0000869392-21-001935.txt : 20211006
0000869392-21-001935.hdr.sgml : 20211006
20211006103408
ACCESSION NUMBER: 0000869392-21-001935
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210731
FILED AS OF DATE: 20211006
DATE AS OF CHANGE: 20211006
EFFECTIVENESS DATE: 20211006
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: 211309075
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
C000015264
Class A Shares
PGEOX
C000015265
Class B Shares
PGEBX
C000015266
Class C Shares
PGPCX
C000015267
Class M Shares
PGEMX
C000015268
Class R Shares
PGPRX
C000015269
Class Y Shares
PGEYX
C000136854
Class R5
C000136855
Class R6
N-CEN
1
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George Putnam Balanced Fund
811-00058
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UXP1ED8ZRKQ0D2W0Y977
100 FEDERAL STREET
BOSTON
02110
US-MA
US
1-800-225-1581
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
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
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
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 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
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
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Sutphen Mona K
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Ahamed Liaquat
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Akhoury Ravi
N/A
N
Baumann Barbara M
N/A
N
Domotorffy Katinka
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N
Hill Catharine Bond
N/A
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Joskow Paul L
N/A
N
Leibler Kenneth R
N/A
N
Putnam, III George
004355835
N
Reynolds Robert L
002009065
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Singh Manoj P
N/A
N
Clark James F
N/A
100 FEDERAL STREET
BOSTON
02110
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Putnam Retail Management Limited Partnership
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PricewaterhouseCoopers LLP
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Revenue sharing split
7999384.00
5406.00
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)
N
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
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Reuters (Corp)
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ICE Data Services (Convert)
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ICE Data Services (Corp)
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PRICESERVE
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ICE Data Services (Muni)
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JPM Pricing Direct
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Reuters
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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
RBCD - RBC CAPITAL MARKETS LLC
8-45411
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63489.25
MLCO - BofA Securities, Inc.
8-7221
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58735.99
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
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46417.99
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
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45469.99
UBSW - UBS SECURITIES L.L.C.
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42893.17
GSCO - GOLDMAN SACHS & CO LLC
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MSCO - MORGAN STANLEY & CO. LLC
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BCAP - BARCLAYS CAPITAL, INC.
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CGML - CITIGROUP GLOBAL MARKETS INC
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30122.57
NITE - VIRTU AMERICAS, LLC
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CSAG - CREDIT SUISSE AG, NEW YORK BRANCH
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MSCO - MORGAN STANLEY & CO. LLC
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GSCO - GOLDMAN SACHS & CO LLC
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BCAP - BARCLAYS CAPITAL, INC.
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CGMI - CITIGROUP GLOBAL MARKETS INC.
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RBCD - RBC CAPITAL MARKETS LLC
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24602374.57
CITG - CITIGROUP GLOBAL MARKETS, INC./SALOMON BROTHERS
8-8177
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MBNUM2BPBDO7JBLYG310
22179491.86
BOKL - BANK OF OKLAHOMA, NA
8-35381
000017530
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21080007.18
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Uncommitted
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INTERNAL CONTROL RPT
2
G.1.a.iii001.txt
INFORMATION ABOUT THE REGISTRANT
Report of Independent Registered
Public Accounting Firm
To the Board of 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, 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 July 31, 2021.
PricewaterhouseCoopers LLP, 101 Seaport
Boulevard, Suite 500, Boston, MA 02210 T
(617)530 5000, F (617) 530 5001,
www.pwc.com/us
This report is intended solely for the information and use of the
Board of 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.
PricewaterhouseCoo
pers LLP Boston,
Massachusetts
September 10, 2021
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