0000869392-23-002614.txt : 20231208
0000869392-23-002614.hdr.sgml : 20231208
20231208132948
ACCESSION NUMBER: 0000869392-23-002614
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230930
FILED AS OF DATE: 20231208
DATE AS OF CHANGE: 20231208
EFFECTIVENESS DATE: 20231208
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PUTNAM MORTGAGE SECURITIES FUND
CENTRAL INDEX KEY: 0000732337
IRS NUMBER: 042811119
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-03897
FILM NUMBER: 231474866
BUSINESS ADDRESS:
STREET 1: 100 FEDERAL STREET
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 6172921000
MAIL ADDRESS:
STREET 1: 100 FEDERAL STREET
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM U S GOVERNMENT INCOME TRUST
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM U S GOVERNMENT GUARANTEED SECURITIES INCOME TRUST
DATE OF NAME CHANGE: 19910102
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM UNITED STATES GOVERNMENT SECURITIES INCOME FUND
DATE OF NAME CHANGE: 19840806
0000732337
S000006570
PUTNAM MORTGAGE SECURITIES FUND
C000017922
Class A Shares
PGSIX
C000017923
Class B Shares
PGSBX
C000017924
Class C Shares
PGVCX
C000017926
Class R Shares
PGVRX
C000017927
Class Y Shares
PUSYX
C000200295
Class R6 Shares
N-CEN
1
primary_doc.xml
X0404
N-CEN
LIVE
0000732337
XXXXXXXX
false
false
N-1A
S000006570
true
Putnam Mortgage Securities Fund
811-03897
0000732337
V36NQTUWG8SKLKSHZZ27
100 FEDERAL STREET
BOSTON
02110
US-MA
US
1-800-225-1581
Putnam Investor Services, Inc.
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Records include 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
Putnam Retail Management Limited Partnership
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Records include 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
Putnam Investment Management, LLC
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Records include 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
Higgins Michael J.
100 FEDERAL STREET
BOSTON
02110
1-800-225-1581
Records include 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
State Street Bank and Trust Company
2 AVENUE DE LAFAYETTE
BOSTON
02111
1-617-786-3000
Records include 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
State Street Bank and Trust Company
225 FRANKLIN STREET
BOSTON
02110
1-617-786-3000
Records include 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
N
N
N-1A
1
Y
Williams Murphy Jennifer
001552370
N
Pillai Marie
N/A
N
Ahamed Liaquat
N/A
N
Baumann Barbara M
N/A
N
Domotorffy Katinka
004506390
N
Hill Catharine Bond
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
N
N
N
N
N
N
N
Putnam Mortgage Securities Fund
S000006570
V36NQTUWG8SKLKSHZZ27
N
6
0
0
N/A
N
N
Y
N
N/A
0.00
0.00
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)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 18f-4 (17 CFR 270.18f-4)
Y
Y
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
PRICESERVE
54930015EWCI4VNCZP82
N
MARKIT
549300HLPTRASHS0E726
GB
N
ICE Data Services (Corp)
5493000NQ9LYLDBCTL34
N
PDVENDOR
549300WIC0TOJ7N7GD54
N
Reuters
549300561UZND4C7B569
N
JPM Pricing Direct
549300WIC0TOJ7N7GD54
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
CITI - CITIBANK, N.A.
8-8177
000007059
E57ODZWZ7FF32TWEFA76
11027.25
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
3296.25
14323.5
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
9424745580.91
CGMI - CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
5392702233.26
MLCO - BofA Securities, Inc.
8-7221
000007691
549300HN4UKV1E2R3U73
5255974592.48
MSCO - MORGAN STANLEY & CO. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
5214997279.06
GSCO - GOLDMAN SACHS & CO LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
4676811237.97
BCAP - BARCLAYS CAPITAL, INC.
8-41342
000019714
AC28XWWI3WIBK2824319
4112648815.01
WCHV - WELLS FARGO SECURITIES, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
541861685.11
DAWA - DAIWA CAPITAL MARKETS AMERICA INC.
8-12242
000001576
M67H5PRC0NQKM73ZAS82
135511875
CSAG - CREDIT SUISSE AG, NEW YORK BRANCH
8-422
000000816
ANGGYXNX0JLX3X63JN86
58572031.25
BMOC - BMO CAPITAL MARKETS CORP.
8-34344
000016686
RUC0QBLBRPRCU4W1NE59
50123958.01
35015889654.32
Y
454427444.83
0.00
Committed
160000000
N
Uncommitted
235500000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
G.1.a.iii032.txt
INFORMATION ABOUT THE REGISTRANT
Report of Independent Registered Public Accounting Firm
To the Board of Trustees and Shareholders of Putnam Mortgage
Securities Fund:
In planning and performing our audit of the financial statements
of Putnam Mortgage Securities Fund (the Fund) as of and for the
year ended September 30, 2023, 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 NCEN, 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 September 30, 2023.
?
This report is intended solely for the information and use of the
Board of Trustees of Putnam Mortgage Securities 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
November 6, 2023
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