Corporate Board Profile
Tech Score: 0/100
| Filing Date | Source Excerpt |
|---|---|
| 2008-03-14 | Hans W. Kertess 07/12/1939 Class II None (Director Nominee) President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. Audit Committee (to be renamed the Audit Oversight Committee) would consist of Messrs. Belica, Connor, Dalessandro, Kertess, Ogden and Sullivan, each of whom would be an Independent Director. Governance Committee (to be renamed the Nominating Committee) would consist of Messrs. Belica, Connor, Dalessandro, Kertess, Ogden and Sullivan, each of whom would be an Independent Director. Valuation Committee would consist of Messrs. Belica, Connor, Dalessandro, Kertess, Ogden and Sullivan. The Board would establish a new Compensation Committee, which is anticipated to consist of Messrs. Belica, Connor, Dalessandro, Kertess, Ogden and Sullivan. |
| 2009-03-11 | Hans W. Kertess 07/12/1939 PCN Class I PTY Class I PCM Class II Trustee and Chairman of the Board Nominee, Trustee Trustee Director PCN Since inception (December 2001) PTY Since October 2003 PCM Since April 2008 President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. Total Compensation from PCN for the Fiscal Year Ended October 31, 2008: $0; from PTY for the Fiscal Year Ended November 30, 2008: $11,728; from PCM for the Fiscal Year Ended December 31, 2008: $10,128; Aggregate Compensation from the Funds and Fund Complex Paid to Trustees/Directors/Nominees for the Calendar Year Ended December 31, 2008: $318,927. The Board of each Fund has established an Audit Oversight Committee. The Board of each Fund has a Nominating Committee. The Board of each Fund has a Valuation Committee. The Board of each Fund has a Compensation Committee. |
| 2010-02-26 | Hans W. Kertess 07/12/1939 PCM - Class II Trustee and Chairman of the Board Director PCM - Since April 2008 President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Independent Trustees/Directors/Nominees Compensation Table: Hans W. Kertess total compensation $292,500. Board Committees: Audit Oversight Committee, Nominating Committee, Valuation Committee, Compensation Committee. |
| 2011-02-25 | Hans W. Kertess 07/12/1939 PCN Class I PTY Class I PKO Class I PCM Class II Trustee and Chairman of the Board Trustee Trustee Trustee Nominee Director Since inception PCN (December 2001) PTY Since October 2003 PKO Since inception (November 2007) PCM Since April 2008 President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. Each of the Independent Trustees/Directors also serves as a trustee/director of PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, AGIC Convertible & Income Fund, AGIC Convertible & Income Fund II, PIMCO High Income Fund, PIMCO Income Strategy Fund, PIMCO Income Strategy Fund II, NFJ Dividend, Interest & Premium Strategy Fund, AGIC International & Premium Strategy Fund, PIMCO Global StocksPLUS & Income Fund, AGIC Equity & Convertible Income Fund, AGIC Global Equity & Convertible Income Fund, and PIMCO Strategic Global Government Fund Inc., each a closed-end fund for which the Manager serves as investment manager and affiliates of the Manager serve as sub-advisers (together, the "Allianz Closed-End Funds") and certain other open-end investment companies for which the Manager serves as investment manager and administrator and affiliates of the Manager serve as investment sub-advisers (together with the Allianz Closed-End Funds, the "Allianz Managed Funds"). Each Trustee/Director, other than any Trustee/Director who is a director, officer, partner or employee of the Manager, PIMCO or any entity controlling, controlled by or under common control with the Manager or PIMCO receives annual compensation of $250,000, which is payable quarterly. The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman receives an additional $50,000 per year, payable quarterly. Trustees/Directors will also be reimbursed for meeting-related expenses. Trustees/Directors do not currently receive any pension or retirement benefits from the Funds or the Fund Complex. The following table provides information concerning the compensation paid to the Trustees/Directors and nominees for the fiscal years ended October 31, 2010 for PCN and PKO, November 30, 2010 for PTY and December 31, 2010 for PCM. For the calendar year ended December 31, 2010, the Trustees/Directors received the compensation set forth in the table below for serving as trustees/directors of the Funds and other funds in the same "Fund Complex" as the Funds. Each officer and each Trustee/Director who is a director, officer, partner, member or employee of the Manager or the Sub-Adviser, or of any entity controlling, controlled by or under common control with the Manager or the Sub-Adviser including any Interested Trustee/Director, serves without any compensation from the Funds. Hans W. Kertess $ 12,501 $ 24,190 $ 6,271 $ 1,913 $ 325,000 |
| 2012-06-20 | Hans W. Kertess 07/12/1939 Class II Chairman of the Board, Director Since April 2008 ... President, H. Kertess & Co., a financial advisory company. ... The Funds Audit Oversight Committee currently consists of Messrs. Gallagher, Jacobson, Kertess, Ogden and Rappaport and Ms. DeCotis, each of whom is an Independent Director. ... The Board of the Fund has a Nominating Committee composed solely of Independent Directors, currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden and Rappaport and Ms. DeCotis. ... The Board of the Fund has a Valuation Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden and Rappaport and Ms. DeCotis. ... The Board of the Fund has a Compensation Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden and Rappaport and Ms. DeCotis. ... The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. |
