Enhancement to Putnam s Money Market Fund Offerings
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- Malcolm Lewis
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1 Business Update May 27, 2016 Enhancement to Putnam s Money Market Fund Offerings Please Forward to All Mutual Fund Operations Personnel As our industry addresses upcoming regulatory changes to Rule 2a-7 under the Investment Company Act, the rule governing money market funds, Putnam is making enhancements to its money market fund offerings. Fund Cusip Quotron Investor NAV Fees/Gates Putnam Money Market Fund Cl A PDDXX Retail Stable Yes Putnam Money Market Fund Cl B PTBXX Retail Stable Yes Putnam Money Market Fund Cl C PFCXX Retail Stable Yes Putnam Money Market Fund Cl M PTMXX Retail Stable Yes Putnam Money Market Fund Cl R PURXX Retail Stable Yes Putnam Money Market Fund Cl T PMMXX Retail Stable Yes Putnam Government Money Market 74680A505 PGDXX Retail and Stable No Fund Cl A Putnam Government Money Market 74680A604 PGBXX Retail and Stable No Fund Cl B (effective June 16, 2016) Putnam Government Money Market 74680A703 PGEXX Retail and Stable No Fund Cl C (effective June 16, 2016) Putnam Government Money Market 74680A877 PGQXX Retail and Stable No Fund Cl M (effective June 16, 2016) Putnam Government Money Market 74680A851 PGRXX Retail and Stable No Fund Cl R (effective June 16, 2016) Putnam Government Money Market Fund Cl T (effective June 16, 2016) 74680A844 PGJXX Retail and Stable Putnam launched Putnam Government Money Market Fund Class A effective April 14, Putnam Government Money Market Fund Classes B, C, M, R, and T will launch June 16, This fund is available to both retail and institutional investors. The fund will maintain a stable $1.00 net asset value (NAV). The fund will not be subject to liquidity fees or redemption gates. We will continue to offer Putnam Money Market Fund as a prime money market fund with a stable $1.00 NAV. The fund is designated as a retail money market fund that is available exclusively to retail shareholders ( natural persons as defined by the SEC). In addition, the fund is subject to liquidity fees and redemption gates, which would apply only under certain extreme market conditions, to help ensure the overall stability of the fund for retail shareholders. No Page1 of 5
2 Liquidity Fees and Redemption Gates. In accordance with SEC amendments to the rules governing money market funds, the fund has adopted policies and procedures permitting the Board of Trustees of the fund to impose a liquidity fee or to suspend temporarily redemptions from the fund (a redemption gate ) if the fund s weekly liquid assets fall below specified thresholds. If, at any time, the fund has invested less than 30% of its total assets in weekly liquid assets (cash, direct obligations of the U.S. Government, Government securities issued by agencies or instrumentalities that are issued at a discount and have a remaining maturity of 60 days or less, or securities that mature or are subject to a demand feature that is exercisable and payable within 5 business days), the fund may institute a liquidity fee of up to 2% or impose a redemption gate for a period of up to ten days in any rolling ninety day period, if the fund s Trustees, including a majority of independent Trustees, determine that the liquidity fee or redemption gate is in the best interests of the fund. If, at the end of a business day, the fund s weekly liquid assets equal less than 10% of its total assets, the fund must institute a liquidity fee of 1%, unless the Trustees, including a majority of the independent Trustees, determine that imposing the fee is not in the best interests of the fund. Any liquidity fee is assessed against, and deducted from, a shareholder s proceeds from selling shares. For example, if a shareholder sells 1,000 shares worth $1,000 when a 2% liquidity fee is imposed, the shareholder would receive $980 and the fund would receive $20 as the liquidity fee. The fund will notify