0000869392-21-001723.txt : 20210901
0000869392-21-001723.hdr.sgml : 20210901
20210901155516
ACCESSION NUMBER: 0000869392-21-001723
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210630
FILED AS OF DATE: 20210901
DATE AS OF CHANGE: 20210901
EFFECTIVENESS DATE: 20210901
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
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06128
FILM NUMBER: 211230025
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
C000017306
Class A Shares
PNOPX
C000017307
Class B Shares
PNOBX
C000017308
Class C Shares
PNOCX
C000017310
Class R Shares
PNORX
C000017311
Class Y Shares
PNOYX
C000202804
Class R6 Shares
N-CEN
1
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Putnam Sustainable Leaders Fund
811-06128
0000865177
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100 FEDERAL STREET
BOSTON
02110
US-MA
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1-800-225-1581
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
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 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
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
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
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
N
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Sutphen Mona K
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N
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
Putnam, III George
004355835
N
Reynolds Robert L
002009065
Y
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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Revenue sharing split
178149968.00
268204.00
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)
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N
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N
Putnam Investment Management, LLC
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000106629
N/A
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Putnam Investments Limited
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GB
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Putnam Investor Services, Inc.
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ICE Data Services (Convert)
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Reuters (equities)
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State Street Bank and Trust Company
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Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
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Putnam Investor Services, Inc.
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MLCO - BofA Securities, Inc.
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MSCO - MORGAN STANLEY & CO. LLC
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UBSW - UBS SECURITIES L.L.C.
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CGML - CITIGROUP GLOBAL MARKETS INC
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CSFB - CREDIT SUISSE SECURITIES (USA), LLC
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131524.89
RBCD - RBC CAPITAL MARKETS LLC
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BCAP - BARCLAYS CAPITAL, INC.
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000019714
AC28XWWI3WIBK2824319
59948.16
JPMS - J.P. MORGAN SECURITIES, LLC.
8-35008
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CANT - CANTOR FITZGERALD & CO.
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JPMS - J.P. MORGAN SECURITIES, LLC.
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MSCO - MORGAN STANLEY & CO. LLC
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GSCO - GOLDMAN SACHS & CO LLC
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NMRA - NOMURA SECURITIES INTERNATIONAL, INC.
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DBAB - DEUTSCHE BANK SECURITIES INC.
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CITG - CITIGROUP GLOBAL MARKETS, INC./SALOMON BROTHERS
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Uncommitted
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INTERNAL CONTROL RPT
2
G.1.a.iii852.txt
INFORMATION ABOUT THE REGISTRANT
Report of Independent Registered Public Accounting Firm
To the Board of 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, 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 June 30, 2021.
This report is intended solely for the information and use of 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 11, 2021
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