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 N-CEN LIVE 0000216934 XXXXXXXX false false N-1A S000005581 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 549300561UZND4C7B569 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. 8-35008 000000079 ZBUT11V806EZRVTWT807 219805.89 MSCO - MORGAN STANLEY & CO. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 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 000000816 1V8Y6QCX6YMJ2OELII46 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 000029299 549300S41SMIODVIT266 64803.97 CGML - CITIGROUP GLOBAL MARKETS INC 8-8177 000007059 6SHGI4ZSSLCXXQSBB395 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 000019714 AC28XWWI3WIBK2824319 2228687446.93 MLCO - BofA Securities, Inc. 8-7221 000007691 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