0000869392-22-000010.txt : 20220105
0000869392-22-000010.hdr.sgml : 20220105
20220105094321
ACCESSION NUMBER: 0000869392-22-000010
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20211031
FILED AS OF DATE: 20220105
DATE AS OF CHANGE: 20220105
EFFECTIVENESS DATE: 20220105
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: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-02280
FILM NUMBER: 22509662
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
C000015007
Class R Shares
PCVRX
C000015008
Class Y Shares
PCGYX
C000153039
CLASS I
C000202780
Class R6 Shares
N-CEN
1
primary_doc.xml
X0404
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false
false
N-1A
S000005511
true
Putnam Convertible Securities Fund
811-02280
0000081247
MFUGQW3FOQNH8167YS65
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
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
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
N
N
N-1A
1
Y
Baumann Barbara M
N/A
N
Sutphen Mona K
N/A
N
Ahamed Liaquat
N/A
N
Akhoury Ravi
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
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 Convertible Securities Fund
S000005511
MFUGQW3FOQNH8167YS65
N
7
0
0
N/A
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
30309636.00
32324.00
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
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
0
MLCO - BofA Securities, Inc.
8-7221
000007691
549300HN4UKV1E2R3U73
532643552.23
BCAP - BARCLAYS CAPITAL, INC.
8-41342
000019714
AC28XWWI3WIBK2824319
279246632.65
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
217492642.54
GSCO - GOLDMAN SACHS & CO LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
214204396.56
MSCO - MORGAN STANLEY & CO. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
130905810.93
MITR - StoneX
8-49291
000041025
984500ACC474K53F8E17
69804218.84
CGML - CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
36390569.66
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
21712783.73
ISIG - INTERNATIONAL STRATEGY & INVESTMENT GROUP, INC.
8-43515
000028195
N/A
6132346.74
JEFF - JEFFERIES LLC
8-15074
000002347
NY9Q8VBNB6D1L6YV0J84
5450958.9
1516244912.78
Y
1022788802.57
0.00
Committed
317500000
N
Uncommitted
235500000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
G.1.aiii008.txt
INFORMATION ABOUT THE REGISTRANT
Report of Independent Registered Public Accounting Firm
To the Board of Trustees and Shareholders of Putnam Convertible
Securities Fund
In planning and performing our audit of the financial statements of
Putnam Convertible Securities Fund (the Fund) as of and for the year
ended October 31, 2021, 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 October 31, 2021.
This report is intended solely for the information and use of the Board
of Trustees of Putnam Convertible 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
December 9, 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