be located in New York, New York. The Trust |
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| October 26, 2015 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results EX-99.77C VOTES 2 ex77c.htm EX77C AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results June 5, 2015 The Fund held its annual meeting of shareholders on July 17, 2014. Common / Preferred shareholders voted as indicated below: Convertible & Income: Affirmative Withheld Authority Re-election of Deborah A. DeCotis—Class III to serve until the annual meeting for the 2018-2019 fiscal y |
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| July 23, 2015 |
EX-99.302CERT 2 d946111dex99302cert.htm SECTION 302 CERTIFICATIONS Exhibit 99.302CERT CERTIFICATIONS I, Julian Sluyters, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
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| July 23, 2015 |
AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 24, 2015 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results ex77c.htm AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results February 28, 2015 The Fund held its annual meeting of shareholders on July 17, 2014. Common / Preferred shareholders voted as indicated below: Convertible & Income: Affirmative Withheld Authority Re-election of Bradford K. Gallagher?Class II to serve until the annual meeting for the 2017-2018 fiscal year 72,880,749 2, |
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| April 24, 2015 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 ex77b.htm EX77B Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of AllianzGI Convertible & Income Fund In planning and performing our audit of the financial statements of AllianzGI Convertible & Income Fund (the "Fund") as of and for the year ended February 28, 2015, in accordance with the standards of the Public Company Accou |
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| April 23, 2015 |
AGIC Convertible & Income Fund ALLIANZ- MULTI FUNDS DEF 14A 1 d908500ddef14a.htm ALLIANZ- MULTI FUNDS SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the |
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| January 26, 2015 |
Allianzgi Convertible & Income Fund - ALLIANZGI CONVERTIBLE & INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21284 AllianzGI Convertible & Income Fund (Exact name of registrant as specified in charter) 1633 Broadway, New York, NY 10019 (Address of principal executive offices) (Zip code) Lawrence G. Alta |
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| January 26, 2015 |
Section 302 Certifications Exhibit 99.302CERT CERTIFICATIONS I, Julian Sluyters, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| December 1, 2014 |
NCV / AGIC Convertible & Income Fund / UBS Group AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* AllianzGI Convertible & Income Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 018828202 018828301 018828400 018828509 018828608 (CUSIP Number) November 28, 2014** (Date of Event which Requires Filing of this Stateme |
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| October 28, 2014 |
AllianzGI Convertible & Income Fund Changes in Investment Policy AllianzGI Convertible & Income Fund Changes in Investment Policy August 31, 2014 Changes in Investment Policy: Effective March 11, 2014, the Funds rescinded their non-fundamental investment policy to maintain a weighted average maturity typically ranging from five to ten years with respect to the portion of their portfolio allocated to income-producing convertible securities. |
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| October 28, 2014 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results EX-99.2C VOTING TRST 2 ncvex77c.htm NCV SHAREHOLDER MEETING RESULTS AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results August 31, 2014 The Fund held its annual meeting of shareholders on July 17, 2014. Common / Preferred shareholders voted as indicated below: Convertible & Income: Affirmative Withheld Authority Re-election of Bradford K. Gallagher—Class II to serve until the an |
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| July 25, 2014 |
PGWAX / AllianzGI Focused Growth Fund CORRESP - - Allianz Response Letter ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW. |
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| July 21, 2014 |
EX-99.302CERT 2 d756021dex99302cert.htm SECTION 302 CERTIFICATIONS Exhibit 99.302CERT CERTIFICATIONS I, Julian Sluyters, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the |
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| July 21, 2014 |
AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 17, 2014 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 25, 2014 |
Changes in Investment Policy – Convertible & Income Fund EX-99.77D POLICIES 4 ex77dinvestmentpolicy.htm NCV - CHANGES IN INVESTMENT POLICIES Changes in Investment Policy – Convertible & Income Fund Effective March 11, 2014, the Funds rescinded their non-fundamental investment policy to maintain a weighted average maturity typically ranging from five to ten years with respect to the portion of their portfolio allocated to income-producing convertible sec |
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| April 25, 2014 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results February 28, 2014 The Fund held its annual meeting of shareholders on July 17, 2013. |
