Form N-CEN PUTNAM FUNDS TRUST For: May 31
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E-mailX0404 N-CEN LIVE 0001005942 XXXXXXXX false false N-1A S000024277 true S000024760 true S000048370 true Putnam Funds Trust 811-07513 0001005942 549300S9JYWEMKQCLW53 100 FEDERAL STREET BOSTON 02110 US-MA US 1-800-225-1581 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 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 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 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 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 N N-1A 17 Y Sutphen Mona K N/A 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 XXXXXX N N N N N N Putnam Retail Management Limited Partnership 8-5088 000007325 N/A Y N PricewaterhouseCoopers LLP 238 5493002GVO7EO8RNNS37 N N N N N N Putnam Dynamic Risk Allocation Fund S000024277 549300QOJG6OFCJ2ZT03 N 6 0 0 N/A N N Y N N Goldman Sachs Bank USA KD3XUN7C6T14HNAYLU02 N N Revenue sharing split 5735.00 4.00 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) Rule 12d1-4 (17 CFR 270.12d1-4) Y Y N N Putnam Investment Management, LLC 801-7974 000106629 N/A N Putnam Investments Limited 801-61441 000122254 N/A Y GB N Putnam Investor Services, Inc. 84-06331 N/A Y N N PDVENDOR 549300WIC0TOJ7N7GD54 N Reuters (equities) 549300561UZND4C7B569 N Reuters 549300561UZND4C7B569 N PRICESERVE 54930015EWCI4VNCZP82 N ICE Data Services (Corp) 5493000NQ9LYLDBCTL34 N Reuters (Corp) 549300561UZND4C7B569 N MARKIT 549300HLPTRASHS0E726 GB N JPM Pricing Direct 549300WIC0TOJ7N7GD54 N N State Street Bank and Trust Company N/A N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N N Putnam Investor Services, Inc. N/A Y N N N GSCO - GOLDMAN SACHS & CO LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 6572.26 MLCO - BofA Securities, Inc. 8-7221 000007691 549300HN4UKV1E2R3U73 3757.4 JPMS - J.P. MORGAN SECURITIES, LLC. 8-35008 000000079 ZBUT11V806EZRVTWT807 3638.62 CITI - CITIBANK, N.A. 8-8177 000007059 E57ODZWZ7FF32TWEFA76 2300.6 UBSW - UBS SECURITIES L.L.C. 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 1099.7 CSFB - CREDIT SUISSE SECURITIES (USA), LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 1039.88 CITG - CITIGROUP GLOBAL MARKETS, INC./SALOMON BROTHERS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 586.81 MSCO - MORGAN STANLEY & CO. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 142.64 BCAP - BARCLAYS CAPITAL, INC. 8-41342 000019714 AC28XWWI3WIBK2824319 40.62 CSI - CREDIT SUISSE INTERNATIONAL 8-422 000000816 E58DKGMJYYYJLN8C3868 29.03 19207.99 CGMI - CITIGROUP GLOBAL MARKETS INC. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 872263259.72 MLCO - BofA Securities, Inc. 8-7221 000007691 549300HN4UKV1E2R3U73 116823509.29 JPMS - J.P. MORGAN SECURITIES, LLC. 8-35008 000000079 ZBUT11V806EZRVTWT807 32311053.88 RBCA - ROYAL BANK OF CANADA 8-45411 000031194 ES7IP3U3RHIGC71XBU11 CA 17496000 CITG - CITIGROUP GLOBAL MARKETS, INC./SALOMON BROTHERS 8-8177 000007059 MBNUM2BPBDO7JBLYG310 5590150.01 MSCO - MORGAN STANLEY & CO. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 5391619.58 BCAP - BARCLAYS CAPITAL, INC. 8-41342 000019714 AC28XWWI3WIBK2824319 4293280.58 NMRA - NOMURA SECURITIES INTERNATIONAL, INC. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 3653747.63 GSCO - GOLDMAN SACHS & CO LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 3481766.19 CSFB - CREDIT SUISSE SECURITIES (USA), LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 1349191.74 1069638524.18 Y 31324284.00 0.00 Committed 317500000 N Uncommitted 235500000 N N N N Putnam Dynamic Asset Allocation Equity Fund S000024760 217HJO8KUHO2Y4P04346 N 2 0 0 N/A N N Y N N Goldman Sachs Bank USA KD3XUN7C6T14HNAYLU02 N N Revenue sharing split 525545.00 892.00 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) Rule 12d1-4 (17 CFR 270.12d1-4) Y Y N N Putnam Investment Management, LLC 801-7974 000106629 N/A N Putnam Investments Limited 801-61441 000122254 N/A Y GB N The Putnam Advisory Company, LLC 801-5097 000106631 N/A Y N Putnam Investor Services, Inc. 84-06331 N/A Y N N ICE Data Services (Corp) 5493000NQ9LYLDBCTL34 N Reuters 549300561UZND4C7B569 N PDVENDOR 549300WIC0TOJ7N7GD54 N Reuters (equities) 549300561UZND4C7B569 N MARKIT 549300HLPTRASHS0E726 GB N ICE Data Services (Convert) 5493000NQ9LYLDBCTL34 N N State Street Bank and Trust Company N/A N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N N Putnam Investor Services, Inc. N/A Y N N N MLCO - BofA Securities, Inc. 8-7221 000007691 549300HN4UKV1E2R3U73 17426.59 GSCO - GOLDMAN SACHS & CO LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 7725.47 UBSW - UBS SECURITIES L.L.C. 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 7260.85 JPMS - J.P. MORGAN SECURITIES, LLC. 8-35008 000000079 ZBUT11V806EZRVTWT807 4776.27 CSFB - CREDIT SUISSE SECURITIES (USA), LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 4051.49 CGML - CITIGROUP GLOBAL MARKETS INC 8-8177 000007059 6SHGI4ZSSLCXXQSBB395 2416.22 MSCO - MORGAN STANLEY & CO. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 1685.75 MSUS - MACQUARIE CAPITAL (USA) INC 8-47198 000036368 549300670K07JRB5UQ40 1157.91 CLSA - CLSA LIMITED 8-69166 000165533 213800CF5G9GRZD2RV79 HK 638.93 BCAP - BARCLAYS CAPITAL, INC. 8-41342 000019714 AC28XWWI3WIBK2824319 632.5 52002.43 MLCO - BofA Securities, Inc. 8-7221 000007691 549300HN4UKV1E2R3U73 445672000 JPMS - J.P. MORGAN SECURITIES, LLC. 8-35008 000000079 ZBUT11V806EZRVTWT807 27574443.22 CGMI - CITIGROUP GLOBAL MARKETS INC. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 16091000 RBCA - ROYAL BANK OF CANADA 8-45411 000031194 ES7IP3U3RHIGC71XBU11 CA 5344000 MSCO - MORGAN STANLEY & CO. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 499881 BMOC - BMO CAPITAL MARKETS CORP. 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 299639.1 PARI - BNP PARIBAS SECURITIES CORP 8-32682 000015794 RCNB6OTYUAMMP879YW96 99964.74 BCAP - BARCLAYS CAPITAL, INC. 8-41342 000019714 AC28XWWI3WIBK2824319 27557.07 UBSW - UBS SECURITIES L.L.C. 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 9916.18 GSCO - GOLDMAN SACHS & CO LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 9340 495635018.44 Y 83210759.45 0.00 Committed 317500000 N Uncommitted 235500000 N N N N Putnam Mortgage Opportunities Fund S000048370 549300SDR1EM41OFS298 N 5 0 0 N/A N N N N N/A 0.00 0.00 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) Rule 12d1-4 (17 CFR 270.12d1-4) Y Y N N Putnam Investment Management, LLC 801-7974 000106629 N/A N Putnam Investments Limited 801-61441 000122254 N/A Y GB N Putnam Investor Services, Inc. 84-06331 N/A Y N N ICE Data Services (Corp) 5493000NQ9LYLDBCTL34 N JPM Pricing Direct 549300WIC0TOJ7N7GD54 N Reuters 549300561UZND4C7B569 N PRICESERVE 54930015EWCI4VNCZP82 N PDVENDOR 549300WIC0TOJ7N7GD54 N Reuters (Corp) 549300561UZND4C7B569 N MARKIT 549300HLPTRASHS0E726 GB N N State Street Bank and Trust Company N/A N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N N Putnam Investor Services, Inc. N/A Y N N N CITI - CITIBANK, N.A. 8-8177 000007059 E57ODZWZ7FF32TWEFA76 26703.5 26703.5 JPMS - J.P. MORGAN SECURITIES, LLC. 8-35008 000000079 ZBUT11V806EZRVTWT807 954211380.71 CSAG - CREDIT SUISSE AG, NEW YORK BRANCH 8-422 000000816 ANGGYXNX0JLX3X63JN86 539293871.09 MLCO - BofA Securities, Inc. 8-7221 000007691 549300HN4UKV1E2R3U73 536556064.16 CGMI - CITIGROUP GLOBAL MARKETS INC. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 343108649.55 GSCO - GOLDMAN SACHS & CO LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 314816240.51 BNPP - BNP PARIBAS 8-32682 000015794 RCNB6OTYUAMMP879YW96 210244000 MSCO - MORGAN STANLEY & CO. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 188950675.89 RBCA - ROYAL BANK OF CANADA 8-45411 000031194 ES7IP3U3RHIGC71XBU11 CA 175904000 BMO - Bank of Montreal 8-67064 000137115 NQQ6HPCNCCU6TUTQYE16 CA 30181000 BMOC - BMO CAPITAL MARKETS CORP. 8-34344 000016686 RUC0QBLBRPRCU4W1NE59 21903335.63 3403229881.18 Y 176968592.00 0.00 Committed 317500000 N Uncommitted 235500000 N N N N false false true false false false
Report of Independent Registered Public Accounting Firm To the Board of Trustees of Putnam Funds Trust and Shareholders of Putnam Dynamic Risk Allocation Fund: In planning and performing our audit of the financial statements of Putnam Dynamic Rick Allocation Fund (one of the funds constituting Putnam Funds Trust, referred to hereafter as the Fund ) as of and for the year ended May 31, 2022, 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 N-CEN, 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 May 31, 2022. ? This report is intended solely for the information and use of the Board of Trustees of Putnam Funds 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. PricewaterhouseCoopers LLP Boston, Massachusetts July 14, 2022 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
Report of Independent Registered Public Accounting Firm To the Board of Trustees of Putnam Funds Trust and Shareholders of Putnam Dynamic Asset Allocation Equity Fund In planning and performing our audit of the financial statements of Putnam Dynamic Asset Allocation Equity Fund (one of the funds constituting Putnam Funds Trust, referred to hereafter as the Fund) as of and for the year ended May 31, 2022, 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 N-CEN, 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 May 31, 2022. This report is intended solely for the information and use of the Board of Trustees of Putnam Funds 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. PricewaterhouseCoopers LLP Boston, Massachusetts July 14, 2022 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
Report of Independent Registered Public Accounting Firm To the Board of Trustees of Putnam Funds Trust and Shareholders of Putnam Mortgage Opportunities Fund: In planning and performing our audit of the financial statements of Putnam Mortgage Opportunities Fund (one of the funds constituting Putnam Funds Trust, referred to hereafter as the Fund ) as of and for the year ended May 31, 2022, 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 N-CEN, 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 May 31, 2022. ? This report is intended solely for the information and use of the Board of Trustees of Putnam Funds 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. PricewaterhouseCoopers LLP Boston, Massachusetts July 14, 2022 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
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