0001752724-20-049880.txt : 20200316 0001752724-20-049880.hdr.sgml : 20200316 20200316134946 ACCESSION NUMBER: 0001752724-20-049880 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200316 DATE AS OF CHANGE: 20200316 EFFECTIVENESS DATE: 20200316 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BOSTON TRUST WALDEN FUNDS CENTRAL INDEX KEY: 0000882748 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-06526 FILM NUMBER: 20716552 BUSINESS ADDRESS: STREET 1: ONE BEACON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-859-3437 MAIL ADDRESS: STREET 1: ONE BEACON STREET CITY: BOSTON STATE: MA ZIP: 02108 FORMER COMPANY: FORMER CONFORMED NAME: BOSTON TRUST & WALDEN FUNDS DATE OF NAME CHANGE: 20110801 FORMER COMPANY: FORMER CONFORMED NAME: COVENTRY GROUP DATE OF NAME CHANGE: 19920929 0000882748 S000009921 Boston Trust Asset Management Fund C000027439 Boston Trust Asset Management Fund BTBFX 0000882748 S000009922 Boston Trust Equity Fund C000027440 Boston Trust Equity Fund BTEFX 0000882748 S000009923 Walden Balanced Fund C000027441 Walden Balanced Fund WSBFX 0000882748 S000009926 Walden Equity Fund C000027444 Walden Equity Fund WSEFX 0000882748 S000009927 Boston Trust Walden Small Cap Fund C000027445 Boston Trust Walden Small Cap Fund BOSOX 0000882748 S000019041 Boston Trust Midcap Fund C000052650 Boston Trust Midcap Fund BTMFX 0000882748 S000023802 Walden Small Cap Fund C000069990 Walden Small Cap Fund WASOX 0000882748 S000033434 Walden Midcap Fund C000102803 Walden Midcap Fund WAMFX 0000882748 S000034664 Boston Trust SMID Cap Fund C000106778 Boston Trust SMID Cap Fund BTSMX 0000882748 S000034665 Walden SMID Cap Fund C000106779 Walden SMID Cap Fund WASMX 0000882748 S000041728 Walden International Equity Fund C000129551 Walden International Equity Fund WIEFX N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0000882748 XXXXXXXX 811-06526 true false false N-1A true Boston Trust Walden Funds 811-06526 0000882748 254900RLCMWMYQ67RN94 4400 Easton Commons, suite 200 Columbus 43219 US-OH US (614) 470-8000 Boston Trust Walden Inc. One Beacon Street Boston 02108 (617) 726-7250 records relating to its function as investment adviser Citi Fund Services Ohio, Inc. 4400 Easton Commons Suite 200 Columbus 43219 (614) 470-8000 records relating to its function as administrator Boston Trust Walden Company One Beacon Street Boston 02108 (617) 726-7250 records relating to its function as custodian and transfer agent Foreside Financial Services, LLC Three Canal Plaza Suite 100 Portland 04101 (207) 553-7110 records relating to its role as distributor Citibank, N.A. 388 Greenwich St New York 10013 (813) 604-4707 records relating to its function as custodian FIS Investor Services LLC 4249 Easton Way Suite 400 Columbus 43219 (800) 237-4851 records relating to its function as sub-transfer agent N N N N-1A 11 Y Michael M. Van Buskirk N/A N Lucia B. Santini 004376497 Y Heidi Soumerai 004861320 Y Elizabeth E. McGeveran N/A N Diane E. Armstrong 002646240 N Amy E. 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BAIRD & CO. 008-00497 000008158 549300772UJAHRD6LO53 658 COWEN AND COMPANY, LLC 008-22522 000007616 549300WR155U7DVMIW58 2126 JONESTRADING INSTITUTIONAL SERVICES LLC 008-26089 000006888 2138008JJ5PA8H5UIL69 56.5 NOMURA SECURITIES INTERNATIONAL, INC. 008-15255 000004297 OXTKY6Q8X53C9ILVV871 119.02 FIS BROKERAGE & SECURITIES SERVICES LLC 008-52614 000104162 5493000KYO0CHOUH1K62 2329.04 INSTINET 008-23669 000007897 549300MGMN3RKMU8FT57 2024.98 7786.04 0 Y 54397646.02 N N N N Walden International Equity Fund S000041728 254900Q6U7FUQLVKKZ45 N 1 0 0 N/A N N N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 