| 2013-02-28 | Hans W. Kertess 1939 PCM - Class II PCN - Class I PTY - Class I PKO - Class I Chairman of the Board Director Trustee Nominee, Trustee Trustee PCM - Since April 2008 PCN - Since inception (December 2002) PTY - Since October 2003 PKO - Since inception (November 2007) President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. Compensation Table: Hans W. Kertess $325,000 total compensation. |
| 2014-02-28 | Hans W. Kertess 1939 PCM 65 Class II PCN 65 Since inception (2002) PTY 65 Since 2003 PCI 65 Since inception (2013) PKO 65 Since inception (2007) Chairman of the Board Nominee, Director Nominee, Trustee Trustee President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. Each Trustee/Director, other than any Trustee/Director who is a director, officer, partner or employee of the Manager, PIMCO or any entity controlling, controlled by or under common control with the Manager or PIMCO, receives annual compensation of $325,000 for service on the Boards of all of the Allianz Managed Funds. |
| 2015-03-02 | Hans W. Kertess 1939 Chairman of the Board, Trustee, Nominee PCM-Since 2008 President, H. Kertess & Co., a financial advisory company. Senior Adviser, Royal Bank of Canada Capital Markets. Formerly, Managing Director and Consultant, Royal Bank of Canada Capital Markets. 92 None PCN/PTY/PKO-Class I PCN-Since 2002 PCM-Class II PTY-Since 2003 PKO-Since 2007 ...The Audit Oversight Committee currently consists of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis, each of whom is an Independent Trustee. Mr. Jacobson is the Chairman of each Fund's Audit Oversight Committee. ...The Nominating Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. ...The Valuation Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. ...The Compensation Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. ...During the calendar year ended December 31, 2014, the Trustees received the compensation set forth in the table below...Hans W. Kertess: $306,000 total compensation. |
| 2016-03-11 | Hans W. Kertess 1939 PCN/PTY/PKO/PCI-Class I PCM- Class II Chairman of the Board, Trustee, Nominee PCI-Since 2013 PCM-Since 2008 PCN-Since 2002 PTY-Since 2003 PKO-Since 2007 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). 91 None ...The Audit Oversight Committee currently consists of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis, each of whom is an Independent Trustee. Mr. Jacobson is the current Chairman of each Fund's Audit Oversight Committee. ...The Board of each Fund has established a Nominating Committee composed solely of Independent Trustees, currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. ...The Board of each Fund has established a Valuation Oversight Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. Mr. Ogden is the Chair of each Fund's Valuation Oversight Committee. ...The Board of each Fund has established a Compensation Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. |
| 2017-03-10 | Hans W. Kertess 1939 PCN/PTY/PKO/PCI-Class I PCM-Class II Chairman of the Board, Trustee, Nominee PCI-Since 2013 PCM-Since 2008 PCN-Since 2002 PTY-Since 2003 PKO-Since 2007 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). Each Independent Trustee currently receives annual compensation of $225,000 for his or her service on the Boards of the PIMCO-Managed Funds. The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman receives an additional $50,000 annually, payable quarterly. Trustees are also reimbursed for meeting-related expenses. Total Compensation: $525,000. |
| 2018-03-09 | Hans W. Kertess 1939 Chairmanof the Board,Trustee,Nominee PCI- Since2013 President, H. Kertess 26 Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). 89 None PCN/PKO/PCI-Class I PCM-Since2008 PCM-Class II PCN-Since2002 PTY-Currently, Class I, if elected as nominated, Class III PTY-Since2003 PKO-Since2007 Each of the PIMCO-Managed Funds holds joint meetings of their Boards of Trustees whenever possible. Each Independent Trustee currently receives annual compensation of $225,000 for his or her service on the Boards of the PIMCO-Managed Funds, payable quarterly. The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman receives an additional $50,000 annually, payable quarterly. Trustees are also reimbursed for meeting-related expenses. The following table provides information concerning the compensation paid to the Trustees and nominees for the fiscal years ended July 31, 2017 for PCN and PTY, and the fiscal years ended June 30, 2017 for PKO, PCM and PCI. For the calendar year ended December 31, 2017, the Trustees received the compensation set forth in the table below for serving as Trustees of the Funds and other funds in the same Fund Complex as the Funds. Hans W. Kertess $2,418 $13,118 $26,021 $7,496 $62,470 $535,000 The Audit Oversight Committees (the 27Committee27) oversee the Funds27 financial reporting process on behalf of the Board of Trustees/Directors of each Fund (the 27Board27) and operates under a written Charter adopted by the Board. The Committee meets with each Fund27s management ("27Management27") and independent registered public accounting firm and reports the results of its activities to the Board. Management has the primary responsibility for the financial statements and the reporting process, including the system of internal controls. In connection with the Committee27s and independent accountant27s responsibilities, Management has advised that the Funds27 financial statements for the fiscal year ended June 30, 2017 were prepared in conformity with the generally accepted accounting principles. Submitted by the Audit Oversight Committee of the Board of Trustees: Deborah A. DeCotis, Bradford K. Gallagher, James A. Jacobson, Hans W. Kertess, William B. Ogden, IV and Alan Rappaport |
