-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IBD166SCbUeLZYFahOHuFyqtK/uh9SmI03c1yM7cq7ok0daxhv6QIz1zo3DlcvAl fDyYGGgbmRKl54Y5WDz5LA== 0000865177-97-000004.txt : 19970303 0000865177-97-000004.hdr.sgml : 19970303 ACCESSION NUMBER: 0000865177-97-000004 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970228 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: PUTNAM NEW OPPORTUNITIES FUND CENTRAL INDEX KEY: 0000865177 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 043091455 STATE OF INCORPORATION: MA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-06128 FILM NUMBER: 97547188 BUSINESS ADDRESS: STREET 1: ONE POST OFFICE SQUARE CITY: BOSTON STATE: A6 ZIP: 02109 BUSINESS PHONE: 6172921000 NSAR-A 1 N-SAR (3.0.A) PAGE 1 000 A000000 12/31/96 000 C000000 0000865177 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 000 J000000 U 001 A000000 PUTNAM NEW OPPORTUNITIES FUND 001 B000000 811-6128 001 C000000 6172921562 002 A000000 ONE POST OFFICE SQUARE 002 B000000 BOSTON 002 C000000 MA 002 D010000 02109 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 PUTNAM INVESTMENT MANAGEMENT, INC. 008 B000001 A 008 C000001 801-7974 008 D010001 BOSTON 008 D020001 MA 008 D030001 02109 011 A000001 PUTNAM MUTUAL FUNDS CORP 011 B000001 8-5088 011 C010001 BOSTON 011 C020001 MA 011 C030001 02109 012 A000001 PUTNAM INVESTOR SERVICES 012 B000001 84-401299 012 C010001 BOSTON 012 C020001 MA 012 C030001 02109 013 A000001 COOPERS & LYBRAND L.L.P. 013 B010001 BOSTON 013 B020001 MA PAGE 2 013 B030001 02110 015 A000001 PUTNAM FIDUCIARY TRUST COMPANY 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02109 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 98 019 C000000 PUTNAMFUND 020 A000001 PAINEWEBBER INC. 020 B000001 13-2638166 020 C000001 600 020 A000002 LEHMAN BROTHERS 020 B000002 13-2518466 020 C000002 571 020 A000003 MERRILL LYNCH, FENNER & SMITH, INC. 020 B000003 13-5674085 020 C000003 570 020 A000004 SALOMON BROTHERS INC. 020 B000004 13-3082694 020 C000004 307 020 A000005 EDWARDS (A.G.) & SONS INC. 020 B000005 43-0895477 020 C000005 305 020 A000006 FIRST BOSTON CO. 020 B000006 13-5659485 020 C000006 281 020 A000007 BEAR STERNS & CO. 020 B000007 13-4946705 020 C000007 251 020 A000008 SMITH, BARNEY, HARRIS, UPHAM & CO. 020 B000008 13-1912900 020 C000008 176 020 A000009 H.D. VEST INVESTMENT 020 C000009 168 020 A000010 BRADFORD (J.C.) & CO., INC. 020 B000010 62-0677497 020 C000010 168 021 000000 3397 022 A000001 MORGAN (J.P.) SECURITIES INC. 022 B000001 13-3224016 022 C000001 2802264 022 D000001 215983 022 A000002 MORGAN STANLEY INC. 022 B000002 13-2655998 022 C000002 2831923 022 D000002 159578 022 A000003 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 022 B000003 13-5674085 PAGE 3 022 C000003 1266882 022 D000003 96521 022 A000004 LEHMAN BROTHERS 022 B000004 13-2518466 022 C000004 650618 022 D000004 219328 022 A000005 LIBERTY SECURITIES CORP. 022 B000005 04-3119940 022 C000005 689554 022 D000005 0 022 A000006 GOLDMAN SACHS & CO. 022 B000006 13-5108880 022 C000006 576916 022 D000006 86069 022 A000007 FIRST BOSTON CO. 022 B000007 13-5659485 022 C000007 424815 022 D000007 70115 022 A000008 HONG KONG AND SHANGHAI BANK 022 B000008 13-5146790 022 C000008 149991 022 D000008 184321 022 A000009 SMITH, BARNEY, HARRIS, UPHAM & CO. 022 B000009 13-1912900 022 C000009 188558 022 D000009 134975 022 A000010 BROWN (ALEX) & SONS, INC. 022 B000010 52-0256630 022 C000010 206776 022 D000010 27075 023 C000000 9788297 023 D000000 1193965 024 000000 N 025 D000001 0 025 D000002 0 025 D000003 0 025 D000004 0 025 D000005 0 025 D000006 0 025 D000007 0 025 D000008 0 026 A000000 Y 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 Y 026 G020000 Y 026 H000000 N 027 000000 Y PAGE 4 028 A010000 921683 028 A020000 0 028 A030000 0 028 A040000 382586 028 B010000 816106 028 B020000 0 028 B030000 0 028 B040000 282997 028 C010000 761050 028 C020000 0 028 C030000 0 028 C040000 225177 028 D010000 1069732 028 D020000 0 028 D030000 0 028 D040000 386545 028 E010000 753595 028 E020000 0 028 E030000 0 028 E040000 338413 028 F010000 732240 028 F020000 83041 028 F030000 0 028 F040000 426126 028 G010000 5054406 028 G020000 83041 028 G030000 0 028 G040000 2041844 028 H000000 5054406 029 000000 Y 030 A000000 48853 030 B000000 5.75 030 C000000 3.50 031 A000000 7873 031 B000000 0 032 000000 40980 033 000000 0 034 000000 Y 035 000000 3605 036 A000000 N 036 B000000 0 037 000000 N 038 000000 0 039 000000 N 040 000000 Y 041 000000 Y 042 A000000 0 042 B000000 0 042 C000000 100 042 D000000 0 042 E000000 0 PAGE 5 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 32143 044 000000 0 045 000000 Y 046 000000 N 047 000000 Y 048 000000 0.000 048 A010000 500000 048 A020000 0.700 048 B010000 500000 048 B020000 0.600 048 C010000 500000 048 C020000 0.550 048 D010000 5000000 048 D020000 0.500 048 E010000 5000000 048 E020000 0.475 048 F010000 5000000 048 F020000 0.455 048 G010000 5000000 048 G020000 0.440 048 H010000 0 048 H020000 0.000 048 I010000 0 048 I020000 0.000 048 J010000 0 048 J020000 0.000 048 K010000 21500000 048 K020000 0.430 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 N 054 H000000 N 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 Y 054 M000000 Y 054 N000000 N 054 O000000 Y PAGE 6 055 A000000 N 055 B000000 N 056 000000 N 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 500 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 Y 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 N 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 Y 070 B010000 Y 070 B020000 N 070 C010000 N 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 N 070 E020000 N 070 F010000 Y PAGE 7 070 F020000 N 070 G010000 N 070 G020000 N 070 H010000 Y 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 N 070 J020000 N 070 K010000 Y 070 K020000 N 070 L010000 Y 070 L020000 N 070 M010000 Y 070 M020000 N 070 N010000 Y 070 N020000 N 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 6616297 071 B000000 3204443 071 C000000 9981196 071 D000000 32 072 A000000 6 072 B000000 17910 072 C000000 9302 072 D000000 0 072 E000000 0 072 F000000 27050 072 G000000 31 072 H000000 0 072 I000000 9958 072 J000000 -75 072 K000000 1426 072 L000000 503 072 M000000 120 072 N000000 965 072 O000000 0 072 P000000 0 072 Q000000 0 072 R000000 87 072 S000000 112 072 T000000 32143 072 U000000 0 072 V000000 0 PAGE 8 072 W000000 979 072 X000000 73299 072 Y000000 0 072 Z000000 -46087 072AA000000 0 072BB000000 71571 072CC010000 0 072CC020000 379519 072DD010000 0 072DD020000 0 072EE000000 45603 073 A010000 