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| April 25, 2014 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 ex77bauditorsletter.htm NCV - AUDITORS LETTER Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of AllianzGI Convertible & Income Fund April 23, 2014 In planning and performing our audit of the financial statements of AllianzGI Convertible & Income Fund (the "Fund") as of and for the year ended February 28, 2014, in accordance w |
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| February 13, 2014 |
NCV / AGIC Convertible & Income Fund / UBS AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be included in Statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) (Amendment No. 5) ARPS AGIC Convertible and Income Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 018828202 018828301 018828400 018828 |
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| January 21, 2014 |
Quarterly Schedule of Portfolio Holdings - ALLIANZGI CONVERTIBLE & INCOME FUND AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 21, 2014 |
Section 302 Certifications Exhibit 99.302CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statem |
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| October 25, 2013 |
AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results EX-99.2C VOTING TRST 2 meetingresults.htm SHAREHOLDER MEETING RESULTS AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results August 31, 2013 The Fund held its annual meeting of shareholders on July 17, 2013. Common / Preferred shareholders voted as indicated below: Convertible & Income: Affirmative Withheld Authority Re-election of Hans W. Kertess—Class I to serve until the annual |
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| July 22, 2013 |
Section 302 Certifications Exhibit 99.302CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of AllianzGI Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statem |
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| July 22, 2013 |
Quarterly Schedule of Portfolio Holdings - ALLIANZGI CONVERTIBLE & INCOME FUND AllianzGI Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 16, 2013 |
AMENDED AND RESTATED PORTFOLIO MANAGEMENT AGREEMENT AllianzGI Convertible & Income Fund EX-99.(G)(2) 2 d560775dex99g2.htm AMENDED AND RESTATED PORTFOLIO MANAGEMENT AGREEMENT AMENDED AND RESTATED PORTFOLIO MANAGEMENT AGREEMENT AllianzGI Convertible & Income Fund This Amended and Restated Portfolio Management Agreement, dated July 1, 2013 (the “Agreement”), by and between ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC (formerly known as PIMCO Advisors Fund Management LLC), a Delaware lim |
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| July 16, 2013 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.(N) 3 d560775dex99n.htm CONSENT OF REGISTRANT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANT CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated April 24, 2013, relating to the financial statements and financial highlights which appear in the February 28, 2013 Annual Report to |
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| July 16, 2013 |
- ALLIANZGI CONVERTIBLE & INCOME FUND AllianzGI Convertible & Income Fund Table of Contents As filed with the Securities and Exchange Commission on July 15, 2013 1933 Act File No. |
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| May 22, 2013 |
AllianzGI / PIMCO Funds SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 20, 2013 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.(N) 3 d531718dex99n.htm CONSENT OF REGISTRANT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANT CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated April 24, 2013, relating to the financial statements and financial highlights which appear in the February 28, 2013 Annual Report to |
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| May 20, 2013 |
- ALLIANZGI CONVERTIBLE & INCOME FUND POS 8C 1 d531718dpos8c.htm ALLIANZGI CONVERTIBLE & INCOME FUND Table of Contents As filed with the Securities and Exchange Commission on May 17, 2013 1933 Act File No. 333- 184077 1940 Act File No. 811- 21284 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-2 (Check appropriate box or boxes) REGISTRATION STATEMENT UNDER x THE SECURITIES ACT OF 1933 ¨ Pre-Effective Ame |
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| May 20, 2013 |
EX-99.(A)(3) 2 d531718dex99a3.htm AMENDMENT TO THE AMENDED AND RESTATED DECLARATION OF TRUST AGIC CONVERTIBLE & INCOME FUND AMENDMENT NO. 2 to THE AMENDED AND RESTATED DECLARATION OF TRUST The undersigned, being at least a majority of the duly elected and qualified Trustees of AGIC Convertible & Income Fund (the “Trust”), a Massachusetts business trust organized and existing under the laws of the |
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| April 26, 2013 |
AllianzGI Convertible & Income Fund AllianzGI Convertible & Income Fund Annual Shareholder Meeting Results The Fund held its annual meeting of shareholders on July 19, 2012. |
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| April 26, 2013 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 ncvauditorsletter.htm NCV - AUDITORS LETTER Report of Independent Registered Public Accounting Firm To the Board of Trustees and Stockholders of AllianzGI Convertible & Income Fund April 24, 2013 In planning and performing our audit of the financial statements of AllianzGI Convertible & Income Fund (the “Fund”) as of and for the year ended February 28, 2013, in accordance wit |