| 2019-03-08 | Hans W. Kertess 1939 Trustee, Nominee PCI-Since 2013 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). PCM-Since 2008 PCN-Since 2002 PTY-Class III PTY-Since 2003 PKO-Since 2007 Audit Oversight Committee, Nominating Committee, Compensation Committee, Contracts Committee, Performance Committee |
| 2020-03-18 | Hans W. Kertess 1939 PCI-Class I; currently nominated for re-election PCM-Class II; currently nominated for re-election PCN-Class I PKO-Class I PTY-Class III Trustee, Nominee PCI-Since 2013 PCM-Since2008 PCN-Since2002 PKO-Since2007 PTY-Since2003 President, H. Kertess & Co., a financial advisory company; Senior Adviser, Royal Bank of Canada Capital Markets 92 None Each Independent Trustee receives annual compensation of $225,000 for his or her service on the Boards of the PIMCO-Managed Funds... The Independent Chair of the Boards receives an additional $75,000 per year... The Audit Oversight Committee Chair receives an additional $50,000 annually... Trustees are also reimbursed for meeting-related expenses... For the calendar year ended December 31, 2019, the Trustees received the compensation set forth in the table below... Hans W. Kertess $460,000 total compensation. |
| 2021-03-19 | Hans W. Kertess 1939 PCI-Class I PCM-Class II PCN-Class I, currently nominated for re-election PKO-Class I, currently nominated for re-election PTY-Class III, currently nominated for re-election Trustee, Nominee President, H. Kertess 6 Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). Each Independent Trustee currently receives annual compensation of $225,000 for his or her service on the Boards of the PIMCO-Managed Funds... For the calendar year ended December 31, 2020, the Trustees received the compensation set forth in the table below for serving as Trustees of the Funds and other funds in the same Fund Complex as the Funds... Hans W. Kertess $460,000 total compensation. |
| Filing Date | Source Excerpt |
|---|---|
| 2002-08-07 | Trustee, PIMCO Corporate Income Fund, PMF, PIMCO Municipal Income Fund II, PCQ, PIMCO California Municipal Income Fund II, PNF and PIMCO New York Municipal Income Fund II. Formerly, Managing Director, Dain Rauscher Inc.; Managing Director, Salomon Brothers. |
| 2003-08-06 | Hans W. Kertess Trustee, PIMCO Corporate Income Fund, PIMCO High Income Fund and Nicholas-Applegate Convertible & Income Fund II. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | Hans W. Kertess Age 66... President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2011-11-18 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2020-10-30 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess is president of a financial advisory company and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-08-06 | Hans W. Kertess Trustee, PIMCO Corporate Income Fund, PIMCO High Income Fund and Nicholas-Applegate Convertible & Income Fund II. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | Hans W. Kertess Trustee, President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company. |
| 2011-11-18 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). Formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2020-10-30 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-12-03 | Hans W. Kertess President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Corporate Income Fund, PIMCO Corporate Opportunity Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II and PIMCO Floating Rate Income Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | Hans W. Kertess ... Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | Hans W. Kertess Age 66... President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company. |
| 2011-11-18 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company. |
| 2012-11-20 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2020-10-30 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess is president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant experience in the investment banking industry. |
| Filing Date | Source Excerpt |
|---|---|
| 2005-01-26 | Hans W. Kertess Trustee, President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-01-24 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-02-14 | Hans W. Kertess 07/12/1939 PCN – Class I PTY – Class I Trustee Retired. Formerly, President and Director, J.J. Dalessandro II Ltd., registered broker-dealer and member of the New York Stock Exchange. |
