Allianz Investment Management U.S. LLC Activity Q1 2021-Q3 2023

Q3 2023

			Value		Shares		↓ Weighting
SPIB	Sell	SPDR SERIES TRUSTportfolio intrmd	$12,788,262	-5.5%	406,622	-3.6%	0.79%	-0.5%
AZAO	Sell	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$9,380,268	-8.7%	296,750	-7.0%	0.58%	-4.0%
	Sell	AIM ETF PRODUCTS TRUSTus large cap 6 mon	$8,120,760	-16.2%	298,887	-14.9%	0.50%	-11.8%
	Sell	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$5,149,815	-2.9%	194,700	-2.5%	0.32%	+1.9%
	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$4,960,603	-3.3%	194,381	-2.5%	0.31%	+2.0%
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf10	$4,859,274	–	198,906	–	0.30%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf10	$4,840,728	–	199,700	–	0.30%	–
	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$4,821,439	-6.9%	188,117	-5.0%	0.30%	-2.0%
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$4,807,251	–	199,223	–	0.30%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$4,766,477	–	200,020	–	0.30%	–
	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$4,701,078	-10.8%	179,362	-7.7%	0.29%	-6.1%
	Sell	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$4,698,588	-10.7%	179,541	-10.0%	0.29%	-5.8%
	Sell	AIM ETF PRODUCTS TRUSTus lrg cap buf10	$4,584,086	-12.5%	174,765	-10.3%	0.28%	-8.1%
	Sell	AIM ETF PRODUCTS TRUSTus lrg cap buf10	$4,501,948	-17.4%	163,886	-14.4%	0.28%	-13.1%
	Sell	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$3,498,063	-22.6%	127,434	-21.5%	0.22%	-18.8%
AZAA	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$2,042,857	-8.8%	66,456	-7.0%	0.13%	-4.5%
	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$1,526,612	-56.5%	58,201	-55.5%	0.09%	-54.4%

Q2 2023

			Value		Shares		↓ Weighting
LQD	New	ISHARES TRiboxx inv cp etf	$1,181,776,089	–	10,928,205	–	69.42%	–
VCLT	New	VANGUARD SCOTTSDALE FDSlg-term cor bd	$189,487,821	–	2,416,012	–	11.13%	–
IGLB	New	ISHARES TR10+ yr invst grd	$79,783,920	–	1,548,000	–	4.69%	–
IGIB	New	ISHARES TRintrmd cr bd etf	$39,393,211	–	779,292	–	2.31%	–
EMNT	New	PIMCO ETF TRenhancd short	$24,377,100	–	249,000	–	1.43%	–
VWOB	New	VANGUARD WHITEHALL FDSem mk gov bd etf	$23,448,078	–	377,100	–	1.38%	–
HYG	New	ISHARES TRiboxx hi yd etf	$22,524,000	–	300,000	–	1.32%	–
	New	IMPACT SHS TR Iaffordable hous	$21,328,667	–	1,248,751	–	1.25%	–
SPIB	New	SPDR SERIES TRUSTportfolio intrmd	$13,538,283	–	421,622	–	0.80%	–
AZAO	New	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$10,276,658	–	319,250	–	0.60%	–
	New	AIM ETF PRODUCTS TRUSTus large cap 6 mon	$9,687,740	–	351,387	–	0.57%	–
	New	AIM ETF PRODUCTS TRUSTallianzim u s la	$8,921,831	–	358,883	–	0.52%	–
ANGL	New	VANECK VECTORS ETF TRfallen angel hg	$6,885,646	–	248,042	–	0.40%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf10	$5,452,587	–	191,386	–	0.32%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf10	$5,452,364	–	199,940	–	0.32%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$5,304,032	–	199,700	–	0.31%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$5,271,097	–	194,362	–	0.31%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$5,263,892	–	199,541	–	0.31%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf10	$5,241,126	–	194,765	–	0.31%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$5,231,678	–	199,302	–	0.31%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$5,176,797	–	198,117	–	0.30%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$5,141,872	–	199,143	–	0.30%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$5,128,079	–	199,381	–	0.30%	–
IGSB	New	ISHARES TRsh tr crport etf	$4,847,663	–	96,644	–	0.28%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cap buf20	$4,520,538	–	162,434	–	0.27%	–
	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$3,510,629	–	130,701	–	0.21%	–
AZAA	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$2,240,146	–	71,456	–	0.13%	–
MINT	New	PIMCO ETF TRenhan shrt ma ac	$981,341	–	9,838	–	0.06%	–
HYS	New	PIMCO ETF TR0-5 high yield	$909,004	–	9,977	–	0.05%	–
CORP	New	PIMCO ETF TRinv grd crp bd	$853,830	–	9,000	–	0.05%	–
AZBO	New	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$151,900	–	5,000	–	0.01%	–
AZBL	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$148,850	–	5,000	–	0.01%	–
AZBA	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$112,360	–	4,000	–	0.01%	–
AZAL	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$41,304	–	1,310	–	0.00%	–