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| February 1, 2013 |
NCV / AGIC Convertible & Income Fund / UBS AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be included in Statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) (Amendment No.5) ARPS AGIC Convertible and Income Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 001190206 001190305 001190404 0011905 |
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| January 25, 2013 |
Quarterly Schedule of Portfolio Holdings - AGIC CONVERTIBLE & INCOME FUND N-Q 1 d464337dnq.htm AGIC CONVERTIBLE & INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21284 AGIC Convertible & Income Fund (Exact name of registrant as specified in charter) 1633 Broadway, New York, NY 10019 (Address of principal |
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| January 25, 2013 |
Section 302 Certifications Exhibit 99.302CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of AGIC Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements |
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| December 6, 2012 |
AGIC CONVERTIBLE & INCOME FUND UP TO 10,700,000 COMMON SHARES CAPITAL ON DEMAND™ SALES AGREEMENT EX-99.(H) 2 d449392dex99h.htm CAPITAL ON DEMAND SALES AGREEMENT WITH JONESTRADING AGIC CONVERTIBLE & INCOME FUND UP TO 10,700,000 COMMON SHARES CAPITAL ON DEMAND™ SALES AGREEMENT December 4, 2012 JONESTRADING INSTITUTIONAL SERVICES LLC 780 Third Avenue, 3rd Floor New York, NY 10017 Ladies and Gentlemen: AGIC Convertible & Income Fund, a Massachusetts business trust (formerly, Nicholas-Applegate Co |
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| December 6, 2012 |
- AGIC CONVERTIBLE & INCOME FUND As filed with the Securities and Exchange Commission on December 5, 2012 1933 Act File No. |
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| December 6, 2012 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Registrant's independent registered public accountant CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of our report dated April 24, 2012, relating to the financial statements and financial highlights which appear in the February 29, 2012 Annual Report to Shareholders of the AGIC Convertible & Income Fund, which are also incorporated by reference into the Registration Statement. |
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| November 28, 2012 |
AGIC Convertible & Income Fund ROPES & GRAY LLP ONE METRO CENTER 700 12TH STREET, NW, SUITE 900 WASHINGTON, DC 20005-3948 WWW. |
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| October 26, 2012 |
EX-99.77C VOTES 2 ncvshareholdervotingresults.htm NCV SHAREHOLDER MEETING RESULTS AGIC Convertible & Income Fund Annual Shareholder August 31, 2012 Meeting Results The Fund held its annual meeting of shareholders on July 19, 2012. Common/Preferred Shareholders voted as indicated below: Affirmative Withheld Authority Re-election of Deborah A. DeCotis – Class III to serve until the Annual Meeting fo |
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| October 26, 2012 |
ALLIANZ-SPONSORED CLOSED-END FUNDS TERMS AND CONDITIONS OF THE DIVIDEND REINVESTMENT PLAN EX-99.77Q1 OTHR EXHB 3 drip.htm DIVIDEND REINVESTMENT PLAN ALLIANZ-SPONSORED CLOSED-END FUNDS TERMS AND CONDITIONS OF THE DIVIDEND REINVESTMENT PLAN Holders of common shares of beneficial interest (the “Common Shares”) of each of the Allianz-sponsored closed-end investment companies listed on Appendix A hereto, as it may be amended from time to time (each a “Fund”), whose Common Shares are registe |
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| September 14, 2012 |
ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA 02199-3600 WWW.ROPESGRAY.COM September 14, 2012 Chetan Aras (617) 235-4814 [email protected] VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Mr. Chad Eskildsen Re: AGIC Convertible & Income Fund (File No. 811-21284); AGIC Convertible & Income Fund II (File No. 811-21338); AGIC Equity & |
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| July 24, 2012 |
Quarterly Schedule of Portfolio Holdings - AGIC CONVERTIBLE & INCOME FUND AGIC Convertible & Income Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 24, 2012 |
EX-99.(CERT) 2 d375072dex99cert.htm CERTIFICATIONS Exhibit 99.302CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of AGIC Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances unde |
|
| May 23, 2012 |
Pimco/Allianz Joint Proxy SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 26, 2012 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 ncvauditorsletter.htm NCV - AUDITORS LETTER Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of AGIC Convertible & Income Fund April 24, 2012 In planning and performing our audit of the financial statements of AGIC Convertible & Income Fund (the “Fund”) as of and for the year ended February 29, 2012, in accordance with the stan |
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| April 26, 2012 |