| 2008-03-03 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-03-11 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-02-26 | Hans W. Kertess 07/12/1939 President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2011-02-25 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2012-03-06 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2013-02-28 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2014-02-28 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-03-02 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-03-11 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-03-10 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-03-09 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2019-03-08 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2020-03-18 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2021-03-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-01-06 | Consultant, Dain Rausher Inc.; Trustee, PIMCO Municipal Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income and PIMCO New York Municipal Income Fund II. Formerly, Managing Director, Dain Rauscher Inc.; Managing Director, Salomon Brothers. |
| 2005-01-26 | Hans W. Kertess Trustee President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-01-24 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-02-14 | Hans W. Kertess 07/12/1939 PCN – Class I PTY – Class I Trustee Retired. Formerly, President and Director, J.J. Dalessandro II Ltd., registered broker-dealer and member of the New York Stock Exchange. |
| 2008-03-03 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-03-11 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-02-26 | Hans W. Kertess 07/12/1939 PCM - Class II Trustee and Chairman of the Board Director PCM - Since April 2008 President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2011-02-25 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company. |
| 2012-03-06 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2013-02-28 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-02-28 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-03-02 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-03-11 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-03-10 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-03-09 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets. |
| 2019-01-09 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets. |
| 2019-03-08 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2020-03-18 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2021-03-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2004-08-16 | President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II and PIMCO Floating Rate Income Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-04 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-10-12 | Hans W. Kertess 07/12/1939 PHK – Class I PFL – Class I PFN – Class III Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-05 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-14 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-09 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-12 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. |
| 2011-11-14 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2012-11-07 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2013-10-28 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2014-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-05-28 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company. Senior Adviser, Royal Bank of Canada Capital Markets. Formerly, Managing Director and Consultant, Royal Bank of Canada Capital Markets. |
| 2016-05-12 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-05-12 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-05-14 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-05-16 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2020-05-15 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2021-05-18 | Mr. Kertess is president of a financial advisory company and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2004-10-08 | Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-04 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-10-12 | Hans W. Kertess ... President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-05 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-14 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-09 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-12 | Hans W. Kertess is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2012-06-19 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2013-06-19 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2014-06-26 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2015-05-28 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company. Senior Adviser, Royal Bank of Canada Capital Markets. Formerly, Managing Director and Consultant, Royal Bank of Canada Capital Markets. |
| 2016-05-12 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-05-12 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-05-14 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-05-16 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2020-05-15 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). |
| 2021-05-18 | Mr. Kertess is president of a financial advisory company and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2002-08-07 | Hans W. Kertess Trustee Since July, 2001 Trustee, PIMCO Corporate Income Fund, PMF, PIMCO Municipal Income Fund II, PCQ, PIMCO California Municipal Income Fund II, PNF and PIMCO New York Municipal Income Fund II. Formerly, Managing Director, Dain Rauscher Inc.; Managing Director, Salomon Brothers. |
