-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RndGeF1eZkBEsJNBQqokeE3bf0lzwubXmIwlNckN+pHezRl1bHBL55W8AIEjkF95 jtcY+x1YYnJCtFAW7CDffw== 0000928816-05-000460.txt : 20050329 0000928816-05-000460.hdr.sgml : 20050329 20050328192132 ACCESSION NUMBER: 0000928816-05-000460 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050131 FILED AS OF DATE: 20050329 DATE AS OF CHANGE: 20050328 EFFECTIVENESS DATE: 20050329 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PUTNAM NEW YORK INVESTMENT GRADE MUNICIPAL TRUST CENTRAL INDEX KEY: 0000892960 IRS NUMBER: 046716832 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-07274 FILM NUMBER: 05707726 BUSINESS ADDRESS: STREET 1: ONE POST OFFICE SQUARE CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6172921000 N-Q 1 nyi1.txt PUTNAM NEW YORK INVESTMENT GRADE MUNICIPAL TRUST Item 1. Schedule of Investments: - -------------------------------- Putnam New York Investment Grade Municipal Trust QUARTERLY PORTFOLIO HOLDINGS 1-31-05
Putnam New York Investment Grade Municipal Trust - ----------------------------------------------------------------------------------------------------------- The fund's portfolio January 31, 2005 (Unaudited) KEY TO ABBREVIATIONS AMBAC -- AMBAC Indemnity Corporation FGIC -- Financial Guaranty Insurance Company FSA -- Financial Security Assurance G.O. Bonds -- General Obligation Bonds IFB -- Inverse Floating Rate Bonds MBIA -- MBIA Insurance Company U.S. Govt. Coll. -- U.S. Government Collateralized Municipal bonds and notes (100%) (a) - ----------------------------------------------------------------------------------------------------------- Principal amount Rating (RAT) Value - ----------------------------------------------------------------------------------------------------------- New York (98.0%) - ----------------------------------------------------------------------------------------------------------- $300,000 Albany Cnty., Indl. Dev. Agcy. Rev. Bonds (Albany College of Pharmacy), Ser. A, 5 3/8s, 12/1/24 BBB- $315,531 250,000 Albany, Indl. Dev. Agcy. Civic Fac. Rev. Bonds (Charitable Leadership), Ser. A , 6s, 7/1/19 Baa3 271,573 500,000 Chemung Cnty., Indl. Dev. Agcy. Civic Fac. Rev. Bonds (Arnot Ogden Med. Ctr.), 5s, 11/1/34 A3 509,900 700,000 Dutchess Cnty., Indl. Dev. Agcy. Civic Fac. Rev. Bonds (Bard College), 5 3/4s, 8/1/30 A3 757,953 250,000 Essex Cnty., Indl. Dev. Agcy. Rev. Bonds (Intl. Paper Co.), Ser. A, 5 1/2s, 10/1/26 Baa2 254,830 500,000 Geneva, Indl. Dev. Agcy. Rev. Bonds (Hobart & William Smith), Ser. A, 5 3/8s, 2/1/33 A 531,170 395,000 Hempstead, Indl. Dev. Agcy. Civic Fac. Rev. Bonds (Hofstra U.), 5 1/4s, 7/1/16 A 426,734 Long Island, Pwr. Auth. NY Elec. Syst. Rev. Bonds, Ser. A 750,000 5 1/4s, 12/1/26 A- 778,808 2,000,000 AMBAC, 5s, 9/1/29 Aaa 2,102,480 1,000,000 Madison Cnty., Indl. Dev. Agcy. Rev. Bonds (Colgate U.), Ser. A, 5s, 7/1/23 Aa3 1,064,910 1,000,000 Metro. Trans. Auth. Rev. Bonds, Ser. A, FSA, 5s, 11/15/30 Aaa 1,045,150 Metro. Trans. Auth. Svc. Contract Rev. Bonds 500,000 (Trans. Fac.), Ser. O, U.S. Govt. Coll., 5 3/4s, 7/1/13 AAA 571,015 1,000,000 Ser. A , MBIA, 5 1/2s, 1/1/20 Aaa 1,133,720 650,000 Niagara Cnty., Indl. Dev. Agcy. Rev. Bonds, Ser. C, 5 5/8s, 11/15/24 Baa1 698,282 NY City, G.O. Bonds 185,000 Ser. I, U.S. Govt. Coll., 6 1/4s, 4/15/17 Aaa 202,340 65,000 Ser. D, U.S. Govt. Coll., 6s, 2/15/25 Aaa 65,739 1,000,000 Ser. B, 5 3/4s, 8/1/16 A2 1,129,620 700,000 Ser. B, 5 1/2s, 12/1/31 (Prerefunded) AAA 803,096 300,000 Ser. B, 5 1/2s, 12/1/31 A2 321,270 200,000 NY City, IFB, AMBAC, 10.07s, 9/1/11 Aaa 201,246 300,000 NY City, Hlth. & Hosp. Corp. Rev. Bonds (Hlth. Syst.), Ser. A , 5 3/8s, 2/15/26 A3 312,732 750,000 NY City, Indl. Dev. Agcy. Rev. Bonds (Brooklyn Navy Yard Cogen. Partners), 5.65s, 10/1/28 BBB- 739,350 NY City, Indl. Dev. Agcy. Civic Fac. Rev. Bonds 