The Fund held its annual meeting of shareholders on July 20, 2011. Common/Preferred shareholders voted as indicated below: Withheld Convertible & Income: AffirmativeAuthority Election of Bradford K. Gallagher - Class II to serve until 2014 64,571,2861,871,232 Re-election of James A. Jacobson* - Class II to serve until 2014 10,470 98 Election of Deborah A. DeCotis - Class III to serve until 2012 64 |
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| April 26, 2012 |
ALLIANZ-SPONSORED CLOSED-END FUNDS TERMS AND CONDITIONS OF THE DIVIDEND REINVESTMENT PLAN Effective November 15, 2011 ALLIANZ-SPONSORED CLOSED-END FUNDS TERMS AND CONDITIONS OF THE DIVIDEND REINVESTMENT PLAN Holders of common shares of beneficial interest (the “Common Shares”) of each of the Allianz-sponsored closed-end investment companies listed on Appendix A hereto, as it may be amended from time to time (each a “Fund”), whose Common Shares are registered with the Agent (as defined below) (the “Registered Common Shareholders” or “Shareholders”), will automatically be enrolled (those so enrolled, the “Participants”) in the Fund’s Dividend Reinvestment Plan (the “Plan”) and are advised as follows with respect to each such Fund: 1. |
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| January 27, 2012 |
Quarterly Schedule of Portfolio Holdings - AGIC CONVERTIBLE & INCOME FUND AGIC Convertible & Income Fund OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response: 5. |
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| January 27, 2012 |
Certification pursuant to Section 302 Exhibit 99.302CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of AGIC Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such |
|
| January 24, 2012 |
NCV / AGIC Convertible & Income Fund / UBS AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* ARPS AGIC Convertible and Income Fund (Name of issuer) Auction Preferred Stock (Title of class of securities) 001190206 001190305 001190404 001190503 001190602 (CUSIP number(s)) December 31, 2011 (Date of event which requires filing of this stat |
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| October 25, 2011 |
Annual Shareholder Meeting Results Annual Shareholder Meeting Results The Fund held its annual meeting of shareholders on July 20, 2011. |
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| July 19, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response: 5. |
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| July 19, 2011 |
Exhibit 99.302 Cert CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of AGIC Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| June 16, 2011 |
def14a SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 25, 2011 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 acctletter.htm AUDIT LETTER 2-28-11 Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of AGIC Convertible & Income Fund April 20, 2011 In planning and performing our audit of the financial statements of AGIC Convertible & Income Fund (the “Fund”) as of and for the year ended February 28, 2011, in accordance with the standards of |
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| April 25, 2011 |
Annual Shareholder Meeting Results EX-99.77C VOTES 3 votingncv.htm VOTING 02-28-11 Annual Shareholder Meeting Results The Fund held its annual meeting of shareholders on July 21, 2010. Common/Preferred shareholders voted as indicated below: Affirmative Withheld Authority Election of James A. Jacobson* - Class II to serve until 2011 10,563 102 Re-election of Hans W. Kertess - Class I to serve until 2013 64,989,435 2,087,322 Re-elect |
|
| January 20, 2011 |
Exhibit 99.302 Cert CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of AGIC Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
|
| January 20, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response: 5. |
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| January 14, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* ARPS AGIC Convertible and Income Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 001190206 001190305 001190404 001190503 001190602 (CUSIP Number(s)) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Ch |
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| October 27, 2010 |
Annual Shareholder Meeting Results Annual Shareholder Meeting Results The Fund held its annual meeting of shareholders on July 21, 2010. |
|
| September 10, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ARPS AGIC Convertible and Income Fund** (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 001190206 001190305 001190404 001190503 001190602 (CUSIP Number) August 31, 2010 (Date of Event Which Requires Filing of this Statement) Check |
|
| July 19, 2010 |
Exhibit 99.CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of Nicholas-Applegate Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
|
| July 19, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2013 Estimated average burden hours per response: 5. |
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| June 17, 2010 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 21, 2010 |
EX-99.77B ACCT LTTR 3 auditletterncv22810.htm NCV AUDIT LETTER 2.28.2010 Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Nicholas-Applegate Convertible & Income Fund In planning and performing our audit of the financial statements of Nicholas-Applegate Convertible & Income Fund ("the Fund") as of and for the year ended February 28, 2010, in acco |
