0001752724-21-214761.txt : 20210930
0001752724-21-214761.hdr.sgml : 20210930
20210930133624
ACCESSION NUMBER: 0001752724-21-214761
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20210731
FILED AS OF DATE: 20210930
DATE AS OF CHANGE: 20210930
EFFECTIVENESS DATE: 20210930
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DEUTSCHE DWS INVESTMENT TRUST
CENTRAL INDEX KEY: 0000088064
IRS NUMBER: 042212654
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-00043
FILM NUMBER: 211294609
BUSINESS ADDRESS:
STREET 1: 875 THIRD AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022-6225
BUSINESS PHONE: 212-454-4500
MAIL ADDRESS:
STREET 1: 875 THIRD AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022-6225
FORMER COMPANY:
FORMER CONFORMED NAME: DEUTSCHE INVESTMENT TRUST
DATE OF NAME CHANGE: 20140811
FORMER COMPANY:
FORMER CONFORMED NAME: DWS INVESTMENT TRUST
DATE OF NAME CHANGE: 20060207
FORMER COMPANY:
FORMER CONFORMED NAME: INVESTMENT TRUST
DATE OF NAME CHANGE: 19980529
0000088064
S000005707
DWS Large Cap Focus Growth Fund
C000015684
Class A
SGGAX
C000015687
Class C
SGGCX
C000015689
Class S
SCQGX
C000015690
Institutional Class
SGGIX
C000186441
Class T
SGGTX
N-CEN
1
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N-1A
S000005707
C000186441
C000015690
C000015684
C000015689
C000015687
DEUTSCHE DWS INVESTMENT TRUST
811-00043
0000088064
C6V3ZVV42DUKQSHF6341
875 Third Avenue
NEW YORK
10022-6225
US-NY
US
212-454-4500
DST Systems, Inc.
333 West 11th Street
Kansas City
64105-1628
816-435-8655
Book and records related to sub-transfer agency services and shareholder services.
Iron Mountain Incorporated
12646 NW 115th Avenue
Medley
33178-3179
773-579-6210
General books and records related to Registrant.
DWS Distributors, Inc.
222 South Riverside Plaza
Chicago
60606-5808
312-537-4511
Book and records related to distributor services.
DWS Investment Management Americas, Inc.
5022 Gate Parkway
Jacksonville
32256-7019
904-645-1070
Book and records related to advisory and administrative services.
State Street Bank and Trust Company
State Street Financial Center
One Lincoln Street
Boston
02111-2900
617-786-3000
Book and records related to custodian, accounting and sub-administrator services.
DWS Investment Management Americas, Inc.
875 Third Avenue
New York
10022-6225
212-454-4500
Book and records related to advisory and administrative services.
DWS Investment Management Americas, Inc.
100 Summer Street
Boston
02110-2146
617-295-1000
Book and records related to advisory and administrative services.
N
N
N-1A
8
Y
Dr. Richard J. Herring
N/A
N
William McClayton
N/A
N
John W. Ballantine
N/A
N
Rebecca W. Rimel
N/A
N
Keith R. Fox, CFA
N/A
N
William N. Searcy, Jr.
N/A
N
Dawn-Marie Driscoll
N/A
N
Scott D. Hogan
N/A
100 Summer Street
Boston
02110
XXXXXX
N
N
N
N
N
DWS Distributors, Inc.
8-47765
000037306
5299007T18XBURKJ1V64
Y
N
Ernst & Young LLP
42
00000000000000000000
N
N
N
N
N
N
DWS Large Cap Focus Growth Fund
S000005707
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N
5
0
0
N/A
N
N
Y
N
N
Deutsche Bank Aktiengesellschaft
7LTWFZYICNSX8D621K86
Y
N
Revenue sharing split
15677253.00000000
39335.00000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
DWS Investment Management Americas, Inc.
801-252
000104518
CZ83K4EEEX8QVCT3B128
N
DWS Service Company
84-1713
529900CQVDVATODQA941
Y
N
DST Systems, Inc.