| 2003-08-06 | Hans W. Kertess Trustee, PIMCO Corporate Income Fund, PIMCO High Income Fund and Nicholas-Applegate Convertible & Income Fund II. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | Hans W. Kertess Age 66... President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2011-11-18 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2020-10-30 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess is president of a financial advisory company and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-08-06 | Hans W. Kertess Trustee, PIMCO Corporate Income Fund, PIMCO High Income Fund and Nicholas-Applegate Convertible & Income Fund II. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | Hans W. Kertess Age 66 Class I Trustee... President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2011-11-18 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2020-10-30 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-12-03 | Hans W. Kertess President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Corporate Income Fund, PIMCO Corporate Opportunity Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II and PIMCO Floating Rate Income Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | Hans W. Kertess - President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2011-11-18 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-10-31 | Hans W. Kertess - Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2020-10-30 | Hans W. Kertess — President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant experience in the investment banking industry. |
| Filing Date | Source Excerpt |
|---|---|
| 2002-08-07 | Trustee, PIMCO Corporate Income Fund, PMF, PIMCO Municipal Income Fund II, PCQ, PIMCO California Municipal Income Fund II, PNF and PIMCO New York Municipal Income Fund II. Formerly, Managing Director, Dain Rauscher Inc.; Managing Director, Salomon Brothers. |
| 2003-08-06 | Hans W. Kertess Trustee, PIMCO Corporate Income Fund, PIMCO High Income Fund and Nicholas-Applegate Convertible & Income Fund II. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | Hans W. Kertess Age 66... Trustee... President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2011-11-18 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2020-10-30 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess is president of a financial advisory company and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-08-06 | Hans W. Kertess Trustee, PIMCO Corporate Income Fund, PIMCO High Income Fund and Nicholas-Applegate Convertible & Income Fund II. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | Hans W. Kertess Age 66 Class I Trustee... President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2011-11-18 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2014-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2020-10-30 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2021-11-01 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2003-12-03 | Hans W. Kertess President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Corporate Income Fund, PIMCO Corporate Opportunity Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II and PIMCO Floating Rate Income Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2004-11-24 | Hans W. Kertess Trustee, President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II, PIMCO Floating Rate Income Fund and PIMCO Floating Rate Strategy Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-11-16 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-11-22 | Hans W. Kertess 07/12/1939 Class I Trustee President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-11-21 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-11-23 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-11-19 | Hans W. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2011-11-18 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2012-11-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2013-11-19 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2014-11-20 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2015-11-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2016-10-31 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-10-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2018-11-02 | President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). |
| 2019-11-04 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). |
| 2020-10-30 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2021-11-01 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2022-11-03 | Mr. Kertess retired from the Board of each Fund effective December 31, 2021. |
| Filing Date | Source Excerpt |
|---|---|
| 2008-05-13 | Hans W. Kertess 07/12/1939 Class II None (Director Nominee) President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. It is anticipated that the Audit Oversight Committee would consist of Messrs. Belica, Connor, Dalessandro, Kertess, Ogden and Sullivan, each of whom would be an Independent Director. The Board would establish a new Compensation Committee, which is anticipated to consist of Messrs. Belica, Connor, Dalessandro, Kertess, Ogden and Sullivan. |
| 2009-06-05 | Hans W. Kertess 07/12/1939 ... Trustee and Chairman of the Board ... Compensation Table ... Hans W. Kertess ... $318,927 total compensation from the Funds and Fund Complex. |
