0000869392-18-000247.txt : 20181015
0000869392-18-000247.hdr.sgml : 20181015
20181012202903
ACCESSION NUMBER: 0000869392-18-000247
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180731
FILED AS OF DATE: 20181015
EFFECTIVENESS DATE: 20181015
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: GEORGE PUTNAM BALANCED FUND
CENTRAL INDEX KEY: 0000081259
IRS NUMBER: 046013677
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0731
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-00058
FILM NUMBER: 181121157
BUSINESS ADDRESS:
STREET 1: ONE POST OFFICE SQ
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 8002252581
MAIL ADDRESS:
STREET 1: ONE POST OFFICE SQ
CITY: BOSTON
STATE: MA
ZIP: 02109
FORMER COMPANY:
FORMER CONFORMED NAME: GEORGE PUTNAM FUND OF BOSTON
DATE OF NAME CHANGE: 19940302
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM EQUITY INCOME FUND/NEW
DATE OF NAME CHANGE: 19940302
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM GEORGE FUND OF BOSTON
DATE OF NAME CHANGE: 19920703
0000081259
S000005597
GEORGE PUTNAM FUND OF BOSTON
N-CEN
1
primary_doc.xml
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false
N-1A
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true
George Putnam Balanced Fund
811-00058
0000081259
UXP1ED8ZRKQ0D2W0Y977
ONE POST OFFICE SQUARE
BOSTON
02109
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.
ONE POST OFFICE SQUARE
BOSTON
02109
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
ONE POST OFFICE SQUARE
BOSTON
02109
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
ONE POST OFFICE SQUARE
BOSTON
02109
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.
ONE POST OFFICE SQUARE
BOSTON
02109
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
Y
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
Patterson Robert E
N/A
N
Putnam, III George
004355835
N
Reynolds Robert L
002009065
Y
Singh Manoj P
N/A
N
Clark James F
N/A
ONE POST OFFICE SQUARE
BOSTON
02109
XXXXXX
N
N
N
N
N
N
Putnam Retail Management Limited Partnership
8-5088
N/A
N/A
Y
N
PricewaterhouseCoopers LLP
238
N/A
N
N
N
N
N
N
N
George Putnam Balanced Fund
S000005597
UXP1ED8ZRKQ0D2W0Y977
Y
8
0
1
N/A
N
N
Y
N
N
Goldman Sachs Bank USA dba Goldman Sachs Agency Lending
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
19628297.5
50181.16
Rule 17e-1 (17 CFR 270.17e-1)
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
N/A
N/A
N
Putnam Investments Limited
801-61441
N/A
N/A
Y
GB
N
Putnam Investor Services, Inc.
84-06331
N/A
Y
N
N
Reuters (Corp)
549300561UZND4C7B569
N
Reuters (equities)
549300561UZND4C7B569
N
ICE Data Services (Corp)
5493000NQ9LYLDBCTL34
N
PRICESERVE
54930015EWCI4VNCZP82
N
ICE Data Services (Muni)
5493000NQ9LYLDBCTL34
N
JPM Pricing Direct
549300WIC0TOJ7N7GD54
N
Reuters
549300561UZND4C7B569
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
MSCO - MORGAN STANLEY & CO. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
65033.47
RBCD - RBC CAPITAL MARKETS CORPORATION
8-45411
000031194
549300LCO2FLSSVFFR64
61278.6
GSCO - GOLDMAN, SACHS & CO.
8-129
000000361
FOR8UP27PHTHYVLBNG30
54700.78
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
50756.48
UBSW - UBS SECURITIES L.L.C.
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
34706.76
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
34389.85
SBER - BERNSTEIN (SANFORD C.) & CO., L.L.C.
8-52942
000104474
549300I7JYZHT7D5CO04
33943.72
DBAB - DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
30822.77
BMOC - BMO CAPITAL MARKETS CORP.
8-34344
000016686
RUC0QBLBRPRCU4W1NE59
28390.49
BCAP - BARCLAYS CAPITAL, INC.
8-41342
000019714
AC28XWWI3WIBK2824319
26550.43
691343.61
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
541962644.83
GSCO - GOLDMAN, SACHS & CO.
8-129
000000361
FOR8UP27PHTHYVLBNG30
327120464.06
MSCO - MORGAN STANLEY & CO. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
306426609.4
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
278114679.83
BCAP - BARCLAYS CAPITAL, INC.
8-41342
000019714
AC28XWWI3WIBK2824319
230226517.34
CGMI - CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
201070514.41
MLCO - MERRILL LYNCH, PIERCE, FENNER AND SMITH INC.
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
117251244.33
NMRA - NOMURA SECURITIES INTERNATIONAL, INC.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
57005980.52
HSBCP - HSBC BANK PLC
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
GB
23177484.27
BOKL - BANK OF OKLAHOMA, NA
8-35381
000017530
N/A
20840321.17
2233421409.43
N
1221683284
Committed
317500000
N
Uncommitted
235500000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
G.1.a.iii001.txt
INFORMATION ABOUT THE REGISTRANT
Report of Independent Registered Public Accounting Firm
To the Trustees and Shareholders of George Putnam Balanced Fund
In planning and performing our audit of the financial statements
of George Putnam Balanced Fund (the Fund) as of and for the year
ended July 31, 2018, 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 July 31, 2018.
This report is intended solely for the information and use of
the Trustees of George Putnam Balanced 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
September 10, 2018
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