600,000 (Staten Island U. Hosp.), Ser. A, 6 3/8s, 7/1/31 Ba3 592,038 250,000 (Brooklyn Polytech. U. Project J), 6 1/8s, 11/1/30 BB+ 244,745 250,000 (St. Francis College), 5s, 10/1/34 A- 257,910 700,000 NY City, Indl. Dev. Agcy. Special Arpt. Fac. Rev. Bonds (Airis JFK I LLC), Ser. A, 5 1/2s, 7/1/28 Baa3 706,468 NY City, Indl. Dev. Agcy. Special Fac. Rev. Bonds 1,000,000 (Terminal One Group Assn.), 6s, 1/1/15 A3 1,012,830 100,000 (British Airways), 5 1/4s, 12/1/32 BB+ 80,741 500,000 NY City, Muni. Wtr. & Swr. Fin. Auth. Rev. Bonds, Ser. G, FSA, 5s, 6/15/34 Aaa 517,880 300,000 NY Cntys., Tobacco Trust III Rev. Bonds, 6s, 6/1/43 Baa2 295,107 1,000,000 NY Cntys., Trust II Rev. Bonds (Tobacco Settlement), 5 3/4s, 6/1/43 BBB 938,460 NY State Dorm. Auth. Rev. Bonds 875,000 (State U. Edl. Fac.), Ser. A, 7 1/2s, 5/15/13 AA- 1,116,036 250,000 (Mount Sinai Hlth.), Ser. A, 6 1/2s, 7/1/25 Ba1 264,133 70,000 (Mental Hlth. Svcs.), Ser. A, 5 3/4s, 2/15/27 AA- 74,612 450,000 (Winthrop-U. Hosp. Assn.), Ser. A, 5 1/2s, 7/1/32 Baa1 471,249 870,000 (Dept. of Hlth.), 5 1/2s, 7/1/25 (Prerefunded) AA- 926,524 630,000 (Dept. of Hlth.), 5 1/2s, 7/1/25 AA- 665,746 600,000 (North Shore Long Island Jewish Group), 5 3/8s, 5/1/23 A3 637,056 1,000,000 (City U. Syst. Construction), Ser. 1, 5 1/4s, 7/1/17 AA- 1,067,520 300,000 (NY Methodist Hosp.), 5 1/4s, 7/1/17 A3 327,192 1,000,000 (School Dist. Fin.), Ser. A, MBIA, 5 1/4s, 4/1/11 Aaa 1,119,700 250,000 (Lenox Hill Hosp. Oblig. Group), 5 1/4s, 7/1/08 Baa2 264,028 1,500,000 (NY U.), Ser. 2, AMBAC, 5s, 7/1/41 Aaa 1,549,740 500,000 (Rochester U.), Ser. A, 5s, 7/1/34 A1 519,765 1,000,000 (NYU), Ser. A, FGIC, 5s, 7/1/29 Aaa 1,056,050 1,000,000 Ser. A, FGIC-TCRS, 5s, 3/15/27 Aaa 1,053,090 1,000,000 (Dept. of Hlth.), Ser. 2, FGIC, 5s, 7/1/22 Aaa 1,080,190 1,875,000 NY State Dorm. Auth. Lease Rev. Bonds (State U. Dorm. Facs.), Ser. A, MBIA, 5s, 7/1/24 Aaa 2,023,369 500,000 NY State Energy Research & Dev. Auth. Fac. Mandatory Put Bonds, 4.7s, 10/1/12 A1 502,320 400,000 NY State Energy Research & Dev. Auth. Gas Fac. Rev. Bonds (Brooklyn Union Gas), 6.952s, 7/1/26 A+ 430,244 250,000 NY State Env. Fac. Corp. Rev. Bonds, 5s, 6/15/32 Aaa 262,355 155,000 NY State Env. Fac. Corp. Poll. Control Rev. Bonds (State Wtr. Revolving Fund), Ser. A, 7 1/2s, 6/15/12 Aaa 155,589 1,000,000 NY State Local Govt. Assistance Corp. Rev. Bonds (Sub. Lien), Ser. A, FSA, 5s, 4/1/13 AA 1,116,170 750,000 NY State Pwr. Auth. Rev. Bonds, 5s, 11/15/20 Aa2 807,488 NY State Thruway Auth. Rev. Bonds, Ser. A, MBIA 1,000,000 5 1/4s, 4/1/13 Aaa 1,129,310 1,000,000 5 1/4s, 4/1/12 Aaa 1,127,500 1,000,000 NY State Urban Dev. Corp. Rev. Bonds (Personal Income Tax), Ser. C-1, 5s, 3/15/33 AA 1,120,150 1,000,000 Port Auth. NY & NJ Cons. Rev. Bonds, Ser. 124, 5s, 8/1/31 AA- 1,018,250 3,000,000 Port. Auth. NY & NJ Special Obligation Rev. Bonds (JFK Intl. Air Term. - 6), MBIA, 5.9s, 12/1/17 Aaa 3,269,460 100,000 Saratoga Cnty., Indl. Dev. Agcy. Civic Fac. Rev. Bonds (Saratoga Hosp.), Ser. A, 5s, 12/1/13 BBB+ 106,757 500,000 Suffolk Cnty., Indl. Dev. Agcy. Civic Fac. Rev. Bonds (Huntington Hosp.), Ser. B, 5 7/8s, 11/1/32 Baa1 528,090 1,000,000 Tobacco Settlement Fin. Auth. Rev. Bonds, Ser. A-1, 5 1/2s, 6/1/18 AA- 1,107,110 1,000,000 Triborough Bridge & Tunnel Auth. Rev. Bonds, Ser. A, 5s, 1/1/32 Aa3 1,033,580 165,000 Westchester Cnty., Indl Dev. Agcy. Civic Fac. Rev. Bonds (Guiding Eyes for The Blind), 5 3/8s, 8/1/24 BBB 177,692 250,000 Yonkers, Indl. Dev. Agcy. Civic Fac. Rev. Bonds (St. John's Riverside Hosp.), Ser. A, 7 1/8s, 7/1/31 BB 260,243 ------------- 47,251,936 Puerto Rico (2.0%) - ----------------------------------------------------------------------------------------------------------- 750,000 Children's Trust Fund Tobacco Settlement Rev. Bonds, 5 1/2s, 5/15/39 BBB 711,270 250,000 PR Indl. Tourist Edl. Med. & Env. Control Fac. Rev. Bonds (Cogen. Fac.-AES), 6 5/8s, 6/1/26 Baa3 273,763 ------------- 985,033 - ----------------------------------------------------------------------------------------------------------- Total Investments (cost $45,908,395) (b) $48,236,969 - -----------------------------------------------------------------------------------------------------------
