0000869392-17-000139.txt : 20171027 0000869392-17-000139.hdr.sgml : 20171027 20171027123150 ACCESSION NUMBER: 0000869392-17-000139 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20170831 FILED AS OF DATE: 20171027 DATE AS OF CHANGE: 20171027 EFFECTIVENESS DATE: 20171027 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PUTNAM GLOBAL UTILITIES FUND CENTRAL INDEX KEY: 0000867824 IRS NUMBER: 046660195 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-05989 FILM NUMBER: 171158648 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 UTILITIES GROWTH & INCOME FUND DATE OF NAME CHANGE: 19920703 0000867824 S000006571 PUTNAM GLOBAL UTILITIES FUND C000017928 Class C Shares C000017929 Class Y Shares C000017930 Class A Shares PUGIX C000017931 Class B Shares PUTBX C000017932 Class M Shares PUTMX C000017933 Class R Shares PULRX C000184527 Class T Shares NSAR-B 1 answer.fil PAGE 1 000 B000000 08/31/2017 000 C000000 0000867824 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 PUTNAM GLOBAL UTILITIES FUND 001 B000000 811-5989 001 C000000 6172921000 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 10 007 C011100 11 007 C011200 12 007 C011300 13 007 C011400 14 007 C011500 15 007 C011600 16 007 C011700 17 007 C011800 18 007 C011900 19 007 C012000 20 007 C012100 21 007 C012200 22 007 C012300 23 007 C012400 24 007 C012500 25 007 C012600 26 007 C012700 27 007 C012800 28 007 C012900 29 PAGE 2 007 C013000 30 007 C013100 31 007 C013200 32 007 C013300 33 007 C013400 34 007 C013500 35 007 C013600 36 007 C013700 37 007 C013800 38 007 C013900 39 007 C014000 40 007 C014100 41 007 C014200 42 007 C014300 43 007 C014400 44 007 C014500 45 007 C014600 46 007 C014700 47 007 C014800 48 007 C014900 49 007 C015000 50 007 C015100 51 007 C015200 52 007 C015300 53 007 C015400 54 007 C015500 55 007 C015600 56 007 C015700 57 007 C015800 58 007 C015900 59 007 C016000 60 007 C016100 61 007 C016200 62 007 C016300 63 007 C016400 64 007 C016500 65 007 C016600 66 007 C016700 67 007 C016800 68 007 C016900 69 007 C017000 70 007 C017100 71 007 C017200 72 007 C017300 73 007 C017400 74 007 C017500 75 007 C017600 76 007 C017700 77 007 C017800 78 007 C017900 79 007 C018000 80 PAGE 3 007 C018100 81 007 C018200 82 007 C018300 83 007 C018400 84 007 C018500 85 007 C018600 86 007 C018700 87 007 C018800 88 007 C018900 89 007 C019000 90 008 A000001 PUTNAM INVESTMENT MANAGEMENT, LLC 008 B000001 A 008 C000001 801-7974 008 D010001 BOSTON 008 D020001 MA 008 D030001 02109 008 A000002 PUTNAM INVESTMENTS LIMITED 008 B000002 S 008 C000002 801-61441 008 D010002 LONDON 008 D050002 ENGLAND 008 D060002 SW1A 1LD 008 A000003 THE PUTNAM ADVISORY COMPANY, LLC 008 B000003 S 008 C000003 801-5097 008 D010003 BOSTON 008 D020003 MA 008 D030003 02109 011 A000001 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP 011 B000001 8-5088 011 C010001 B0STON 011 C020001 MA 011 C030001 02109 012 A000001 PUTNAM INVESTOR SERVICES, INC. 012 B000001 84-06331 012 C010001 BOSTON 012 C020001 MA 012 C030001 02109 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 BOSTON 013 B020001 MA 013 B030001 02110 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02110 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 103 PAGE 4 019 C000000 PUTNAMFUND 020 A000001 CREDIT SUISSE FIRST BOSTON 020 B000001 13-5659485 020 C000001 22 020 A000002 DEUTSCHE BANK SECURITIES, INC. 020 B000002 13-2730828 020 C000002 21 020 A000003 WOLFE RESEARCH, LLC 020 B000003 80-0451433 020 C000003 14 020 A000004 UBS SECURITIES, LLC 020 B000004 13-3873456 020 C000004 10 020 A000005 MORGAN STANLEY & CO., LLC 020 B000005 13-2655998 020 C000005 7 020 A000006 SG AMERICAS SECURITIES, LLC 020 B000006 30-0195590 020 C000006 6 020 A000007 BANC OF AMERICA SECURITIES, LLC 020 B000007 56-2058405 020 C000007 6 020 A000008 RBC CAPITAL MARKETS CORP. 020 B000008 13-5033225 020 C000008 5 020 A000009 WEEDEN & CO. 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SMITH TITLE PRINC. ACCT. OFFICER EX-99 2 audltr840.txt Report of Independent Registered Public Accounting Firm To the Trustees and Shareholders of Putnam Global Utilities Fund: In planning and performing our audit of the financial statements of Putnam Global Utilities Fund (the Fund) as of and for the year ended August 31, 2017, 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 NSAR, 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 fund; (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 fund; 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 August 31, 2017. This report is intended solely for the information and use of management and the Board of Trustees of Putnam Global Utilities 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 Boston, Massachusetts October 12, 2017 2 of 2 1 of 2 PricewaterhouseCoopers LLP, 101 Seaport Boulevard, Boston, MA 02110 T: (617) 530 5000, F:(617) 530 5001, www.pwc.com/us EX-99 3 perclass840.txt Putnam Global Utilities Fund, as of August 31, 2017 annual shareholder 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 2,713 Class B 40 Class C 55 Class M 14 72DD2 (000s omitted) Class R 7 Class Y 103 73A1 Class A 0.216 Class B 0.123 Class C 0.121 Class M 0.157 73A2 Class R 0.188 Class Y 0.246 74U1 (000s omitted) Class A 11,665 Class B 289 Class C 374 Class M 89 74U2 (000s omitted) Class R 45 Class Y 474 74V1 Class A 13.78 Class B 13.73 Class C 13.66 Class M 13.76 74V2 Class R 13.77 Class Y 13.78 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.