Form NSAR-B AMERICAN FUNDS MORTGAGE For: Aug 31
Tweet
Share
E-mailPAGE 1 000 B000000 08/31/2016 000 C000000 0001496998 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 American Funds Mortgage Fund 001 B000000 811-22449 001 C000000 2134869200 002 A000000 6455 Irvine Center Drive 002 B000000 Irvine 002 C000000 CA 002 D010000 92618 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 008 A000001 CAPITAL RESEARCH AND MANAGEMENT COMPANY 008 B000001 A 008 C000001 801-8055 008 D010001 LOS ANGELES 008 D020001 CA 008 D030001 90071 011 A000001 AMERICAN FUNDS DISTRIBUTORS, INC. 011 B000001 8-17168 011 C010001 LOS ANGELES 011 C020001 CA 011 C030001 90071 012 A000001 AMERICAN FUNDS SERVICE COMPANY 012 B000001 84-00316 012 C010001 IRVINE 012 C020001 CA 012 C030001 92618 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 LOS ANGELES 013 B020001 CA 013 B030001 90017 015 A000001 Bank of New York Mellon 015 B000001 C 015 C010001 New York 015 C020001 NY 015 C030001 10286 015 E010001 X 018 000000 Y 019 A000000 Y PAGE 2 019 B000000 95 019 C000000 CRMCFNDGRP 021 000000 0 022 A000001 CITIGROUP GLOBAL MARKETS INC. 022 B000001 11-2418191 022 C000001 6812313 022 D000001 5134304 022 A000002 J.P. MORGAN SECURITIES LLC 022 B000002 13-3299429 022 C000002 3811280 022 D000002 3829721 022 A000003 CREDIT SUISSE GROUP AG 022 C000003 3660725 022 D000003 3670170 022 A000004 GENERAL ELECTRIC CAPITAL CORP. 022 B000004 13-1500700 022 C000004 6677426 022 D000004 0 022 A000005 MERRILL LYNCH PIERCE, FENNER & SMITH, INC. 022 B000005 13-5674085 022 C000005 2798113 022 D000005 2587445 022 A000006 GOLDMAN SACHS & CO. 022 B000006 13-5108880 022 C000006 2734367 022 D000006 2035039 022 A000007 WELLS FARGO SECURITIES, LLC 022 B000007 56-2326000 022 C000007 1867123 022 D000007 1391522 022 A000008 NOMURA/INSTINET GROUP 022 C000008 1247078 022 D000008 1997338 022 A000009 RBC CAPITAL MARKETS LLC 022 C000009 1178398 022 D000009 979659 022 A000010 MORGAN STANLEY & CO. LLC 022 B000010 13-2655998 022 C000010 1018458 022 D000010 718871 023 C000000 35738687 023 D000000 24437936 024 000000 N 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N PAGE 3 026 H000000 N 027 000000 Y 028 A010000 105008 028 A020000 3000 028 A030000 0 028 A040000 13690 028 B010000 129970 028 B020000 3279 028 B030000 0 028 B040000 12023 028 C010000 78294 028 C020000 3982 028 C030000 0 028 C040000 14491 028 D010000 66671 028 D020000 4810 028 D030000 0 028 D040000 11528 028 E010000 107396 028 E020000 5058 028 E030000 0 028 E040000 12695 028 F010000 69986 028 F020000 4548 028 F030000 0 028 F040000 20703 028 G010000 557325 028 G020000 24677 028 G030000 0 028 G040000 85130 028 H000000 9410 029 000000 Y 030 A000000 524 030 B000000 3.75 030 C000000 0.00 031 A000000 108 031 B000000 0 032 000000 416 033 000000 0 034 000000 Y 035 000000 7 036 A000000 N 036 B000000 2 037 000000 N 038 000000 0 039 000000 N 040 000000 Y 041 000000 Y 042 A000000 0 042 B000000 0 042 C000000 1 PAGE 4 042 D000000 99 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 923 044 000000 0 045 000000 Y 046 000000 N 047 000000 N 048 000000 0.000 048 A010000 0 048 A020000 0.000 048 B010000 0 048 B020000 0.000 048 C010000 0 048 C020000 0.000 048 D010000 0 048 D020000 0.000 048 E010000 0 048 E020000 0.000 048 F010000 0 048 F020000 0.000 048 G010000 0 048 G020000 0.000 048 H010000 0 048 H020000 0.000 048 I010000 0 048 I020000 0.000 048 J010000 0 048 J020000 0.000 048 K010000 0 048 K020000 0.000 049 000000 N 050 000000 Y 051 000000 N 052 000000 N 053 A000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 N 054 H000000 Y 