0000869392-18-000358.txt : 20181204
0000869392-18-000358.hdr.sgml : 20181204
20181204143930
ACCESSION NUMBER: 0000869392-18-000358
CONFORMED SUBMISSION TYPE: N-CEN/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180630
FILED AS OF DATE: 20181204
DATE AS OF CHANGE: 20181204
EFFECTIVENESS DATE: 20181204
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PUTNAM SUSTAINABLE LEADERS FUND
CENTRAL INDEX KEY: 0000865177
IRS NUMBER: 043091455
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: N-CEN/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06128
FILM NUMBER: 181216376
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 MULTI-CAP GROWTH FUND
DATE OF NAME CHANGE: 20101004
FORMER COMPANY:
FORMER CONFORMED NAME: PUTNAM NEW OPPORTUNITIES FUND
DATE OF NAME CHANGE: 19920703
0000865177
S000006295
PUTNAM SUSTAINABLE LEADERS FUND
N-CEN/A
1
primary_doc.xml
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N-CEN/A
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LIVE
0000865177
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false
false
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S000006295
true
Putnam Sustainable Leaders Fund
811-06128
0000865177
DDMFQBZJICNCDITG4018
ONE POST OFFICE SQUARE
BOSTON
02109
US-MA
US
1-800-225-1581
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
State Street Bank and Trust Company
2 AVENUE DE LAFAYETTE
BOSTON
02111
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
Y
N
N-1A
1
Y
Ahamed Liaquat
N/A
N
Akhoury Ravi
N/A
N
Baumann Barbara M
N/A
N
Baxter Jameson A
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
Putnam Sustainable Leaders Fund
S000006295
DDMFQBZJICNCDITG4018
Y
7
1
1
N/A
N
N
Y
N
N
Goldman Sachs Bank USA dba Goldman Sachs Agency Lending
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
156542896.00
361652.00
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
ICE Data Services (Corp)
5493000NQ9LYLDBCTL34
N
Reuters
549300561UZND4C7B569
N
Reuters (equities)
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
BCAP - BARCLAYS CAPITAL, INC.
8-41342
000019714
AC28XWWI3WIBK2824319
368094.78
UBSW - UBS SECURITIES L.L.C.
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
364772.62
CARN - CARNEGIE INTERNATIONAL
8-31295
000014871
N/A
SE
266691.23
GSCO - GOLDMAN, SACHS & CO.
8-129
000000361
FOR8UP27PHTHYVLBNG30
264782.41
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
199101.05
RBCD - RBC CAPITAL MARKETS CORPORATION
8-45411
000031194
549300LCO2FLSSVFFR64
187739.27
STCM - SUNTRUST ROBINSON HUMPHREY INC
8-17212
000006271
CSVTK36R0PNGXEM7NS14
183941.62
DBAB - DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
168804.2
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
166386.12
CITI - CITIBANK, N.A.
8-8177
000007059
E57ODZWZ7FF32TWEFA76
165435.63
3774140.71
GSCO - GOLDMAN, SACHS & CO.
8-129
000000361
FOR8UP27PHTHYVLBNG30
27253242.88
CITI - CITIBANK, N.A.
8-8177
000007059
E57ODZWZ7FF32TWEFA76
10835520.16
NMRA - NOMURA SECURITIES INTERNATIONAL, INC.
8-15255
000004297
OXTKY6Q8X53C9ILVV871
9196370.57
CSFB - CREDIT SUISSE SECURITIES (USA), LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
8986598
UBSW - UBS SECURITIES L.L.C.
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
2884570.63
MSCO - MORGAN STANLEY & CO. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
2012212
AMHE - AMHERST SECURITIES GROUP L.P.
8-45364
000031141
GR1JCST0OG1YC8O1XP88
1801939.79
BCAP - BARCLAYS CAPITAL, INC.
8-41342
000019714
AC28XWWI3WIBK2824319
1778586.77
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
000000079
ZBUT11V806EZRVTWT807
1742613
CITG - CITIGROUP GLOBAL MARKETS, INC./SALOMON BROTHERS
8-8177
000007059
MBNUM2BPBDO7JBLYG310
1406711.22
70152807.71
Y
4354824637.58
Committed
317500000
N
Uncommitted
235500000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
G.1.a.iii852.txt
INFORMATION ABOUT THE REGISTRANT
Report of Independent Registered Public Accounting Firm
To the Trustees and Shareholders of Putnam Sustainable Leaders
Fund:
In planning and performing our audit of the financial statements
of Putnam Sustainable Leaders Fund (the Fund) as of and for the
year ended June 30, 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 June 30, 2018.
This report is intended solely for the information and use of
management and the Board of Trustees of Putnam Sustainable
Leaders 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
August 8, 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