84-00448
21B7QCD05XOK0YTYOP98
N
Y
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse (Schweiz) AG
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Chuo ku, Tokyo, JP, Branch)
2HI3YI5320L3RW6NJ957
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Clearstream Banking S.A.
549300OL514RA0SXJJ44
LU
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
BNP Paribas Securities Services (Paris, Paris, FR, Branch)
549300WCGB70D06XZS54
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Y
DWS Service Company
529900CQVDVATODQA941
Y
N
DST Systems, Inc.
21B7QCD05XOK0YTYOP98
N
Y
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
Y
DWS Investment Management Americas, Inc.
CZ83K4EEEX8QVCT3B128
Y
N
N
Deutsche Securities Saudi Arabia LLC
N/A
N/A
529900CKC4TXHVRKX638
SA
0.00000000
Deutsche Bank Aktiengesellschaft (New Delhi, Delhi, IN, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
IN
0.00000000
Deutsche Bank Securities Inc. (Boston, MA, US, Branch)
8-17822
000002525
9J6MBOOO7BECTDTUZW19
0.00000000
DWS Distributors, Inc. (Boston, MA, US, Branch)
8-47765
000037306
5299007T18XBURKJ1V64
0.00000000
Deutsche Bank, Sociedad Anonima Espanola
N/A
N/A
529900SICIK5OVMVY186
ES
0.00000000
Deutsche Bank Securities Limited
N/A
N/A
529900AZS6GG6GBDMN90
CA
0.00000000
Deutsche Bank Aktiengesellschaft (Chennai, Tamil Nadu, IN, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
IN
0.00000000
Deutsche Bank Aktiengesellschaft (Dubai, Dubai, AE, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
AE
0.00000000
Deutsche Bank Securities Inc. (Miami, FL, US, Branch)
8-17822
000002525
9J6MBOOO7BECTDTUZW19
0.00000000
Limited Liability Company 'Deutsche Bank'
N/A
N/A
529900EHFBA8MNCV8M81
RU
0.00000000
Deutsche Bank Aktiengesellschaft (Bangkok, Bangkok, TH, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
TH
0.00000000
Deutsche Securities Korea Co., Ltd
N/A
N/A
529900J0N5FYROZOL786
KR
0.00000000
Deutsche Bank Aktiengesellschaft (Colombo, Western, LK, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
LK
0.00000000
Deutsche Bank Securities Inc. (Los Angeles, CA, US, Branch)
8-17822
000002525
9J6MBOOO7BECTDTUZW19
0.00000000
Deutsche Bank Aktiengesellschaft (Budapest, HU, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
HU
0.00000000
Deutsche Securities, S.A. de C.V., Casa de Bolsa
N/A
N/A
529900G9Z4I79FGUE649
MX
0.00000000
Deutsche Equities India Private Limited
N/A
N/A
529900K9ENYPTKECK071
IN
0.00000000
Deutsche Securities Inc.
N/A
N/A
529900CK34A0NLD3NN83
JP
0.00000000
Deutsche Bank Aktiengesellschaft (Bangalore, Karnataka, IN, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
IN
0.00000000
Deutsche Bank Securities Inc. (Chicago, IL, US, Branch)
8-17822
000002525
9J6MBOOO7BECTDTUZW19
0.00000000
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
IN
0.00000000
DWS Investments Hong Kong Limited
N/A
000139666
529900RX8DKTJ81MHL26
HK
0.00000000
Deutsche Capital Markets Australia Limited
N/A
N/A
529900J30GWJRSJWJL27
AU
0.00000000
Deutsche Bank Aktiengesellschaft (Athens, Attica, GR, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
GR
0.00000000
DWS Distributors, Inc. (New York, NY, US, Branch)
8-47765
000037306
5299007T18XBURKJ1V64
0.00000000
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
PH
0.00000000
Deutsche Securities Asia Limited
N/A
N/A
529900D90NAWLSQNTI12
HK
0.00000000
TFS-ICAP Holdings Limited
N/A
N/A
00000000000000000000
GB
0.00000000
TFS-ICAP, LLC
N/A
N/A
549300E9RR7X18FR6M91
0.00000000
Deutsche Securities Sociedad Anonima
N/A
N/A
529900PRFI5MR42T8K28
AR
0.00000000
DWS Distributors, Inc.