NOTES (a) Percentages indicated are based on portfolio market value. (RAT) The Moody's or Standard & Poor's ratings indicated are believed to be the most recent ratings available at January 31, 2005 for the securities listed. Ratings are generally ascribed to securities at the time of issuance. While the agencies may from time to time revise such ratings, they undertake no obligation to do so, and the ratings do not necessarily represent what the agencies would ascribe to these securities at January 31, 2005. Securities rated by Putnam are indicated by "/P". Security ratings are defined in the Statement of Additional Information. (b) The aggregate identified cost on a tax basis is $45,918,822, resulting in gross unrealized appreciation and depreciation of $2,462,867 and $144,720 respectively, or net unrealized appreciation of $2,318,147. The rates shown on Mandatory Put Bonds are the current interest rates at January 31, 2005. The dates shown on Mandatory Put Bonds are the next mandatory put dates. The rates shown on IFB which are securities paying interest rates that vary inversely to changes in the market interest rates, are the current interest rates at January 31, 2005. The fund had the following industry group concentrations greater than 10% at January 31, 2005 (as a percentage of portfolio market value): Transportation 21.6% Education 17.6 Utilities 13.6 Healthcare 11.7 The fund had the following insurance concentration greater than 10% at January 31, 2005 (as a percentage of portfolio market value): MBIA 20.3% Security valuation Tax-exempt bonds and notes are valued at fair value on the basis of valuations provided by an independent pricing service, approved by the Trustees. Such services use information with respect to transactions in bonds, quotations from bond dealers, market transactions in comparable securities and various relationships between securities in determining value. Other investments are valued at fair value following procedures approved by the Trustees. Such valuations and procedures are reviewed periodically by the Trustees. For additional information regarding the fund please see the fund's most recent annual or semiannual shareholder report filed on the Securities and Exchange Commission's Web site, www.sec.gov, or visit Putnam's Individual Investor Web site at www.putnaminvestments.com Item 2. Controls and Procedures: - -------------------------------- (a) The registrant's principal executive officer and principal financial officer have concluded, based on their evaluation of the effectiveness of the design and operation of the registrant's disclosure controls and procedures as of a date within 90 days of the filing date of this report, that the design and operation of such procedures are generally effective to provide reasonable assurance that information required to be disclosed by the registrant in this report is recorded, processed, summarized and reported within the time periods specified in the Commission's rules and forms. (b) Changes in internal control over financial reporting: Not applicable Item 3. Exhibits: - ------------------ A separate certification for each principal executive officer and principal financial officer of the registrant as required by Rule 30a-2 under the Investment Company Act of 1940, as amended, are filed herewith. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. NAME OF REGISTRANT By (Signature and Title): /s/ Michael T. Healy -------------------------- Michael T. Healy Principal Accounting Officer Date: March 28, 2005 Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated. By (Signature and Title): /s/ Charles E. Porter --------------------------- Charles E. Porter Principal Executive Officer Date: March 28, 2005 By (Signature and Title): /s/ Steven D. Krichmar --------------------------- Steven D. Krichmar Principal Financial Officer Date: March 28, 2005 EX-99.CERT 2 exnn2nq.txt EX-99.CERT Certifications - -------------- I, Charles E. Porter, the Principal Executive Officer of the funds listed on Attachment A, certify that: 1. I have reviewed each report on Form N-Q of the funds listed on Attachment A: 2. Based on my knowledge, each report does not contain any untrue statements of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by each report; 3. Based on my knowledge, the schedules of investments included in each report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrants and have: a) designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which each report is being prepared; b) designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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; c) evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and d) disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer and I have disclosed to each registrant's auditors and the audit committee of each registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect each registrant's ability to record, process, summarize, and report financial information; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in each registrant's internal control over financial reporting. /s/ Charles E. Porter Date: March 28, 2005 - ---------------------- ------------------------ Charles E. Porter, Principal Executive Officer Certifications - -------------- I, Steven D. Krichmar, the Principal Financial Officer of the funds listed on Attachment A, certify that: 1. I have reviewed each report on Form N-Q of the funds listed on Attachment A: 2. Based on my knowledge, each report does not contain any untrue statements of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by each report; 3. Based on my knowledge, the schedules of investments included in each report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrants and have: a) designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which each report is being prepared; b) designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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; c) evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and d) disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer and I have disclosed to each registrant's auditors and the audit committee of each registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect each registrant's ability to record, process, summarize, and report financial information; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in each registrant's internal control over financial reporting. /s/ Steven D. Krichmar Date: March 28, 2005 - ---------------------- ------------------------ Steven D. Krichmar, Principal Financial Officer Attachment A - -------------- Period(s) ended January 31, 2005 Quarterly Portfolios 2OV Putnam Mid-Cap Value Fund 002 Putnam Fund for Growth and Income 2II Putnam Capital Opportunities Fund 840 Putnam Utilities Growth and Income Fund 005 Putnam Global Equity Fund 008 Putnam Convertible Income-Growth Trust 052 Putnam Managed Municipal Income Trust 183 Putnam Municipal Bond Fund 582 Putnam Municipal Opportunities Trust 004 Putnam Income Fund 072 Putnam Master Income Trust 184 Putnam California Investment Grade Municipal Trust 185 Putnam New York Investment Grade Municipal Trust 2MI Putnam Tax Smart Equity Fund 041 Putnam Global Income Trust -----END PRIVACY-ENHANCED MESSAGE-----