shareholders of the imposition or termination of any liquidity fee or redemption gate on the fund s website at putnam.com. Announcement of the imposition or termination of a liquidity fee or redemption gate will also be filed with the SEC on Form N-CR. Social s The following social codes are considered to be Retail and will be allowed in Putnam Money Market Fund: Social Social Description 1 INDIVIDUAL 3 JOINT TENANTS 8 IRA (FUND 9 IRA-ROLLOVER (FUND 11 PROFIT SHARING PLAN K PLAN 13 MONEY PURCHASE PENSION PLAN 14 UGMA/UTMA 15 TRUST-RETAIL 16 INDIVIDUAL FIDUCIARY 17 IRA (NON (B) (B) PLAN 22 ROTH IRA Page2 of 5
3 23 ROTH IRA 24 ROTH CONVERSION IRA (FUND 25 ROTH CONVERSION IRA 27 EDUCATION IRA 28 IRA ROLLOVER 29 IRA SPOUSAL (FUND 30 IRA SPOUSAL 32 SIMPLE IRA 34 SEP IRA 36 SARSEP 42 BANK/TRUST FBO 48 HEALTH SAVINGS ACCOUNT 50 SINGLE(K) 51 NON-QUALIFIED DEFERRED COMPENSATION PLAN 54 SOLE PROPRIETORSHIPS 58 ROTH 401(K) 60 ROTH 403(B) (F) PLANS 72 NON-QUALIFIED 403(B) PLANS (B) PLAN FBO PARTICIPANT NAME/ACCT # (K) PLAN FBO PARTICIPANT NAME/ACCT # 79 PROFIT SHARING PLAN FBO PARTIC NAME/ACCT # 80 MONEY PURCHASE PLAN FBO PARTIC NAME/ACCT # 81 HEALTH SAVINGS PLAN FBO PARTIC NAME/ACCT # 85 ESTATE ACCOUNT 90 SIMPLE 401(K) PLAN 91 SIMPLE 401(K) FBO PARTIC NAME/ACCOUNT # The following social codes are considered to be and will not be allowed in Putnam Money Market Fund: Social Social Description 4 C CORPORATIONS 5 INSURANCE COMPANIES 7 BANK/TRUST OMNIBUS Page3 of 5
4 18 BROKER-DEALER FBO 21 NONPROFIT ORGANIZATION 52 PARTNERSHIPS 53 DEFINED BENEFIT PLAN 55 GOVERNMENTAL ENTITIES 56 REAL ESTATE INVESTMENT TRUSTS (REITS) 63 S CORPORATION 64 RETIREMENT PLAN OMNIBUS 71 NON-QUALIFIED DEFERRED COMPENSATION PLAN 82 GOVERNMENT SPONSORED PLAN (NON- 83 INSURANCE COMPANY GROUP TRUST OR POOLED ASSETS 84 INVESTMENT CLUBS; UNIONS; UNINCORPORATED ASSOCIATION; MISC 93 SINGLE DEFINED BENEFIT PLAN 95 TRUST - INSTITUTIONAL 99 OTHER As a reminder, the following social codes are never accepted by Putnam in any Cusip: Social Description 6 BROKER-DEALER OMNIBUS 26 EDUCATION IRA (FUND 31 SIMPLE IRA (FUND 33 SEP IRA (FUND 35 SARSEP (FUND PLAN 38 UGMA/UTMA 529 PLAN TO NEW 529 PLAN 40 IRA TO 529 PLAN 41 SERIES E/I SAVINGS BONDS TO 529 PLAN 43 PROFIT SHARING PLAN (FUND K (FUND 45 MONEY PURCHASE PENSION PLAN (FUND (B) (FUND 47 HEALTH SAVINGS ACCOUNT (FUND 49 SINGLE(K) (FUND Page4 of 5
5 57 ROTH 401(K) 59 ROTH 403(B) 61 JOINT OWNER SECTION TRUST 65 TRANSFER ON DEATH - INDIVIDUAL 66 TRANSFER ON DEATH - JOINT TENANT 67 SECTION 529 ACCOUNT - ENTITY 68 SECTION 529 ACCOUNT - CORPORATE B PLANS (FUND ACT REGISTERED FUND OF FUNDS 75 NON-40 ACT REGISTERED FUND OF FUNDS 76 IRA BENEFICIARY DISTRIBUTION ACCOUNT (FUND- 77 ROTH IRA BENEFICIARY DISTRIBUTION ACCOUNT ACT REGISTERED FUND OF FUNDS - RETIREMENT ASSETS ONLY 87 NON-40 ACT REGISTERED FUND OF FUNDS - RETIREMENT ASSETS 88 COVERDELL ESA BENEFICIARY DISTRIB ACCT 89 IRA - SUPER OMNIBUS 92 SIMPLE 401(K) FBO PARTIC NAME/ACCOUNT # 94 NON-U.S. GOVERNMENTAL ENTITIES Mutual Fund Profile Service II (MFPS II) Security Database Putnam will populate the new data points made available in MFPS II in support of Money Market Reform. Money Market Indicator field Money Market Liquidity Fee/ Redemption Gate Eligibility Fund Indicator field Timeline: Effective June 30, 2016, the Putnam Money Market Fund will close to new institutional investors. All existing institutional investors in the Putnam Money Market Fund must move their positions out of the fund by August 30, Any institutional clients with assets in Putnam Money Market Fund will be liquidated at close of business and proceeds sent to the address of record. Effective October 10, 2016, Putnam will have the ability to impose liquidity fees and redemption gates under the circumstances described above. If you have any questions regarding this Business Update or require additional information, please contact your Dedicated Putnam Representative. Page5 of 5
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