| 2010-06-17 | Hans W. Kertess 07/12/1939 ... President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee of the funds in the Allianz/PIMCO Fund Complex since 2000. ... Each Trustee/Director, other than any Trustee/Director who is a director, officer, partner or employee of the Manager, NFJ Group, NACM, OpCap, PIMCO or any entity controlling, controlled by or under common control with the Manager, NFJ Group, NACM, OpCap or PIMCO receives annual compensation of $250,000, which is payable quarterly. The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman annually receives an additional $50,000, payable quarterly. ... Compensation Table shows total compensation of $325,000. |
| 2011-06-16 | Hans W. Kertess 07/12/1939 NCV - Class I NCZ - Class III NIE - Class I NAI - Class I NFJ - Class I PGP - Class I RCS - Class II Trustee and Chairman of the Board Trustee Trustee Nominee, Trustee Trustee Trustee Trustee Nominee, Director Since February 2004 Since July 2003 Since inception (February 2007) Since April 2005 Since inception (February 2005) Since May 2005 Since June 2008 President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. 55 None |
| 2012-05-23 | Hans W. Kertess 07/12/1939 NCV - Class I NCZ - Class III NIE -Class I NAI - Class I NFJ -Class I PGP - Class I RCS - Class II Trustee and Chairman of the Board Trustee Nominee, Trustee Trustee Trustee Nominee, Trustee Nominee, Director Director NCV - Since February 2004 NCZ - Since July 2003 NIE - Since inception (February 2007) NAI - Since April 2005 NFJ - Since inception (February 2005) PGP - Since May 2005 RCS - Since June 2008 President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. Each Trustee/Director, other than any Trustee/Director who is a director, officer, partner or employee of the Manager, AGIC, NFJ Group, PIMCO or any entity controlling, controlled by or under common control with the Manager, AGIC, NFJ Group or PIMCO receives annual compensation of $250,000, which is payable quarterly. The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman receives an additional $50,000 per year, payable quarterly. Trustees/Directors will also be reimbursed for meeting-related expenses. The following table provides information concerning the compensation paid to the Trustees/Directors and nominees for the fiscal years ended January 31, 2012 for NFJ, NIE and RCS, February 29, 2012 for NCV, NCZ and NAI, and March 31, 2012 for PGP. For the calendar year ended December 31, 2011, the Trustees/Directors received the compensation set forth in the table below for serving as Trustees/Directors of the Funds and other funds in the same Fund Complex as the Funds. Each officer and each Trustee/Director who is a director, officer, partner, member or employee of the Manager or the Sub-Advisers, or of any entity controlling, controlled by or under common control with the Manager or the Sub-Advisers, including any Interested Trustee/Director, serves without any compensation from the Funds. Hans W. Kertess received $325,000 in total annual compensation. |
| 2013-05-22 | Hans W. Kertess - Independent Trustee/Director/Nominee, born 1939, Chairman of the Board, serves on Audit Oversight Committee, Nominating Committee, Valuation Committee, Compensation Committee. Total annual compensation $325,000. |
| 2014-06-17 | Hans W. Kertess - Mr. Kertess is President of H. Kertess & Co. and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He serves as Chairman of the Board. Each Trustee/Director, other than any Trustee/Director who is a director, officer, partner or employee of the Manager, a Sub-Adviser or any entity controlling, controlled by or under common control with the Manager or a Sub-Adviser, receives annual compensation of $250,000 for service on the Boards of all of the Allianz Managed Funds. The Independent Chairman of the Boards receives an additional $75,000 per year. The Audit Oversight Committee Chairman receives an additional $50,000 per year. Mr. Kertess received total compensation of $325,000. |
| 2015-05-28 | Hans W. Kertess 1939 PGP/PFL/PHK/PDI-Class I RCS- Class II PFN- Class III Chairman of the Board, Trustee, Nominee RCS-Since 2008 PGP-Since 2005 PHK/PFL-Since 2003 PFN-Since 2004 PDI-Since 2012 President, H. Kertess & Co., a financial advisory company. Senior Adviser, Royal Bank of Canada Capital Markets. Formerly, Managing Director and Consultant, Royal Bank of Canada Capital Markets. 92 None Board Committees and Meetings. Audit Oversight Committee. The Board of each Fund has established an Audit Oversight Committee in accordance with Section 3(a)(58)(A) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each Fund's Audit Oversight Committee currently consists of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis, each of whom is an Independent Trustee. Mr. Jacobson is the Chairman of each Fund's Audit Oversight Committee. Nominating Committee. The Board of each Fund has a Nominating Committee composed solely of Independent Trustees, currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. Valuation Oversight Committee. The Board of each Fund has a Valuation Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. Compensation Committee. The Board of each Fund has a Compensation Committee currently consisting of Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis. Compensation Table Hans W. Kertess $0 $4,928 $0 $2,330 $0 $14,778 $0 $3,952 $0 $19,471 $0 $23,735 $0 $369,640 |
