0000869392-21-000218.txt : 20210128
0000869392-21-000218.hdr.sgml : 20210128
20210128083419
ACCESSION NUMBER: 0000869392-21-000218
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201130
FILED AS OF DATE: 20210128
DATE AS OF CHANGE: 20210128
EFFECTIVENESS DATE: 20210128
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: 21562129
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
X0303
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 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
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
N
N
N-1A
1
Y
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
Putnam, III George
004355835
N
Reynolds Robert L
002009065
Y
Singh Manoj P
N/A
N
Sutphen Mona K
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
PricewaterhouseCoopers LLP
238
5493002GVO7EO8RNNS37
Y
N
N
N
N
N
N
Putnam Equity Income Fund
S000005581
CZH3VR3I6CWL6QA8GG38
N
7
0
0
N/A
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
165541728.00
387298.00
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
MLCO - BofA Securities, Inc.
8-7221
000007691
549300HN4UKV1E2R3U73
416813.7
UBSW - UBS SECURITIES L.L.C.
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
406525.08
MSCO - MORGAN STANLEY & CO. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
386778.64
JONE - JONESTRADING
8-26089
000006888
2138008JJ5PA8H5UIL69
238218.87
CGML - CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
205003.25
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
203297.99
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
172506.1
RBCD - RBC CAPITAL MARKETS LLC
8-45411
000031194
549300LCO2FLSSVFFR64
156343.86
SPHN - STEPHENS, INC.
8-1927
000003496
213800LH6T9XDYZCA534
153610.58
PIJF - PIPER JAFFRAY & CO. (formerly WEEDEN & CO. L.P.)
8-15204
000000665
QUQDBTUSOAKFEVMRMF78
140627.83
3253328.9
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
2262231250.03
RBCA - ROYAL BANK OF CANADA
8-45411
000031194
ES7IP3U3RHIGC71XBU11
CA
1830537000
CGMI - CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
1488643000
HSBCP - HSBC BANK PLC
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
GB
1267627000
MLCO - BofA Securities, Inc.
8-7221
000007691
549300HN4UKV1E2R3U73
967385348.54
BCAP - BARCLAYS CAPITAL, INC.
8-41342
000019714
AC28XWWI3WIBK2824319
788376173.28
GSCO - GOLDMAN SACHS & CO LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
306224232.38
RBCD - RBC CAPITAL MARKETS LLC
8-45411
000031194
549300LCO2FLSSVFFR64
121501736.93
MSCO - MORGAN STANLEY & CO. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
81292601
BNPP - BNP PARIBAS
8-32682
000015794
RCNB6OTYUAMMP879YW96
70500000
9269135415.97
Y
12192445269.20
0.00
Committed
317500000
N
Uncommitted
235500000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
G.1.aiii012.txt
INFORMATION ABOUT THE REGISTRANT
Report of Independent Registered Public Accounting Firm
To the Board of Trustees and Shareholders of 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, 2020, in accordance with the standards of the Public Company
Accounting Oversight Board (United States) (PCAOB), 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 N CEN, but not for the purpose of
expressing an opinion on the effectiveness of the Funds internal control
over financial reporting. Accordingly, we do not express an opinion on
the effectiveness of the Funds internal control over financial reporting.
The 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. 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 generally accepted accounting principles, and that receipts and
expenditures of the company are being made only in accordance with
authorizations of management and directors of the company; and (3)
provide reasonable assurance regarding prevention or timely detection of
unauthorized acquisition, use or disposition of a 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 the companys 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 over
financial reporting that might be material weaknesses under standards
established by the PCAOB. However, we noted no deficiencies in the Funds
internal control over financial reporting and its operation, including
controls over safeguarding securities, that we consider to be material
weaknesses as defined above as of November 30, 2020.
This report is intended solely for the information and use of 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.
PricewaterhouseCoopers LLP
Boston, Massachusetts
January 13, 2021
1 of 1
1 of 1
PricewaterhouseCoopers LLP, 101 Seaport Boulevard, Suite 500, Boston, MA 02210
T: (617)530 5000, F: (617) 530 5001, www.pwc.com/us