8-47765
000037306
5299007T18XBURKJ1V64
0.00000000
Deutsche Bank Aktiengesellschaft
N/A
N/A
7LTWFZYICNSX8D621K86
DE
0.00000000
Deutsche Bank Aktiengesellschaft (Yau Tsim Mong, Kowloon, HK, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
HK
0.00000000
Deutsche Bank Securities Inc.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
0.00000000
Deutsche Bank Aktiengesellschaft (Jongno-gu, Seoul, KR, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
KR
0.00000000
DWS Investments Japan Limited
N/A
N/A
529900GOHDG5JKIJXT78
JP
0.00000000
DWS Distributors, Inc. (Costa Mesa, CA, US, Branch)
8-47765
000037306
5299007T18XBURKJ1V64
0.00000000
Deutsche Bank Securities Inc. (San Francisco, CA, US, Branch)
8-17822
000002525
9J6MBOOO7BECTDTUZW19
0.00000000
HGI (USA) Investments LLC
8-69176
000165614
0005137684
0.00000000
Deutsche Bank Aktiengesellschaft (Prague, Prague, CZ, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
CZ
0.00000000
DWS Distributors, Inc. (Jersey City, NJ, US, Branch)
8-47765
000037306
5299007T18XBURKJ1V64
0.00000000
DWS Distributors, Inc. (Jacksonville, FL, US, Branch)
8-47765
000037306
5299007T18XBURKJ1V64
0.00000000
Deutsche Oppenheim Family Office AG
N/A
N/A
5299003G9CMV5CY1FU81
DE
0.00000000
Deutsche Securities Australia Limited
N/A
N/A
529900JDL9OTL8IG2U56
AU
0.00000000
Harvest Global Investments Limited
N/A
000157964
254900HXNL2VW0JOFU39
HK
0.00000000
Deutsche Bank Securities Inc. (Jacksonville, FL, US, Branch)
8-17822
000002525
9J6MBOOO7BECTDTUZW19
0.00000000
Deutsche Bank Societa per Azioni
N/A
N/A
529900SS7ZWCX82U3W60
IT
0.00000000
Deutsche Bank Aktiengesellschaft (Kolkata, West Bengal, IN, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
IN
0.00000000
Deutsche Bank Aktiengesellschaft (Stockholm, Stockholm, SE, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
SE
0.00000000
Deutsche Bank Aktiengesellschaft (Riyadh, Riyadh, SA, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
SA
0.00000000
DB International (Asia) Limited
N/A
N/A
529900396G5HWCV38G39
SG
0.00000000
Deutsche Bank Aktiengesellschaft (Zurich, Zurich, CH, Branch)
N/A
N/A
7LTWFZYICNSX8D621K86
CH
0.00000000
Yieldbroker Pty Limited
N/A
N/A
549300QRJM24CLE17N18
AU
0.00000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
2368.35000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
560.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
3140.36000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
11882.21000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
1829.57000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
1974.60000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
795.38000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
6401.51000000
Mizuho Securities USA LLC
8-37710
000019647
7TK5RJIZDFROZCA6XF66
2529.35000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
9227.66000000
42143.99000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
10272793.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
1856012.00000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
42864.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
6342016.00000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
901590.00000000
State Street Bank and Trust Company
N/A
N/A
571474TGEMMWANRLN572
124306464.69000000
143721739.69000000
Y
352126858.95307692
Committed
350000000.00000000
N
N
N
N
true
true
INTERNAL CONTROL RPT
2
NCEN_811-00043_4076942180.txt
Report of Independent Registered Public
Accounting Firm
To the Board of Trustees of Deutsche DWS
Investment Trust and Shareholders of DWS
Large Cap Focus Growth Fund:
In planning and performing our audit of the
financial statements of DWS Large Cap Focus
Growth Fund (the "Fund") (one of the funds
constituting Deutsche DWS Investment Trust)
(the "Trust"), as of and for the year ended July
31, 2021, in accordance with the standards of the
Public Company Accounting Oversight Board
(United States), we considered the Trust's
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-CEN, but not for the
purpose of expressing an opinion on the
effectiveness of the Trust's internal control over
financial reporting. Accordingly, we express no
such opinion.