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 Y 054 M000000 Y PAGE 5 054 N000000 N 054 O000000 Y 055 A000000 Y 055 B000000 N 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 250 062 A000000 Y 062 B000000 0.0 062 C000000 7.5 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 1.2 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 17.8 062 N000000 4.6 062 O000000 0.0 062 P000000 0.0 062 Q000000 76.2 062 R000000 0.0 063 A000000 0 063 B000000 5.0 064 A000000 N 064 B000000 N 066 A000000 N 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 N 070 B010000 Y 070 B020000 N 070 C010000 Y 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 Y 070 E020000 Y 070 F010000 Y 070 F020000 N 070 G010000 Y PAGE 6 070 G020000 N 070 H010000 Y 070 H020000 N 070 I010000 Y 070 I020000 N 070 J010000 Y 070 J020000 Y 070 K010000 Y 070 K020000 N 070 L010000 Y 070 L020000 N 070 M010000 Y 070 M020000 N 070 N010000 Y 070 N020000 N 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 N 070 Q010000 Y 070 Q020000 N 070 R010000 Y 070 R020000 N 071 A000000 22923911 071 B000000 22155667 071 C000000 2128155 071 D000000 1041 072 A000000 12 072 B000000 31117 072 C000000 0 072 D000000 0 072 E000000 0 072 F000000 5038 072 G000000 0 072 H000000 0 072 I000000 1458 072 J000000 5 072 K000000 0 072 L000000 42 072 M000000 13 072 N000000 290 072 O000000 0 072 P000000 0 072 Q000000 0 072 R000000 78 072 S000000 2 072 T000000 923 072 U000000 0 072 V000000 0 072 W000000 77 072 X000000 7926 PAGE 7 072 Y000000 0 072 Z000000 23191 072AA000000 51315 072BB000000 0 072CC010000 0 072CC020000 11397 072DD010000 4285 072DD020000 35058 072EE000000 23666 073 A010000 0.0000 073 A020000 0.0000 073 B000000 0.1300 073 C000000 0.0000 074 A000000 3294 074 B000000 0 074 C000000 220234 074 D000000 2493732 074 E000000 0 074 F000000 0 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 368756 074 K000000 0 074 L000000 9635 074 M000000 14 074 N000000 3095665 074 O000000 562669 074 P000000 701 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 2078 074 S000000 0 074 T000000 2530217 074 U010000 32372 074 U020000 214986 074 V010000 0.00 074 V020000 0.00 074 W000000 0.0000 074 X000000 25184 074 Y000000 1157394 075 A000000 0 075 B000000 2107992 076 000000 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 N PAGE 8 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 A000000 ICI MUTUAL INSURANCE COMPANY 080 C000000 100000 081 A000000 Y 081 B000000 107 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE STEVEN I. KOSZALKA TITLE SECRETARY
Report of Independent Registered Public Accounting Firm
To the Board of Trustees and Shareholders of American Funds Mortgage Fund
In planning and performing our audit of the financial statements of American Funds Mortgage Fund (hereafter referred to as the “Fund”) as of and for the year ended August 31, 2016, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund’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-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund’s 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 fund’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 generally accepted accounting principles. A fund’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 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 fund’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 Fund’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Fund’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 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 Fund’s 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, 2016.