Q4 2022

			Value		Shares		↓ Weighting
AZAL	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$0	–	-1,310	–	-0.00%	–
AZBA	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$0	–	-4,000	–	-0.01%	–
CORP	Exit	PIMCO ETF TRinv grd crp bd	$0	–	-9,000	–	-0.08%	–
AZBL	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$0	–	-31,972	–	-0.08%	–
HYS	Exit	PIMCO ETF TR0-5 high yield	$0	–	-9,977	–	-0.08%	–
MINT	Exit	PIMCO ETF TRenhan shrt ma ac	$0	–	-9,838	–	-0.09%	–
AZAA	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$0	–	-76,517	–	-0.18%	–
IGSB	Exit	ISHARES TRsh tr crport etf	$0	–	-124,144	–	-0.57%	–
ANGL	Exit	VANECK VECTORS ETF TRfallen angel hg	$0	–	-248,042	–	-0.61%	–
	Exit	AIM ETF PRODUCTS TRUSTallianzim u s la	$0	–	-398,883	–	-0.82%	–
AZBO	Exit	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$0	–	-408,000	–	-1.02%	–
	Exit	AIM ETF PRODUCTS TRUSTus large cap 6 mon	$0	–	-490,780	–	-1.07%	–
AZAO	Exit	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$0	–	-579,301	–	-1.44%	–
	Exit	IMPACT SHS TR Iaffordable hous	$0	–	-1,248,751	–	-1.97%	–
HYG	Exit	ISHARES TRiboxx hi yd etf	$0	–	-300,000	–	-2.00%	–
VWOB	Exit	VANGUARD WHITEHALL FDSem mk gov bd etf	$0	–	-377,100	–	-2.02%	–
EMNT	Exit	PIMCO ETF TRenhancd short	$0	–	-249,000	–	-2.28%	–
SPIB	Exit	SPDR SERIES TRUSTportfolio intrmd	$0	–	-1,387,722	–	-4.06%	–
IGIB	Exit	ISHARES TRintrmd cr bd etf	$0	–	-999,292	–	-4.50%	–
IGLB	Exit	ISHARES10+ yr invt grd	$0	–	-1,548,000	–	-6.97%	–
VCLT	Exit	VANGUARD SCOTTSDALE FDSlg-term cor bd	$0	–	-2,358,512	–	-16.13%	–
LQD	Exit	ISHARES TRiboxx inv cp etf	$0	–	-5,645,835	–	-54.01%	–

Q3 2022

			Value		Shares		↓ Weighting
LQD	Buy	ISHARES TRiboxx inv cp etf	$578,416,000	-6.4%	5,645,835	+0.5%	54.01%	-0.9%
IGLB	Buy	ISHARES10+ yr invt grd	$74,660,000	-4.6%	1,548,000	+5.3%	6.97%	+1.0%
IGIB	Buy	ISHARES TRintrmd cr bd etf	$48,246,000	+82.3%	999,292	+92.8%	4.50%	+93.0%
SPIB	Sell	SPDR SERIES TRUSTportfolio intrmd	$43,463,000	-5.0%	1,387,722	-1.1%	4.06%	+0.6%
AZAO	Sell	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$15,474,000	-8.3%	579,301	-7.2%	1.44%	-2.9%
	Sell	AIM ETF PRODUCTS TRUSTus large cap 6 mon	$11,447,000	-3.8%	490,780	-1.0%	1.07%	+1.9%
AZBO	Sell	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$10,912,000	-37.0%	408,000	-38.5%	1.02%	-33.3%
IGSB	Sell	ISHARES TRsh tr crport etf	$6,118,000	-21.5%	124,144	-19.5%	0.57%	-16.9%
AZAA	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$1,966,000	-18.2%	76,517	-16.4%	0.18%	-13.2%
AZBL	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$824,000	-83.3%	31,972	-82.9%	0.08%	-82.3%
AZBA	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$100,000	–	4,000	–	0.01%	–
AZAL	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$34,000	-98.8%	1,310	-98.8%	0.00%	-98.8%