12d1-1 (17 CFR 270.12d1-1) Y N Y Y Boston Trust Walden Inc. 801-60136 000111266 N/A N Boston Trust Walden Company 85-00174 N/A Y N FIS Investor Services LLC 84-06522 6WQ10Gk1PRFVBA061U48 N Y N PricingDirect N/A N Refinitiv N/A N Bloomberg N/A N World Market Reuters N/A N Virtu N/A N ICE Data Services N/A N N Citibank, N.A E57ODZWZ7FF32TWEFA76 N N Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N FIS Investor Services N/A N/A N Y Boston Trust Walden Company N/A N/A Y N N Citi Fund Services Ohio, Inc. 549300OX9HIV34JOX333 N N N COWEN AND COMPANY, LLC 008-22522 000007616 549300WR155U7DVMIW58 10.85 FIS BROKERAGE & SECURITIES SERVICES LLC 008-52614 000104162 5493000KYO0CHOUH1K62 61.12 VIRTU AMERICAS LLC 008-68193 000149823 549300RA02N3BNSWBV74 39.94 INSTINET 008-23669 000007897 549300MGMN3RKMU8FT57 20170.47 20282.38 0 Y 49168915.23 N N N N true true INTERNAL CONTROL RPT 2 cohen.txt REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Boston Trust Walden Funds In planning and performing our audit of the financial statements of Boston Trust Walden Funds, comprising the Boston Trust Asset Management Fund, Boston Trust Equity Fund, Boston Trust Midcap Fund, Boston Trust SMID Cap Fund, Boston Trust Small Cap Fund, Walden Balanced Fund, Walden Equity Fund, Walden Midcap Fund, Walden SMID Cap Fund, Walden Small Cap Fund, and Walden International Equity Fund (the "Funds"), as of and for the year ended December 31, 2019, in accordance with the standards of the Public Company Accounting Oversight Board (United States), 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 express no such opinion. The management of the Funds 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 (GAAP). 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 GAAP, 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 combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds' 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 that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). 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 a material weakness as defined above as of December 31, 2019. This report is intended solely for the information and use of management and the Board of Trustees of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/COHEN & COMPANY, LTD. Cleveland, Ohio February 21, 2020 EXEMPT ORDER INFO 3 BTWF_EO_-_Interfund_Lending.txt BTW EXEMPTIVE ORDER INTERFUND LENDING Boston Trust Walden Funds Interfund Lending Form N-CEN Certification Year Ended December 31, 2019 With regards to the InterFund Lending Program, I certify that Boston Trust Walden Inc., formerly, Boston Trust Investment Management, Inc., acting as Adviser to Boston Trust Walden Funds (the "Funds"), formerly, Boston Trust & Walden Funds, on behalf of the Funds has implemented procedures reasonably designed to achieve compliance with the terms and conditions of the InterFund Lending Order which includes the following objectives: (a) that the InterFund Loan rate is higher than the Repo Rate but lower than the Bank Loan Rate; (b) compliance with the collateral requirements as set forth in the Application; (c) Compliance with the percentage limitations on interfund borrowing and lending; (d) Allocation of interfund borrowing and lending demand in an equitable manner and in accordance with procedures established by the Board of Trustees; and (e) that the InterFund Loan Rate does not exceed the interest rate on any third-party borrowings of a borrowing Fund at the time of the InterFund Loan. ___Amy E. Siefer_____________________________________ Amy E. Siefer Chief Compliance Officer Boston Trust Walden Funds ___3/6/2020_________________ Date