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| April 21, 2010 |
The Fund held annual meeting of shareholders on July 14, 2009. Common/Preferred shareholders voted as indicated below: Withheld Affirmative Authority Convertible & Income Re-election of Paul Belica - Class III to serve until 2012 64,895,145 2,608,849 Re-election of John C. Maney** - Class III to serve until 2012 64,950,714 2,553,280 Election of Diana L. Taylor*† - Class II to serve until 2011 10,7 |
|
| February 8, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Nicholas-Applegate Convertible & Income Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 65370F200 65370F309 65370F408 65370F507 65370F606 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement |
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| January 19, 2010 |
Exhibit 99.CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of Nicholas-Applegate Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
|
| January 19, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response: 10. |
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| October 23, 2009 |
The Fund held annual meeting of shareholders on July 14, 2009. Common/Preferred shareholders voted as indicated below: Withheld Affirmative Authority Convertible & Income Re-election of Paul Belica - Class III to serve until 2012 64,895,145 2,608,849 Re-election of John C. Maney** - Class III to serve until 2012 64,950,714 2,553,280 Election of Diana L. Taylor*† - Class II to serve until 2011 10,7 |
|
| July 16, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 N-Q 1 c58182n-q.htm OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response: 10.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-21284 Nicholas-Applegate Convertible & Income Fund (Registrant Name |
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| July 16, 2009 |
c58182ex99-cert.htm - Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing Exhibit 99.CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of Nicholas-Applegate Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to m |
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| June 5, 2009 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A (Rule 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 28, 2009 |
EX-99.77C VOTES 3 ncv2200votingresults.htm VOTING RESULTS NCV Nicholas-Applegate Convertible & Income Fund Annual Shareholder February 28, 2009 (unaudited) Meeting Results The Fund held its annual meeting of shareholders on July 23,2008. Common/Preferred shareholders voted as indicated below. Withheld Affirmative Authority Re-election of John J. Dalessandro II* Class II to serve until 2011 14,643 |
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| April 28, 2009 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 auditletterncv22809.htm NCV AUDIT LETTER 2.28.09 Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Nicholas-Applegate Convertible & Income Fund In planning and performing our audit of the financial statements of Nicholas-Applegate Convertible & Income Fund ("the Fund") as of and for the year ended February 28, 2009, in accord |
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| April 28, 2009 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Nicholas-Applegate Convertible & Income Fund In planning and performing our audit of the financial statements of Nicholas-Applegate Convertible & Income Fund ("the Fund") as of and for the year ended February 28, 2009, in accordance with the standards of the Public Company Accounting Oversight Boar |
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| February 10, 2009 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| January 29, 2009 |
rrd207108234073.html SECTION 16 POWER OF ATTORNEY Lawrence G. Altadonna 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 un |
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| January 29, 2009 |
rrd207110234071.html SECTION 16 POWER OF ATTORNEY MICHAEL YEE 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' |
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| January 29, 2009 |
POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Francis C. |
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| January 28, 2009 |
N-Q 1 c56357nq.htm UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response: 10.5 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File Number: 811-21284 Nicholas-Applegate Convertible & Income Fund (Registrant Name) |
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| January 28, 2009 |
Exhibit 99.CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of Nicholas-Applegate Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
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| January 23, 2009 |
rrd206001233685.html SECTION 16 POWER OF ATTORNEY DIANA L. TAYLOR 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 undersig |
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| January 21, 2009 |
SECTION 16 POWER OF ATTORNEY John Maney 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. |
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| January 21, 2009 |
rrd205914233519.html SECTION 16 POWER OF ATTORNEY BRUCE KOEPFGEN 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 undersign |
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| January 20, 2009 |
