Form D · Other Investment Fund

Putnam High Yield Fixed Income Fund, LLC

Boston, MA · CIK 0001483244

Offering snapshot reported Oct 9, 2019 · SEC filing

Reported sold: $4.31K
Investors reported: 1
Minimum accepted: $10M
First sale: Nov 1, 1995

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

Reported sold$3,460,383 → $4,306
Reported investors2 → 1

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Oct 9, 2019	Amendment	$4,306	-$3,456,077vs Oct 9, 2018	1	SEC filing
Oct 9, 2018	Amendment	$3,460,383	$63,839vs Jan 31, 2018	2	SEC filing
Jan 31, 2018	Amendment	$3,396,544	$252,025vs Feb 14, 2017	2	SEC filing
Feb 14, 2017	Amendment	$3,144,519	-$1,798,235vs Feb 23, 2016	2	SEC filing
Feb 23, 2016	Amendment	$4,942,754	$529,750vs Mar 6, 2015	2	SEC filing
Mar 6, 2015	Amendment	$4,413,004	-$3,869,109vs Mar 6, 2014	2	SEC filing
Mar 6, 2014	Amendment	$8,282,113	$682,450vs Mar 8, 2013	2	SEC filing
Mar 8, 2013	Amendment	$7,599,663	$878,224vs Mar 8, 2012	2	SEC filing
Mar 8, 2012	Amendment	$6,721,439	-$2,513,162vs Mar 9, 2011	2	SEC filing
Mar 9, 2011	Amendment	$9,234,601	$1,377,334vs Mar 11, 2010	2	SEC filing
Mar 11, 2010	Initial	$7,857,267	No comparison	2	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-139475

As of September 30, 2019. Data is preliminary and unaudited.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
N/A	None	Putnam Retail Management Limited Partnership · CRD 7325

Source: Form D, filed Oct 9, 2019. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

PUTNAM HIGH YIELD FIXED INCOME FUND, LLC

Investment adviser: THE PUTNAM ADVISORY COMPANY, LLC

Gross asset value: $3.47M
Beneficial owners: 2
ADV minimum commitment: $10M

Reported in Form ADV on Dec 20, 2018. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BANK AND TRUST COMPANY, SUB-ACCOUNTING AGENT BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP BOSTON, Massachusetts, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP BOSTON, Massachusetts, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD 7325 · SEC 8-1369

Filing source

Form ADV 1259340 · Dec 20, 2018 · Schedule D 7.B.(1), fund 805-7642586345

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
N/A Na The Putnam Advisory Company, Llc	Director, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

The Putnam Advisory Company 100 Federal St.
Boston, MA, 02110