Q2 2022

			Value		Shares		↓ Weighting
LQD	New	ISHARES TRiboxx inv cp etf	$618,023,000	–	5,615,835	–	54.49%	–
VCLT	New	VANGUARD SCOTTSDALE FDSlg-term cor bd	$191,299,000	–	2,358,512	–	16.87%	–
IGLB	New	ISHARES10+ yr invt grd	$78,278,000	–	1,470,000	–	6.90%	–
SPIB	New	SPDR SERIES TRUSTportfolio intrmd	$45,771,000	–	1,402,722	–	4.04%	–
IGIB	New	ISHARES TRintrmd cr bd etf	$26,469,000	–	518,392	–	2.33%	–
EMNT	New	PIMCO ETF TRenhancd short	$24,517,000	–	249,000	–	2.16%	–
VWOB	New	VANGUARD WHITEHALL FDSem mk gov bd etf	$23,090,000	–	377,100	–	2.04%	–
	New	IMPACT SHS TR Iaffordable hous	$22,265,000	–	1,248,751	–	1.96%	–
HYG	New	ISHARES TRiboxx hi yd etf	$22,080,000	–	300,000	–	1.95%	–
AZBO	New	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$17,318,000	–	663,000	–	1.53%	–
AZAO	New	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$16,875,000	–	624,301	–	1.49%	–
	New	AIM ETF PRODUCTS TRUSTus large cap 6 mon	$11,899,000	–	495,780	–	1.05%	–
	New	AIM ETF PRODUCTS TRUSTallianzim u s la	$8,903,000	–	398,883	–	0.78%	–
IGSB	New	ISHARES TRsh tr crport etf	$7,790,000	–	154,144	–	0.69%	–
ANGL	New	VANECK VECTORS ETF TRfallen angel hg	$6,700,000	–	248,042	–	0.59%	–
AZBL	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$4,929,000	–	186,972	–	0.44%	–
AZAL	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$2,872,000	–	106,310	–	0.25%	–
AZAA	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$2,403,000	–	91,517	–	0.21%	–
MINT	New	PIMCO ETF TRenhan shrt ma ac	$975,000	–	9,838	–	0.09%	–
HYS	New	PIMCO ETF TR0-5 high yield	$883,000	–	9,977	–	0.08%	–
CORP	New	PIMCO ETF TRinv grd crp bd	$867,000	–	9,000	–	0.08%	–

Q4 2021

			Value		Shares		↓ Weighting
AZBJ	Exit	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$0	–	-30,000	–	-0.05%	–
HYS	Exit	PIMCO ETF TR0-5 high yield	$0	–	-9,977	–	-0.07%	–
MINT	Exit	PIMCO ETF TRenhan shrt ma ac	$0	–	-9,838	–	-0.07%	–
CORP	Exit	PIMCO ETF TRinv grd crp bd	$0	–	-9,000	–	-0.07%	–
AZAJ	Exit	AIM ETF PRODUCTS TRUSTus lrg cp bufr10	$0	–	-40,000	–	-0.07%	–
AZBA	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$0	–	-75,000	–	-0.13%	–
AZAA	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$0	–	-132,517	–	-0.25%	–
AZAL	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$0	–	-213,810	–	-0.40%	–
AZBL	Exit	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$0	–	-237,872	–	-0.42%	–
IGSB	Exit	ISHARES TRsh tr crport etf	$0	–	-193,449	–	-0.71%	–
AZAO	Exit	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$0	–	-711,801	–	-1.37%	–
AZBO	Exit	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$0	–	-850,000	–	-1.53%	–
	Exit	IMPACT SHS TR Iaffordable hous	$0	–	-1,248,751	–	-1.66%	–
EMNT	Exit	PIMCO ETF TRenhancd short	$0	–	-249,000	–	-1.68%	–
IGIB	Exit	ISHARES TRintrmd cr bd etf	$0	–	-565,762	–	-2.28%	–
ANGL	Exit	VANECK VECTORS ETF TRfallen angel hg	$0	–	-1,500,000	–	-3.32%	–
SPIB	Exit	SPDR SERIES TRUSTportfolio intrmd	$0	–	-1,625,340	–	-3.98%	–
IGLB	Exit	ISHARES10+ yr invt grd	$0	–	-1,470,000	–	-6.82%	–
VCLT	Exit	VANGUARD SCOTTSDALE FDSlg-term cor bd	$0	–	-2,474,326	–	-17.48%	–
LQD	Exit	ISHARES TRiboxx inv cp etf	$0	–	-6,473,563	–	-57.66%	–