This report is intended solely for the information and use of management and the Board of Trustees of American Funds Mortgage 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
Los Angeles, California
October 14, 2016
| American Funds Mortgage Fund | |
| August 31, 2016 | |
| Because the electronic format for filing Form N-SAR does not provide adequate space for responding to Items 72DD1 and 72DD2, 73A1 and 73A2, 74U1 and74U2, and 74V1 and 74V2, complete answers are as follows: |
|
| Item 72DD1 and 72DD2 | |
| Total income dividends for which record date passed during the period | |
| Share Class | Total Income Dividends (000's omitted) |
| Class A | $3,182 |
| Class B | $2 |
| Class C | $187 |
| Class F-1 | $271 |
| Class F-2 | $643 |
| Total | $4,285 |
| Class 529-A | $234 |
| Class 529-B* | $- |
| Class 529-C | $45 |
| Class 529-E | $16 |
| Class 529-F-1 | $104 |
| Class R-1 | $3 |
| Class R-2 | $22 |
| Class R-2E* | $- |
| Class R-3 | $30 |
| Class R-4 | $38 |
| Class R-5 | $5 |
| Class R-5E* | $- |
| Class R-6 | $34,561 |
| Total | $35,058 |
| Item 73 A1 and 73A2 | |
| Distributions per share for which record date passed during the period | |
| Share Class | Dividends from Net Investment Income |
| Class A | $0.1576 |
| Class B | $0.0799 |
| Class C | $0.0769 |
| Class F-1 | $0.1583 |
| Class F-2 | $0.1850 |
| Class 529-A | $0.1488 |
| Class 529-B | $0.0759 |
| Class 529-C | $0.0708 |
| Class 529-E | $0.1235 |
| Class 529-F-1 | $0.1705 |
| Class R-1 | $0.0937 |
| Class R-2 | $0.0758 |
| Class R-2E | $0.1791 |
| Class R-3 | $0.1240 |
| Class R-4 | $0.1610 |
| Class R-5 | $0.1861 |
| Class R-5E | $0.1368 |
| Class R-6 | $0.1948 |
| Item 74U1 and 74U2 | |
| Number of shares outstanding | |
| Share Class | Shares Outstanding (000's omitted) |
| Class A | 22,428 |
| Class B | 19 |
| Class C | 2,554 |
| Class F-1 | 2,192 |
| Class F-2 | 5,179 |
| Total | 32,372 |
| Class 529-A | 1,759 |
| Class 529-B | 4 |
| Class 529-C | 663 |
| Class 529-E | 127 |
| Class 529-F-1 | 624 |
| Class R-1 | 37 |
| Class R-2 | 303 |
| Class R-2E | 1 |
| Class R-3 | 281 |
| Class R-4 | 289 |
| Class R-5 | 41 |
| Class R-5E | 1 |
| Class R-6 | 210,856 |
| Total | 214,986 |
| Item 74V1 and 74V2 | |
| Net asset value per share (to nearest cent) | |
| Share Class | Net Asset Value Per Share |
| Class A | $10.23 |
| Class B | $10.20 |
| Class C | $10.19 |
| Class F-1 | $10.23 |
| Class F-2 | $10.23 |
| Class 529-A | $10.23 |
| Class 529-B | $10.18 |
| Class 529-C | $10.18 |
| Class 529-E | $10.23 |
| Class 529-F-1 | $10.23 |
| Class R-1 | $10.20 |
| Class R-2 | $10.18 |
| Class R-2E | $10.21 |
| Class R-3 | $10.22 |
| Class R-4 | $10.23 |
| Class R-5 | $10.23 |
| Class R-5E | $10.23 |
| Class R-6 | $10.23 |
| * Amount less than one thousand. |
Serious News for Serious Traders! Try StreetInsider.com Premium Free!
You May Also Be Interested In
- Investors turn less bullish on S&P 500 amid inflation, geopolitical risks- Citi
- JPMorgan is worried about further S&P 500 sell-off potential
- US stock futures tread water with top tech earnings on tap
Create E-mail Alert Related Categories
SEC FilingsRelated Entities
The Capital Group CompaniesSign up for StreetInsider Free!
Receive full access to all new and archived articles, unlimited portfolio tracking, e-mail alerts, custom newswires and RSS feeds - and more!