0.0000 073 A020000 0.0000 073 B000000 0.0000 073 C000000 0.0000 074 A000000 0 074 B000000 85261 074 C000000 363402 074 D000000 0 074 E000000 3457 074 F000000 11444143 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 0 074 K000000 101770 074 L000000 0 074 M000000 0 074 N000000 11998033 074 O000000 91928 074 P000000 18631 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 44616 074 S000000 0 074 T000000 11842858 074 U010000 146799 074 U020000 137595 074 V010000 40.64 074 V020000 39.52 074 W000000 0.0000 074 X000000 1076427 074 Y000000 0 075 A000000 0 075 B000000 10620 076 000000 0.00 077 A000000 N 078 000000 N 080 A000000 FEDERAL INSURANCE CO PAGE 9 080 B000000 NATIONAL FIRE UNION INSURANCE CO. 080 C000000 50 081 A000000 Y 081 B000000 97 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE PAUL BUCAVALAS TITLE VICE PRESIDENT EX-27 2 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 Financial Data Schedule for Putnam New Opportunities Fund 4 CLASS A OTHER JUN-30-1996 DEC-31-1996 10,192,451,400 11,896,263,143 101,769,968 0 0 11,998,033,111 91,927,734 0 63,247,308 155,175,042 0 10,272,439,901 146,799,281 110,555,009 0 (46,112,379) 0 (87,283,043) 1,703,813,590 11,842,858,069 9,302,317 17,910,023 0 73,299,475 (46,087,135) (71,570,768) (379,518,883) (497,175,786) 0 (45,603,411) 0 0 71,992,359 (36,809,052) 1,060,965 2,506,240,935 0 76,047,765 0 (25,244) 27,049,679 0 74,954,072 5,368,478,414 42.99 (.12) (1.91) (.32) 0 0 40.64 .53 0 0

EX-27 3 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 Financial Data Schedule for Putnam New Opportunities Fund 4 CLASS bA OTHER JUN-30-1996 DEC-31-1996 10,192,451,400 11,896,263,143 101,769,968 0 0 11,998,033,111 91,927,734 0 63,247,308 155,175,042 0 10,272,439,901 137,595,349 101,400,736 0 (46,112,379) 0 (87,283,043) 1,703,813,590 11,842,858,069 9,302,317 17,910,023 0 73,299,475 (46,087,135) (71,570,768) (379,518,883) (497,175,786) 0 (42,751,343) 0 0 46,951,031 (11,699,279) 942,861 2,506,240,935 0 76,047,765 0 (25,244) 27,049,679 0 74,954,072 4,860,383,478 41.96 (.19) (1.93) (.32) 0 0 39.52 .91 0 0

EX-27 4 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 Financial Data Schedule for Putnam New Opportunities Fund 4 CLASS M OTHER JUN-30-1996 DEC-31-1996 10,192,451,400 11,896,263,143 101,769,968 0 0 11,998,033,111 91,927,734 0 63,247,308 155,175,042 0 10,272,439,901 7,146,600 4,932,667 0 (46,112,379) 0 (87,283,043) 1,703,813,590 11,842,858,069 9,302,317 17,910,023 0 73,299,475 (46,087,135) (71,570,768) (379,518,883) (497,176,786) 0 (2,227,397) 0 0 2,950,417 (787,183) 50,699 2,506,240,935 0 76,047,765 0 (25,244) 27,049,679 0 74,954,072 251,704,195 42.66 (.17) (1.94) (.32) 0 0 40.23 .78 0 0

EX-27 5
6 Financial Data Schedule for Putnam New Opportunities Fund 4 CLASS Y OTHER JUN-30-1996 DEC-31-1996 10,192,451,400 11,896,263,143 101,769,968 0 0 11,998,033,111 91,927,734 0 63,247,308 155,175,042 0 10,272,439,901 3,733,441 2,745,959 0 (46,112,379) 0 (87,283,043) 1,703,813,590 11,842,858,069 9,302,317 17,910,023 0 73,299,475 (46,087,135) (71,570,768) (379,518,883) (497,176,786) 0 (1,177,889) 0 0 1,458,190 (499,713) 29,005 2,506,240,935 0 76,047,765 0 (25,244) 27,049,679 0 74,954,072 139,436,559 43.21 (.09) (1.90) (.32) 0 0 40.90 .40 0 0

~~-----END PRIVACY-ENHANCED MESSAGE-----~~