Q3 2021

			Value		Shares		↓ Weighting
LQD	Sell	ISHARES TRiboxx inv cp etf	$861,372,000	-28.6%	6,473,563	-27.9%	57.66%	-8.1%
VCLT	Sell	VANGUARD SCOTTSDALE FDSlg-term cor bd	$261,116,000	-7.0%	2,474,326	-5.7%	17.48%	+19.7%
SPIB	Sell	SPDR SERIES TRUSTportfolio intrmd	$59,374,000	-1.2%	1,625,340	-0.8%	3.98%	+27.1%
ANGL	Sell	VANECK VECTORS ETF TRfallen angel hg	$49,560,000	-55.1%	1,500,000	-55.3%	3.32%	-42.2%
	New	IMPACT SHS TR Iaffordable hous	$24,738,000	–	1,248,751	–	1.66%	–
AZBO	Sell	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$22,823,000	-12.6%	850,000	-12.8%	1.53%	+12.4%
AZAO	Sell	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$20,479,000	-13.4%	711,801	-14.1%	1.37%	+11.5%
AZBL	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$6,304,000	-45.7%	237,872	-45.7%	0.42%	-30.0%
AZAL	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$5,944,000	-50.2%	213,810	-50.2%	0.40%	-35.8%
AZAA	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$3,710,000	-36.2%	132,517	-36.4%	0.25%	-18.2%
AZBA	Sell	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$1,982,000	-41.0%	75,000	-41.1%	0.13%	-24.0%
AZAJ	Sell	AIM ETF PRODUCTS TRUSTus lrg cp bufr10	$1,094,000	-61.3%	40,000	-61.4%	0.07%	-50.3%
AZBJ	Sell	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$787,000	-81.4%	30,000	-81.5%	0.05%	-76.0%

Q2 2021

			Value		Shares		↓ Weighting
LQD	New	ISHARES TRiboxx inv cp etf	$1,205,688,000	–	8,973,563	–	62.72%	–
VCLT	New	VANGUARD SCOTTSDALE FDSlg-term cor bd	$280,645,000	–	2,624,326	–	14.60%	–
ANGL	New	VANECK VECTORS ETF TRfallen angel hg	$110,282,000	–	3,352,050	–	5.74%	–
IGLB	New	ISHARES10+ yr invt grd	$103,194,000	–	1,470,000	–	5.37%	–
SPIB	New	SPDR SERIES TRUSTportfolio intrmd	$60,109,000	–	1,637,840	–	3.13%	–
IGIB	New	ISHARES TRintrmd cr bd etf	$34,240,000	–	565,762	–	1.78%	–
AZBO	New	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$26,125,000	–	975,000	–	1.36%	–
EMNT	New	PIMCO ETF TRenhancd short	$25,064,000	–	249,000	–	1.30%	–
AZAO	New	AIM ETF PRODUCTS TRUSTus lrg cp bfr 10	$23,637,000	–	828,801	–	1.23%	–
AZAL	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$11,927,000	–	429,110	–	0.62%	–
AZBL	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$11,599,000	–	438,372	–	0.60%	–
IGSB	New	ISHARES TRsh tr crport etf	$10,603,000	–	193,449	–	0.55%	–
AZAA	New	AIM ETF PRODUCTS TRUSTus lrg cp buf10	$5,816,000	–	208,517	–	0.30%	–
AZBJ	New	AIM ETF PRODUCTS TRUSTus lrg cp bufr20	$4,241,000	–	161,917	–	0.22%	–
AZBA	New	AIM ETF PRODUCTS TRUSTus lrg cp buf20	$3,360,000	–	127,237	–	0.18%	–
AZAJ	New	AIM ETF PRODUCTS TRUSTus lrg cp bufr10	$2,825,000	–	103,603	–	0.15%	–
CORP	New	PIMCO ETF TRinv grd crp bd	$1,030,000	–	9,000	–	0.05%	–
MINT	New	PIMCO ETF TRenhan shrt ma ac	$1,003,000	–	9,838	–	0.05%	–
HYS	New	PIMCO ETF TR0-5 high yield	$997,000	–	9,977	–	0.05%	–

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