0000869392-20-000199.txt : 20200205
0000869392-20-000199.hdr.sgml : 20200205
20200205113909
ACCESSION NUMBER: 0000869392-20-000199
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191130
FILED AS OF DATE: 20200205
DATE AS OF CHANGE: 20200205
EFFECTIVENESS DATE: 20200205
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PUTNAM EQUITY INCOME FUND
CENTRAL INDEX KEY: 0000216934
IRS NUMBER: 046407893
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-02742
FILM NUMBER: 20577149
BUSINESS ADDRESS:
STREET 1: ONE POST OFFICE SQ
STREET 2: MAILSTOP A 14
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 8002551581
MAIL ADDRESS:
STREET 1: 100 FEDERAL STREET
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM EQUITY INCOME FUND/NEW/
DATE OF NAME CHANGE: 19940302
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM STRATEGIC INCOME TRUST
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM OPTION INCOME TRUST
DATE OF NAME CHANGE: 19910307
0000216934
S000005581
PUTNAM EQUITY INCOME FUND
C000015218
Class A Shares
PEYAX
C000015219
Class B Shares
PEQNX
C000015220
Class C Shares
PEQCX
C000015222
Class R Shares
PEQRX
C000015223
Class Y Shares
PEIYX
C000118171
Class R5
C000118172
Class R6
N-CEN
1
primary_doc.xml
X0201
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LIVE
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false
false
N-1A
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true
Putnam Equity Income Fund
811-02742
0000216934
CZH3VR3I6CWL6QA8GG38
100 FEDERAL STREET
BOSTON
02110
US-MA
US
1-800-225-1581
State Street Bank and Trust Company
225 FRANKLIN STREET
BOSTON
02110
1-617-786-3000
Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the Rules promulgated thereunder are responded to under B.3.a-g
Higgins Michael J.
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the Rules promulgated thereunder are responded to under B.3.a-g
Putnam Investment Management, LLC
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the Rules promulgated thereunder are responded to under B.3.a-g
Putnam Retail Management Limited Partnership
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the Rules promulgated thereunder are responded to under B.3.a-g
Putnam Investor Services, Inc.
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940, as amended, and the Rules promulgated thereunder are responded to under B.3.a-g
N
N
N-1A
1
Y
Putnam, III George
004355835
N
Reynolds Robert L
002009065
Y
Singh Manoj P
N/A
N
Ahamed Liaquat
N/A
N
Akhoury Ravi
N/A
N
Baumann Barbara M
N/A
N
Domotorffy Katinka
004506390
N
Hill Catharine Bond
N/A
N
Joskow Paul L
N/A
N
Leibler Kenneth R
N/A
N
Patterson Robert E
N/A
N
Clark James F
N/A
100 FEDERAL STREET
BOSTON
02110
XXXXXX
N
N
N
N
N
N
Putnam Retail Management Limited Partnership
8-5088
000007325
N/A
Y
N
KPMG LLP
00185
N/A
N
N
N
N
N
N
N
Putnam Equity Income Fund
S000005581
CZH3VR3I6CWL6QA8GG38
N
7
0
1
N/A
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
N/A
115951304.00
1353899.00
Rule 17e-1 (17 CFR 270.17e-1)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 17a-6 (17 CFR 270.17a-6)
Rule 17a-7 (17 CFR 270.17a-7)
Y
N
N
N
Putnam Investment Management, LLC
801-7974
000106629
N/A
N
Putnam Investments Limited
801-61441
000122254
N/A
Y
GB
N
Putnam Investor Services, Inc.
84-06331
N/A
Y
N
N
ICE Data Services (Corp)
5493000NQ9LYLDBCTL34
N
Reuters
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N
Reuters (equities)
549300561UZND4C7B569
N
ICE Data Services (Convert)
5493000NQ9LYLDBCTL34
N
N
State Street Bank and Trust Company
N/A
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
N
Putnam Investor Services, Inc.
N/A
Y
N
N
N
UBSW - UBS SECURITIES L.L.C.
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
280287.34
JPMS - J.P. MORGAN SECURITIES, LLC.
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MSCO - MORGAN STANLEY & CO. LLC
8-15869
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201579.61
SBER - BERNSTEIN (SANFORD C.) & CO., L.L.C.
8-52942
000104474
549300I7JYZHT7D5CO04
152342.88
MLCO - BofA Securities, Inc.
