401k Plan data: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN plan

W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP. The employer maintaining this ESOP is an S Corporation

401k Sponsoring company profile

W.M. PUTNAM CO. has sponsored the creation of one or more 401k plans.

Company Name: W.M. PUTNAM CO.

Employer identification number (EIN): 371204191

NAIC Classification: 453210
NAIC Description: Office Supplies and Stationery Stores

Form 5500 Filing Information

Submission information for form 5500 for 401k plan W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-01-01 NICHOLAS L. SAAKVITNE
002 2014-01-01 NICHOLAS L. SAAKVITNE
002 2013-01-01 NICHOLAS L. SAAKVITNE
002 2012-01-01 MENKE
002 2011-01-01 FRED C. HARDMAN
002 2009-01-01 MARY L. LANDON

Plan id#	Filing Submission Date	Name of Administrator
002	2015-01-01	NICHOLAS L. SAAKVITNE
002	2014-01-01	NICHOLAS L. SAAKVITNE
002	2013-01-01	NICHOLAS L. SAAKVITNE
002	2012-01-01	MENKE
002	2011-01-01	FRED C. HARDMAN
002	2009-01-01	MARY L. LANDON

Plan Statistics for W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2015: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 32
Total of all active and inactive participants 2014-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 32
Number of participants with account balances 2014-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 32
Total of all active and inactive participants 2013-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 32
Number of participants with account balances 2013-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 19
Number of retired or separated participants receiving benefits 2012-01-01 8
Number of other retired or separated participants entitled to future benefits 2012-01-01 5
Total of all active and inactive participants 2012-01-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 32
Number of participants with account balances 2012-01-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 18
Number of retired or separated participants receiving benefits 2011-01-01 6
Number of other retired or separated participants entitled to future benefits 2011-01-01 6
Total of all active and inactive participants 2011-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 30
Number of participants with account balances 2011-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 29
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 30
Number of participants with account balances 2009-01-01 29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2015: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	32
Total of all active and inactive participants	2014-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	32
Number of participants with account balances	2014-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	32
Total of all active and inactive participants	2013-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	32
Number of participants with account balances	2013-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	19
Number of retired or separated participants receiving benefits	2012-01-01	8
Number of other retired or separated participants entitled to future benefits	2012-01-01	5
Total of all active and inactive participants	2012-01-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	32
Number of participants with account balances	2012-01-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	18
Number of retired or separated participants receiving benefits	2011-01-01	6
Number of other retired or separated participants entitled to future benefits	2011-01-01	6
Total of all active and inactive participants	2011-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	30
Number of participants with account balances	2011-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	29
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	30
Number of participants with account balances	2009-01-01	29
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2015 : W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Total plan liabilities at beginning of year	2015-05-30	$0
Total income from all sources	2015-05-30	$2,625,328
Expenses. Total of all expenses incurred	2015-05-30	$376,518
Benefits paid (including direct rollovers)	2015-05-30	$366,518
Total plan assets at end of year	2015-05-30	$0
Total plan assets at beginning of year	2015-05-30	$-2,248,810
Value of fidelity bond covering the plan	2015-05-30	$1,000,000
Contributions received from other sources (not participants or employers)	2015-05-30	$376,518
Other income received	2015-05-30	$2,248,810
Net income (gross income less expenses)	2015-05-30	$2,248,810
Net plan assets at end of year (total assets less liabilities)	2015-05-30	$0
Net plan assets at beginning of year (total assets less liabilities)	2015-05-30	$-2,248,810
Expenses. Administrative service providers (salaries,fees and commissions)	2015-05-30	$10,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-05-30	$0
2014 : W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$0
Expenses. Total of all expenses incurred	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$-2,248,810
Total plan assets at beginning of year	2014-12-31	$-2,248,810
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Net income (gross income less expenses)	2014-12-31	$0
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$-2,248,810
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$-2,248,810
Assets. Value of employer securities	2014-12-31	$-2,248,810
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$2,604,900
Total income from all sources	2013-12-31	$0
Expenses. Total of all expenses incurred	2013-12-31	$0
Total plan assets at end of year	2013-12-31	$-2,248,810
Total plan assets at beginning of year	2013-12-31	$356,090
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Net income (gross income less expenses)	2013-12-31	$0
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$-2,248,810
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$-2,248,810
Assets. Value of employer securities	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$2,604,900
Total plan liabilities at beginning of year	2012-12-31	$2,730,317
Total income from all sources	2012-12-31	$239,117
Expenses. Total of all expenses incurred	2012-12-31	$152,596
Benefits paid (including direct rollovers)	2012-12-31	$5,149
Total plan assets at end of year	2012-12-31	$356,090
Total plan assets at beginning of year	2012-12-31	$394,986
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$147,447
Other income received	2012-12-31	$-53,840
Net income (gross income less expenses)	2012-12-31	$86,521
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$-2,248,810
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$-2,335,331
Assets. Value of employer securities	2012-12-31	$63,123
Total contributions received or receivable from employer(s)	2012-12-31	$292,957
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$5,149
2011 : W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$2,730,317
Total plan liabilities at beginning of year	2011-12-31	$2,872,199
Total income from all sources	2011-12-31	$58,685
Expenses. Total of all expenses incurred	2011-12-31	$164,993
Benefits paid (including direct rollovers)	2011-12-31	$10,437
Total plan assets at end of year	2011-12-31	$391,099
Total plan assets at beginning of year	2011-12-31	$639,289
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$154,556
Other income received	2011-12-31	$-214,179
Net income (gross income less expenses)	2011-12-31	$-106,308
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$-2,339,218
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$-2,232,910
Assets. Value of employer securities	2011-12-31	$118,235
Total contributions received or receivable from employer(s)	2011-12-31	$272,864
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$10,437
2010 : W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$2,872,199
Total plan liabilities at beginning of year	2010-12-31	$3,006,048
Total income from all sources	2010-12-31	$-387,241
Expenses. Total of all expenses incurred	2010-12-31	$164,058
Benefits paid (including direct rollovers)	2010-12-31	$1,481
Total plan assets at end of year	2010-12-31	$639,289
Total plan assets at beginning of year	2010-12-31	$1,324,437
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Expenses. Other expenses not covered elsewhere	2010-12-31	$162,577
Other income received	2010-12-31	$-683,668
Net income (gross income less expenses)	2010-12-31	$-551,299
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$-2,232,910
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$-1,681,611
Assets. Value of employer securities	2010-12-31	$342,851
Total contributions received or receivable from employer(s)	2010-12-31	$296,427
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$1,481
2009 : W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN

2015: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: W. M. PUTNAM COMPANY EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	W.M. PUTNAM CO.
Employer identification number (EIN):	371204191
NAIC Classification:	453210
NAIC Description:	Office Supplies and Stationery Stores