rrd206132232783.html SECTION 16 POWER OF ATTORNEY Youse Guia 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 |
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| January 20, 2009 |
POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. |
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| January 20, 2009 |
POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. |
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| January 20, 2009 |
rrd206156232822.html SECTION 16 POWER OF ATTORNEY HANS W. KERTESS 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 undersig |
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| January 20, 2009 |
The undersigned hereby constitutes and appoints each of Lagan Srivastava and POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. |
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| January 20, 2009 |
rrd206364233104.html SECTION 16 POWER OF ATTORNEY JUSTIN KASS 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' |
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| January 20, 2009 |
rrd205843232284.html POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. Fuccillo, signing singly, with full power of substitution and resubstitution, the undersigned's true and lawful attorney-in-fact to: 1. execute for and on behalf of the undersigned, in the undersigned's capacity as a Section 16 reporting person of the applicable registered |
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| January 20, 2009 |
POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. |
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| January 20, 2009 |
POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. |
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| January 20, 2009 |
rrd206031232608.html POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. Fuccillo, signing singly, with full power of substitution and resubstitution, the undersigned's true and lawful attorney-in-fact to: 1. execute for and on behalf of the undersigned, in the undersigned's capacity as a Section 16 reporting person of the applicable registered |
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| December 31, 2008 |
rrd204052230407.html SECTION 16 POWER OF ATTORNEY SCOTT WHISTEN The undersigned hereby constitutes and appoints each of Lagan Srivastava and Thomas J. Fuccillo, signing singly, with full power of substitution and resubstitution, the undersigneds true and lawful attorney-in-fact to: 1. execute for and on behalf of the undersigned, in the undersigneds capacity as a Section 16 reporting person of the |
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| December 31, 2008 |
rrd203981230390.html SECTION 16 POWER OF ATTORNEY RICHARD J. COCHRAN 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 under |
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| December 31, 2008 |
rrd203980230357.html SECTION 16 POWER OF ATTORNEY DEBORAH A. WUSSOW 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 unders |
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| December 31, 2008 |
SECTION 16 POWER OF ATTORNEY BARBARA CLAUSSEN 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. |
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| July 23, 2008 |
Exhibit 99.CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of Nicholas-Applegate Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not m |
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| July 23, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q OMB APPROVAL OMB Number: 3235—0578 Expires: April 30, 2010 Estimated average burden hours per response: 10. |
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| June 25, 2008 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| January 23, 2008 |
OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response. |
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| January 23, 2008 |
Exhibit 99.302 CERT CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report on Form N-Q of Nicholas-Applegate Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| July 20, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 OMB APPROVAL OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response: 10. |
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| July 20, 2007 |
Exhibit 99.302 Cert. CERTIFICATIONS I, Brian S. Shlissel, certify that: 1. I have reviewed this report Form N-Q of Nicholas-Applegate Convertible & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not |
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| June 27, 2007 |
NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS TO BE HELD ON JULY 25, 2007 c/o Allianz Global Investors Fund Management LLC 1345 Avenue of the Americas New York, New York 10105 To the Shareholders of Nicholas-Applegate Convertible & Income Fund (‘‘NCV’’) and Nicholas-Applegate Convertible & Income Fund II (‘‘NCZ’’) (each a ‘‘Fund’’ and, collectively, the ‘‘Funds’’): Notice is hereby given that a Joint Annual Meeting of Shareholders (the ‘‘Meeting’’) of the Funds will be held at the offices of Allianz Global Investors Fund Management LLC (‘‘AGIFM’’ or the ‘‘Manager’’), 1345 Avenue of the Americas, 49th Floor, New York, New York 10105, on Wednesday, July 25, 2007 at 11:00 A. |
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| June 26, 2007 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