8-7221
000007691
549300HN4UKV1E2R3U73
148613.25
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
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106214.5
JONE - JONESTRADING
8-26089
000006888
2138008JJ5PA8H5UIL69
73671.15
WEED - PIPER JAFFRAY & CO. (formerly WEEDEN & CO. L.P.)
8-37267
000016835
QUQDBTUSOAKFEVMRMF78
69244.14
ITGI - INVESTMENT TECHNOLOGY, INC.
8-44218
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549300S41SMIODVIT266
64803.97
CGML - CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
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55849.77
1897246.96
CGMI - CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
11862922000
HSBCP - HSBC BANK PLC
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
GB
9371736000
BCAP - BARCLAYS CAPITAL, INC.
8-41342
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AC28XWWI3WIBK2824319
2228687446.93
MLCO - BofA Securities, Inc.
8-7221
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549300HN4UKV1E2R3U73
624664656.96
RBCA - ROYAL BANK OF CANADA
8-45411
000031194
ES7IP3U3RHIGC71XBU11
CA
401672000
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
185160727.41
CITG - CITIGROUP GLOBAL MARKETS, INC./SALOMON BROTHERS
8-8177
000007059
MBNUM2BPBDO7JBLYG310
115080617.93
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
104735013.88
BNPP - BNP PARIBAS
8-32682
000015794
RCNB6OTYUAMMP879YW96
69094000
NMRA - NOMURA SECURITIES INTERNATIONAL, INC.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
68831720.5
25055611992.54
Y
12528167416.456
0
Committed
317500000
N
Uncommitted
235500000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
G.1.a.iii012.txt
INFORMATION ABOUT THE REGISTRANT
KPMG LLP
Two Financial
Center 60
South Street
Boston, MA 02111
Report of Independent Registered Public Accounting Firm
Shareholders and the Board of
Trustees
Putnam Equity Income Fund:
In planning and performing our audit of the financial statements of Putnam
Equity Income Fund (the Fund), as of and for the year ended November 30,
2019, in accordance with the standards of the Public Company Accounting
Oversight Board (United States), we considered the Funds internal control
over financial reporting, including controls over safeguarding securities, as
a basis for designing our auditing procedures for the purpose of expressing
our opinion on the financial statements and to comply with the requirements
of Form NCEN, but not for the purpose of expressing an opinion on the
effectiveness of the Funds internal control over financial reporting.
Accordingly, we express no such opinion.
Management of the Fund is responsible for establishing and maintaining
effective internal control over financial reporting. In fulfilling this
responsibility, estimates and judgments by management are required to assess
the expected benefits and related costs of controls. A companys internal
control over financial reporting is a process designed to provide reasonable
assurance regarding the reliability of financial reporting and the
preparation of financial statements for external purposes in accordance with
generally accepted accounting principles (GAAP). A companys internal control
over financial reporting includes those policies and procedures that (1)
pertain to the maintenance of records that, in reasonable detail, accurately
and fairly reflect the transactions and dispositions of the assets of the
company; (2) provide reasonable assurance that transactions are recorded as
necessary to permit preparation of financial statements in accordance with
GAAP, and that receipts and expenditures of the company are being made only
in accordance with authorizations of management and trustees of the company;
and (3) provide reasonable assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of the companys assets that
could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial
reporting may not prevent or detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are subject to the risk that
controls may become inadequate because of changes in conditions, or that the
degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the
design or operation of a control does not allow management or employees, in
the normal course of performing their assigned functions, to prevent or
detect misstatements on a timely basis. A material weakness is a
deficiency, or a combination of deficiencies, in internal control over
financial reporting, such that there is a reasonable possibility that a
material misstatement of a funds annual or interim financial statements will
not be prevented or detected on a timely basis.
Our consideration of the Funds internal control over financial reporting was
for the limited purpose described in the first paragraph and would not
necessarily disclose all deficiencies in internal control that might be
material weaknesses under standards established by the Public Company
Accounting Oversight Board (United States). However, we noted no deficiencies
in the Funds internal control over financial reporting and its operations,
including controls over safeguarding securities that we consider to be a
material weakness defined above as of November 30, 2019.
This report is intended solely for the information and use of management and
the Board of Trustees of Putnam Equity Income Fund and the Securities and
Exchange Commission and is not intended to be and should not be used by
anyone other than these specified parties.
Boston, Massachusetts
January 10, 2020
2