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