AllianzGI Global Equity & Convertible Income Fund (NGZ)

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C/O ALLIANZ GLOBAL INVESTORS FUND MGMT NEW YORK, NY 10019

Nicholas-Applegate Global Equity & Convertible Income Fund is an exchange-traded closed-end fund or a closed-end ETF which is officially described in its prospectus as a diversified, closed-end management investment company. INVESTMENT OBJECTIVE: The Fund's investment objective is to seek total return comprised of capital appreciation, current income and gains. FUND STRATEGY: The Fund will pursue its investment objective by investing in a diversified, global portfolio of equity securities (the Equity Component) and income-producing convertible securities (the Convertible Component). Initially, the Equity Component is expected to represent approximately 65%, and the Convertible Component approximately 35%, of the total assets of the Fund. Thereafter, the percentage of the Fund's total assets represented by each Component is expected to vary based on relative investment performance and the sub-adviser's views regarding market conditions and other factors. The Fund expects that each Component generally will vary within the following ranges: 40% to 80% for the Equity Component and 20% to 60% for the Convertible Component. The Fund will also employ a strategy of writing (selling) call options on the stocks held in the Equity Component as well as on equity indexes, generally with respect to approximately 70% of the value of the securities in the Equity Component (the Option Strategy). The Option Strategy is designed to generate gains from option premiums in an attempt to enhance distributions payable to the Fund's shareholders and to reduce overall portfolio risk. The Fund generally will write out-of-the-money call options with a strike price that is approximately 5% higher than the market value of the underlying security or the cash value of the index at the time written, which allows the Fund to potentially benefit from appreciation in its underlying portfolio securities up to the strike prices. The Fund selects written options positions with strike prices and maturities designed to capture total return through a combination of premiums and appreciation of its portfolio securities up to the strike prices of the associated options.

View SEC Filings from NGZ instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
No data found for this quarter.
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding NGZ (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding NGZ BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

FRANK UDO

  • AFFILIATED PERSON
0 2013-07-02 0

HARTER THOMAS L CHIEF COMPLIANCE OFFICER

  • Officer
0 2013-06-26 0

OWEN DAVID C.

  • AFFILIATED PERSON
0 2013-02-04 0

KOO PAUL

  • AFFILIATED PERSON
0 2013-02-04 0

ROHWEDER HEROLD

  • AFFILIATED PERSON
0 2013-01-24 0

ALLIANZ GLOBAL INVESTORS U.S. HOLDINGS LLC

  • AFFILIATED ENTITY
0 2013-01-01 0

SLUYTERS JULIAN

  • AFFILIATED PERSON
0 2012-10-25 0

LOHRFINK JILL

  • AFFILIATED PERSON
0 2012-04-30 0

TOWNSEND CHRISTOPHER

  • AFFILIATED PERSON
0 2012-02-20 0

CARROLL JOHN

  • AFFILIATED PERSON
0 2012-02-20 0

JOBSON DAVID

  • AFFILIATED PERSON
0 2012-02-20 0

OLIVER THOMAS W JR

  • AFFILIATED PERSON
0 2011-11-11 0

SCHREIBER MARY ANN

  • AFFILIATED PERSON
0 2011-04-01 0

GAFFNEY BRIAN J.

  • AFFILIATED PERSON
0 2011-03-10 0

MIGLIORI SCOTT

  • AFFILIATED PERSON
0 2011-03-10 0

SEXAUER STEPHEN

  • AFFILIATED PERSON
0 2011-03-10 0

MARINO GERARD

  • AFFILIATED PERSON
0 2011-03-10 0

ZOULLAS DEBORAH A

  • Director
0 2011-03-07 0

DZEMAILI ORHAN AISSISTANT TREASURER

  • Officer
0 2011-01-14 0

GALLAGHER BRADFORD K

  • Director
0 2010-12-15 0

FISCHER BEN J

  • AFFILIATED PERSON
0 2010-08-25 0

ALLIANZ GLOBAL INVESTORS CAPITAL LLC

  • INVESTMENT ADVISER
0 2010-08-25 0

MULLEN GEOFFREY G.

  • AFFILIATED PERSON
0 2010-08-25 0

RAPPAPORT ALAN

  • Director
0 2010-06-22 0

ALLIANZ GLOBAL INVESTORS OF AMERICA L P

  • AFFILIATED ENTITY
0 2010-02-10 0

JACOBSON JAMES A

  • Director
0 2009-12-14 0

KASS JUSTIN

  • PORTFOLIO MANAGER
0 2009-07-06 0

PISANO ALBERT A

  • AFFILIATED PERSON
0 2008-10-01 0

WUSSOW DEBORAH A

  • AFFILIATED PERSON
0 2008-09-23 0

YEE MICHAEL

  • PORTFOLIO MANAGER
0 2008-09-05 0

TAEL STEVEN

  • PORTFOLIO MANAGER
0 2008-09-05 0

GHOSH KUNAL

  • PORTFOLIO MANAGER
0 2008-09-05 0

TAYLOR DIANA L

  • Director
0 2008-06-10 0

RICH KATHERINE A.

  • AFFILIATED PERSON
0 2008-05-16 0

COCHRAN RICHARD J ASSISTANT TREASURER

  • Officer
0 2008-04-28 0

OGDEN WILLIAM B IV

SULLIVAN R PETER III

  • Director
0 2008-03-12 0

OGDEN WILLIAM B IV

  • Director
0 2008-03-12 0

CONNOR ROBERT E

  • Director
0 2007-09-25 0

ALTADONNA LAWRENCE G TREASURER

  • Officer
0 2007-09-25 0

BELICA PAUL

  • Director
0 2007-09-25 0

KERTESS HANS W

  • Director
0 2007-09-25 0

WHITTINGTON MARNA C

  • AFFILIATED PERSON
0 2007-09-25 0

VALEIRAS HORATIO

  • AFFILIATED PERSON
0 2007-09-25 0

FORSYTH DOUGLAS

  • AFFILIATED PERSON
0 2007-09-25 0

FIELD CHARLES

  • AFFILIATED PERSON
0 2007-09-25 0

MOORE E BLAKE JR

  • AFFILIATED PERSON
0 2007-09-25 0

HEALEY WILLIAM V ASSISTANT SECRETARY

  • Officer
0 2007-09-25 0

GUIA YOUSE CHIEF COMPLIANCE OFFICER

  • Officer
0 2007-09-25 0

CLAUSSEN BARBARA R

  • AFFILIATED PERSON
0 2007-09-25 0

MCCRAW JOHN

  • AFFILIATED PERSON
0 2007-09-25 0

KIRK RICHARD H ASSISTANT SECRETARY

  • Officer
0 2007-09-25 0

CHAPMAN KATHLEEN A ASSISTANT SECRETARY

  • Officer
0 2007-09-25 0

WHISTEN SCOTT ASSISTANT TREASURER

  • Officer
0 2007-09-25 0

MANEY JOHN C

  • Director
0 2007-09-25 0

KOEPFGEN BRUCE L

  • AFFILIATED PERSON
0 2007-09-25 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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