The management of the Trust 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
company's 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 U.S. generally accepted
accounting principles. A company's 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 U.S.
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 company's 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
company's annual or interim financial
statements will not be prevented or detected on a
timely basis.
Our consideration of the Trust's 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 that might be material
weaknesses under standards established by the
Public Company Accounting Oversight Board
(United States). However, we noted no
deficiencies in the Trust's internal control over
financial reporting and its operation, including
controls over safeguarding securities, that we
consider to be a material weakness as defined
above as of July 31, 2021.
This report is intended solely for the information
and use of management and the Board of
Trustees of Deutsche DWS Investment Trust
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/ Ernst & Young LLP
Boston, Massachusetts
September 24, 2021
LEGAL PROCEEDINGS
3
NCEN_811-00043_8642073782.txt
Item G.1.a.i - Deutsche DWS Investment Trust
(formerly DWS Investment Trust)
On December 7, 2010, Deutsche DWS Investment
Trust (formerly DWS Investment Trust) (the
"Trust") was named as a defendant in the First
Amended Complaint filed by the Official
Committee of Unsecured Creditors in the U.S.
Bankruptcy Court for the District of Delaware in the
lawsuit styled Official Committee of Unsecured
Creditors of Tribune Company, et al., v. Fitzsimons
et al. (the "Lawsuit"). The Lawsuit arises out of a
leveraged buyout transaction ("LBO") in 2007 by
which loans were made to the Tribune Company to
fund the LBO and shares of the Tribune Company
held by shareholders were tendered for or were
converted to a right to receive cash. Following the
completion of the LBO in 2007, the Tribune
Company filed for bankruptcy. The Lawsuit seeks
to recover all payments made to the shareholders in
the LBO. The Lawsuit has been consolidated in a
multi-district litigation (the "Tribune MDL") in the
United States District Court for the Southern
District of New York, case no. 12-MC-2296 (the
"District Court"). On January 6, 2017, the District
Court dismissed with prejudice the only claim (for
avoidance of alleged intentional fraudulent
transfers) asserted against the shareholder
defendants named in the Lawsuit.
On April 4, 2019, the plaintiff in the Lawsuit filed a
motion to amend his complaint to add constructive
fraudulent conveyance claims against shareholder
defendants based on an alleged change in governing
law resulting from the Supreme Court's decision in
FTI Consulting, Inc. v. Merit Management Group,
830 F.3d 690 (7th Cir. 2016). On April 23, 2019,
the District Court denied that motion. On July 15,
2019, the plaintiff in the Lawsuit filed a notice of
appeal to the Second Circuit for these District Court
rulings in the Lawsuit. On August 20, 2021, the
Second Circuit affirmed dismissal of the Trustee's
intentional fraudulent conveyance claims and
affirmed the District Court's denial of the Trustee's
request to amend his complaint. On September 3,
2021, the Trustee filed a motion for rehearing en
banc before the Second Circuit, which remains
pending.
We express no opinion on the likely outcome of
these matters. Management is currently assessing
the Lawsuit and has not yet determined the effect, if
any, on any series of the Trust.
None of the Trust's current Series have exposure in
the litigation. A former Series of the Trust, DWS
S&P 500 Index Fund, had been a beneficial holder
of shares of the Tribune Company. DWS S&P 500
Index Fund was reorganized from the Trust into
Deutsche DWS Institutional Funds on April 29,
2011.