| 2016-05-12 | Hans W. Kertess 1939 PGP/PFL/PHK/PDI-Class I RCS- Class II PFN- Class III Chairman of the Board, Trustee, Nominee RCS-Since 2008 PGP-Since 2005 PHK/PFL-Since 2003 PFN-Since 2004 PDI-Since 2012 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). Audit Oversight Committee: Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis Nominating Committee: Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis Valuation Oversight Committee: Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis Compensation Committee: Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis Contracts Committee: Messrs. Gallagher, Jacobson, Kertess, Ogden, Rappaport and Ms. DeCotis Total Compensation: $525,000 for calendar year ended December 31, 2015. |
| 2017-05-12 | Hans W. Kertess 1939 PGP/PFL/PHK/PDI-Class I RCS- Class II PFN- Class III Chairman of the Board, Trustee, Nominee RCS-Since 2008 PGP-Since 2005 PHK/PFL-Since 2003 PFN-Since 2004 PDI-Since 2012 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). 89 None Each Independent Trustee currently receives annual compensation of $225,000 for his or her service on the Boards of the PIMCO-Managed Funds, payable quarterly. The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman receives an additional $50,000 annually, payable quarterly. Trustees are also reimbursed for meeting-related expenses. For the calendar year ended December 31, 2016, the Trustees received the compensation set forth in the table below for serving as Trustees of the Funds and other funds in the same Fund Complex as the Funds. Each officer and each Trustee who is a director, officer, partner, member or employee of the Manager, or of any entity controlling, controlled by or under common control with the Manager, including any Interested Trustee, serves without any compensation from the Funds. Hans W. Kertess total compensation: $525,000. |
| 2018-05-14 | Hans W. Kertess 1939 PGP/PFL- Class I RCS- Class II PFN- Class III PHK/PDI- Currently Class I, if elected as nominated, Class III Chairman of the Trustees, Trustee, Nominee RCS-Since 2008 PGP-Since 2005 PHK/PFL-Since 2003 PFN-Since 2004 PDI-Since 2012 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). 93 None Board Committees and Meetings. The Board of each Fund has established six standing Committees to facilitate the Trustees' oversight of the management of the Funds: the Audit Oversight Committee, the Nominating Committee, the Valuation Oversight Committee, the Compensation Committee, the Contracts Committee and the Performance Committee. The membership of each Committee consists of all of the Independent Trustees, which the Board believes allows them to participate in the full range of the Board's oversight duties. In addition, the Performance Committee consists of all of the Trustees. Each Independent Trustee receives annual compensation of $225,000 for his or her service on the Boards of the PIMCO-Managed Funds, payable quarterly. The Independent Chairman of the Boards receives an additional $75,000 per year, payable quarterly. The Audit Oversight Committee Chairman receives an additional $50,000 annually, payable quarterly. For the calendar year ended December 31, 2017, the Trustees received the compensation set forth in the table below for serving as Trustees of the Funds and other funds in the same Fund Complex as the Funds. Hans W. Kertess: $535,000. |
| 2019-05-16 | Hans W. Kertess 1939 PGP/PFL- Class I RCS- Class II PFN- Class III PHK/PDI- Class III Trustee RCS-Since 2008 PGP-Since 2005 PHK/PFL-Since 2003 PFN-Since 2004 PDI-Since 2012 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). Compensation Table: $535,000 total compensation for calendar year ended December 31, 2018. |
| 2021-05-18 | Hans W. Kertess 1939 RCS- Class II PGP- Class I, currently nominated for re-election PHK- Class III, currently nominated for re-election PDI- Class III, currently nominated for re-election PFL- Class I PFN- Class III NRGX-Class II, currently nominated for re-election Trustee,Nominee RCS-Since 2008 PGP-Since2005 PHK-Since2003 PDI-Since2012 PFL-Since2003 PFN-Since2004 NRGX-Since 2019 President, H. Kertess & Co., a financial advisory company; and Senior Adviser (formerly Managing Director), Royal Bank of Canada Capital Markets (since 2004). 29 Trustee, Allianz Funds (2004-2021); Trustee, Virtus AllianzGI Closed-End Funds (2021-Present). Each Fund's Audit Oversight Committee currently consists of Mses. Cogan and DeCotis and Messrs. Kertess, Kittredge, Ogden and Rappaport, each of whom is an Independent Trustee. Mr. Kittredge is the current Chair of each Fund's Audit Oversight Committee. Each Fund's Governance and Nominating Committee currently consisting of Messrs. Kertess, Kittredge, Ogden, Rappaport and Mses. Cogan and DeCotis. Ms. DeCotis is the current Chair of each Fund's Governance and Nominating Committee. The Valuation Oversight Committee currently consisting of Messrs. Kertess, Kittredge, Ogden and Rappaport and Mses. Cogan and DeCotis. Mr. Ogden is the current Chair of each Fund's Valuation Oversight Committee. The Contracts Committee currently consisting of Messrs. Kertess, Kittredge, Ogden, Rappaport and Mses. Cogan and DeCotis. Ms. Cogan is the current Chair of each Fund's Contracts Committee. The Performance Committee currently consisting of Messrs. Kertess, Kittredge, Ogden, Rappaport, Maney and Fisher and Mses. Cogan and DeCotis. Mr. Rappaport is the current Chair of each Fund's Performance Committee. For the calendar year ended December 31, 2020, the Trustees received the compensation set forth in the table below for serving as Trustees of the Funds and other funds in the same Fund Complex as the Funds. For Mr. Kertess, $225,000; ... total $460,000. |
| Filing Date | Source Excerpt |
