0000869392-11-000175.txt : 20111222
0000869392-11-000175.hdr.sgml : 20111222
20111222141705
ACCESSION NUMBER: 0000869392-11-000175
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20111031
FILED AS OF DATE: 20111222
DATE AS OF CHANGE: 20111222
EFFECTIVENESS DATE: 20111222
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PUTNAM CONVERTIBLE SECURITIES FUND
CENTRAL INDEX KEY: 0000081247
IRS NUMBER: 042493360
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-02280
FILM NUMBER: 111277052
BUSINESS ADDRESS:
STREET 1: ONE POST OFFICE SQ
STREET 2: MAILSTOP A 14
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 6172921000
MAIL ADDRESS:
STREET 1: ONE POST OFFICE SQUARE
CITY: BOSTON
STATE: MA
ZIP: 02109
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM CONVERTIBLE INCOME GROWTH TRUST
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM CONVERTIBLE FUND
DATE OF NAME CHANGE: 19841212
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM CONVERTIBLE FUND INC /PRED/
DATE OF NAME CHANGE: 19821109
0000081247
S000005511
PUTNAM CONVERTIBLE SECURITIES FUND
C000015003
Class C Shares
C000015004
Class A Shares
PCONX
C000015005
Class B Shares
PCNBX
C000015006
Class M Shares
PCNMX
C000015007
Class R Shares
PCVRX
C000015008
Class Y Shares
PCGYX
NSAR-B
1
answer.fil
PAGE 1
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020 C000001 49
020 A000002 GOLDMAN SACHS & CO.
020 B000002 13-5108880
PAGE 4
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020 B000003 95-2622900
020 C000003 24
020 A000004 RBC CAPITAL MARKETS CORP.
020 B000004 13-5033225
020 C000004 19
020 A000005 COLLINS STEWART, INC.
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020 C000005 12
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022 A000004 CITIBANK, N.A.
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022 C000004 29632
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PAGE 5
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022 C000007 20948
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022 C000008 28843
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022 C000010 22010
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PAGE 6
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PAGE 7
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PAGE 8
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PAGE 9
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PAGE 10
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PAGE 11
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SIGNATURE JANET C. SMITH
TITLE PRINC. ACCT. OFFICER
EX-99
2
perclass008.txt
Putnam Convertible Securities Fund, October 31, 2011, Annual
report
Because the electronic format for filing Form NSAR does not
provide adequate space for responding to certain items
correctly, the correct answers are as follows:
72DD1
Class A 14,641
Class B 273
Class C 1,274
72DD2
Class M 95
Class R 96
Class Y 3,337
73A1
Class A 0.568
Class B 0.421
Class C 0.417
73A2
Class M 0.463
Class R 0.518
Class Y 0.620
74U1
Class A 25,512
Class B 658
Class C 2,857
74U2
Class M 189
Class R 190
Class Y 5,600
74V1
Class A 18.97
Class B 18.66
Class C 18.79
74V2
Class M 18.81
Class R 18.91
Class Y 18.97
Item 61
Additional Information About Minimum Required Investment
Shareholders can open a fund account with as little as $500 and
make subsequent investments in any amount. The minimum
investment is waived if you make regular investments weekly,
semi monthly, or monthly through automatic deductions through
your bank checking or savings account. Currently, Putnam is
waiving the minimum, but reserves the right to reject initial
investments under the minimum.
Item 85B
Additional Information About Errors and Omissions Policy
While no claims with respect to the Registrant/Series were filed
under such policy during the period, requests under such policy
for reimbursement of legal expenses and costs arising out of
claims of market timing activity in the Putnam Funds have been
submitted by the investment manager of the Registrant/Series.
EX-99
3
auditletter008.txt
Report of Independent Registered Public Accounting Firm
The Board of Trustees and Shareholders
Putnam Convertible Securities Fund (formerly, Putnam Convertible
Income Growth Trust):
In planning and performing our audit of the financial statements
of the Putnam Convertible Securities Fund (formerly, Putnam
Convertible Income Growth Trust) (the Fund) as of and for the
year ended October 31, 2011, 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 N SAR, 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. 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 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
operation, including controls over safeguarding securities that
we consider to be a material weakness as defined above as of
October 31, 2011.
This report is intended solely for the information and use of
management and the Board of Trustees of the Putnam Convertible
Securities Fund (formerly, Putnam Convertible Income Growth
Trust) and the Securities and Exchange Commission and is not
intended to be and should not be used by anyone other than these
specified parties.
/s/ KPMG LLP
Boston, Massachusetts
December 12, 2011
EX-99
4
legal77e008.txt
Putnam Convertible Securities Fund
77E Legal Proceedings
In late 2003 and 2004, Putnam Management settled charges brought
by the SEC and the Massachusetts Securities
Division in connection with excessive short term trading in
Putnam funds. In July 2011, the fund recorded a receivable
of $126,693 related to restitution amounts in connection with
a distribution plan approved by the SEC. These allegations and
related matters have served as the general basis for certain
lawsuits, including purported class action lawsuits against
Putnam Management and, in a limited number of cases, some Putnam
funds. In May 2011, the fund received a payment of $3,100
related to settlement of those lawsuits. Putnam Management has
agreed to bear any costs incurred by the Putnam funds as a
result of these matters.