0000869392-11-000110.txt : 20110826
0000869392-11-000110.hdr.sgml : 20110826
20110826125757
ACCESSION NUMBER: 0000869392-11-000110
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 5
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110826
DATE AS OF CHANGE: 20110826
EFFECTIVENESS DATE: 20110826
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PUTNAM MULTI-CAP GROWTH FUND
CENTRAL INDEX KEY: 0000865177
IRS NUMBER: 043091455
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06128
FILM NUMBER: 111059019
BUSINESS ADDRESS:
STREET 1: ONE POST OFFICE SQUARE
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 NEW OPPORTUNITIES FUND
DATE OF NAME CHANGE: 19920703
0000865177
S000006295
PUTNAM MULTI-CAP GROWTH FUND
C000017306
Class A Shares
PNOPX
C000017307
Class B Shares
PNOBX
C000017308
Class C Shares
PNOCX
C000017309
Class M Shares
PNOMX
C000017310
Class R Shares
PNORX
C000017311
Class Y Shares
PNOYX
NSAR-B
1
answer.fil
PAGE 1
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PAGE 2
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PAGE 3
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025 A000001 GOLDMAN SACHS GROUP, INC. (THE)
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PAGE 4
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PAGE 5
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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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SIGNATURE JANET C. SMITH
TITLE PRINC. ACCT. OFFICER
EX-99
2
perclass852.txt
852 Putnam Multi Cap Growth Fund attachment
6/30/11 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 (000s omitted)
Class A 0
Class B 0
Class C 0
72DD2 (000s omitted)
Class M 0
Class R 0
Class Y 0
73A1
Class A 0.0
Class B 0.0
Class C 0.0
73A2
Class M 0.0
Class R 0.0
Class Y 0.0
74U1 (000s omitted)
Class A 61,192
Class B 3,295
Class C 1,129
74U2 (000s omitted)
Class M 1,183
Class R 124
Class Y 2,202
74V1
Class A 53.66
Class B 46.24
Class C 49.07
74V2
Class M 49.05
Class R 52.64
Class Y 56.14
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
auditltr852.txt
Report of Independent Registered Public Accounting Firm
To the Trustees and Shareholders of Putnam Multi Cap Growth
Fund:
In planning and performing our audit of the financial
statements of Putnam Multi Cap Growth Fund ("the Fund") as of
and for the year ended June 30, 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 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 funds 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 funds 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 fund are
being made only in accordance with authorizations of
management and trustees of the company; and (3) provide
reasonable assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a funds
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
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 over financial reporting 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 material weaknesses as defined above as of June
30, 2011.
This report is intended solely for the information and use of
management and the Board of Trustees of Putnam Multi Cap
Growth Fund (formerly known as "Putnam New Opportunities
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.
/s/ PricewaterhouseCoopers LLP
August 10, 2011
2 of 2
1 of 2
PricewaterhouseCoopers LLP, 125 High Street, Boston, MA 02110
T: (617) 530 5000, F:(617) 530 5001, www.pwc.com/us
EX-99
4
legal77e852.txt
77e
Regulatory matters and litigation Putnam Mulit-Cap Growth Fund
6/30/11 Annual report
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. Distribution of payments from Putnam
Management to certain open-end Putnam funds and their
shareholders is expected to be completed in the next
several months. 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
$157,666 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.
EX-99
5
merger77m852.txt
77m
Putnam Multi-Cap Growth Fund
6/30/11 annual report
Acquisition of Putnam Vista Fund
On September 27, 2010, the fund issued 21,970,683, 1,494,855,
488,294, 397,127, 54,165 and 861,908 class A, class B, class C,
class M, class R and class Y shares, respectively, for
96,718,304, 6,785,681, 2,156,292, 1,769,923, 238,471 and
3,764,946 class A, class B, class C, class M, class R and class
Y shares of Putnam Vista Fund to acquire that funds net assets
in a tax-free exchange. Putnam Management recommended, and the
Board of Trustees approved, the merger transaction because it
believed that it was in the best interests of shareholders of
Putnam Vista Fund to be invested in a fund with more flexibility
to invest in attractive companies regardless of capitalization
size. Putnam Management believed that this flexibility would
increase the likelihood of delivering strong investment
performance over the long-term. In addition, after the merger,
Putnam Vista Fund shareholders would be invested in a larger
fund with a lower expense ratio. The investment portfolio of
Putnam Vista Fund, with a fair value of $931,784,799 and an
identified cost of $870,278,890 at September 24, 2010, was the
principal asset acquired by the fund. The net assets of the fund
and Putnam Vista Fund on September 24, 2010, were $2,348,440,346
and
$1,118,296,596, respectively. On September 24, 2010, Putnam
Vista Fund had accumulated net investment loss of $1,279,092,
accumulated net realized loss of $1,846,121,583 and unrealized
appreciation of $65,891,595. The aggregate net assets of the
fund immediately following the acquisition were $3,466,736,942.
Assuming the acquisition had been completed on July 1, 2010, the
funds pro forma results of operations for the reporting period
are as follows:
Net investment loss $(6,981,864)
Net gain on investments $1,132,847,222
Net increase in net assets resulting from operations
$1,125,865,358
Because the combined investment
portfolios have been managed as a single portfolio since the
acquisition was completed, it is not practicable to separate the
amounts of revenue and earnings of Putnam Vista Fund that have
been included in the funds statement of operations for the
current fiscal period.