|---|---|
| 2004-05-24 | President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II and PIMCO Floating Rate Income Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-09-07 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-08-15 | Hans W. Kertess 07/12/1939 NCV – Class I NCZ – Class III Trustee President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-06-26 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-06-25 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-06-05 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-06-17 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2011-06-16 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2012-05-23 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2013-05-22 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2014-06-17 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2015-04-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-05-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets, and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2017-06-01 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). |
| 2018-06-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2019-06-03 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. |
| 2020-06-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as Managing Director of Royal Bank of Canada Capital Markets. |
| 2021-06-08 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2004-08-27 | Hans W. Kertess Trustee Since inception (July 2003) President, H. Kertess & Co.; Trustee, PIMCO Municipal Income Fund, PIMCO California Municipal Income Fund, PIMCO New York Municipal Income Fund, PIMCO Corporate Income Fund, PIMCO Municipal Income Fund II, PIMCO California Municipal Income Fund II, PIMCO New York Municipal Income Fund II, PIMCO Municipal Income Fund III, PIMCO California Municipal Income Fund III, PIMCO New York Municipal Income Fund III, PIMCO Corporate Opportunity Fund, Nicholas-Applegate Convertible & Income Fund, PIMCO High Income Fund, Nicholas-Applegate Convertible & Income Fund II and PIMCO Floating Rate Income Fund. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2005-09-07 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2006-08-15 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2007-06-26 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-06-25 | President, H. Kertess & Co., a financial advisory company; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-06-05 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-06-17 | Hans W. Kertess - President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2011-06-16 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2012-05-23 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2013-05-22 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2014-06-17 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2015-04-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2016-05-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company. |
| 2017-06-01 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). |
| 2018-06-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2019-06-03 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as Managing Director of Royal Bank of Canada Capital Markets. |
| 2020-06-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as Managing Director of Royal Bank of Canada Capital Markets. |
| 2021-06-08 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as Managing Director of Royal Bank of Canada Capital Markets. |
| Filing Date | Source Excerpt |
|---|---|
| 2006-03-31 | President, H. Kertess & Co.; Formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2008-04-17 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2009-06-05 | President, H. Kertess & Co., a financial advisory company; formerly, Managing Director, Royal Bank of Canada Capital Markets. |
| 2010-06-17 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. He has significant expertise in the investment banking industry. |
| 2011-06-16 | President, H. Kertess & Co., a financial advisory company. Formerly, Managing Director, Royal Bank of Canada Capital Markets. Trustee/Director of the funds in the Allianz/PIMCO Fund Complex since 2000. |
| 2012-05-23 | Hans W. Kertess is president of a financial advisory company and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2013-05-22 | Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2014-06-17 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2015-04-23 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as a Managing Director of Royal Bank of Canada Capital Markets. |
| 2016-05-20 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2017-06-01 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets (since 2004). |
| 2018-06-04 | Hans W. Kertess - Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. and a Senior Adviser of Royal Bank of Canada Capital Markets. |
| 2019-06-03 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co. |
| 2020-06-04 | Hans W. Kertess — Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as Managing Director of Royal Bank of Canada Capital Markets. |
| 2021-06-08 | Hans W. Kertess. Mr. Kertess has substantial executive experience in the investment management industry. He is the president of a financial advisory company, H. Kertess & Co., and formerly served as Managing Director of Royal Bank of Canada Capital Markets. |
Data sourced from SEC filings. Last updated: 2026-02-03