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
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Boston Trust Walden Funds
811-06526
0000882748
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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. Siefer
N/A
4400 Easton Commons, Suite 200
Columbus
43219
XXXXXX
N
N
N
N
N
N
Foreside Financial Services, LLC
8-51293
000046106
N/A
N
N
Cohen & Company, Ltd.
925
N/A
N
N
N
N
N
N
N
Boston Trust SMID Cap Fund
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254900Z0VI2QVC7JXY87
N
1
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
Boston Trust Walden Inc.
801-60136
000111266
N/A
N
Boston Trust Walden Company
85-00174
N/A
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N
FIS Investor Services LLC
84-06522
6WQ10Gk1PRFVBA061U48
N
Y
N
PricingDirect
N/A
N
ICE Data Services
N/A
N
Bloomberg
N/A
N
Refinitiv
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
JONESTRADING INSTITUTIONAL SERVICES LLC
008-26089
000006888
2138008JJ5PA8H5UIL69
1269.45
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
2170.08
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
290
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
2913.98
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
9714.47
STIFEL, NICOLAUS & COMPANY, INCORPORATED
008-01447
000000793
5WUVMA08EYG4KEUPW589
239
ROBERT W. BAIRD & CO.
008-00497
000008158
549300772UJAHRD6LO53
534.5
KEEFE BRUYETTE & WOODS INC.
008-10888
000000481
549300OM47DQV01G4854
204
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
636
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
1668
19862.48
0
Y
88914842.46
N
N
N
Boston Trust Midcap Fund
S000019041
254900UURYF1XFBG4G90
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
Y
Y
N
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
Bloomberg
N/A
N
Refinitiv
N/A
N
ICE Data Services
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
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
WEEDEN & CO.
008-37267
000016835
549300OYBLKSN8M8EW67
61.5
ROBERT W. BAIRD & CO.
008-00497
000008158
549300772UJAHRD6LO53
1433.5
NOMURA SECURITIES INTERNATIONAL, INC.
008-15255
000004297
OXTKY6Q8X53C9ILVV871
375.82
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
3813.88
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
220.6
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
7509.34
JONESTRADING INSTITUTIONAL SERVICES LLC
008-26089
000006888
2138008JJ5PA8H5UIL69
97.5
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
8520.14
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
850
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
41
22923.28
0
Y
110671090.98
N
N
N
N
Walden Balanced Fund
S000009923
254900Z3C8YYWL08YJ66
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
Y
Y
N
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
Bloomberg
N/A
N
ICE Data Services
N/A
N
Refinitiv
N/A
N
PricingDirect
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
1088
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
342
ROBERT W. BAIRD & CO.
008-00497
000008158
549300772UJAHRD6LO53
100
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
2104.5
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
670
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
318
4622.5
KEYBANC CAPITAL MARKETS
008-30177
000000566
2EQWV0180Z211YVAD813
501367.50000000
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
3645206.19000000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
3277186.31000000
FTN FINANCIAL SECURITIES CORP
008-51393
000046346
PHDL2C07HIPM5DUL8S59
1351964.22000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
754804.69000000
TRADEWEB DIRECT LLC
008-52278
000103787
549300MII67ES5YBJH61
463625.70000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
8997468.75000000
INTL FCSTONE FINANCIAL INC.
008-51269
000045993
549300LNKU6K5TJCRG93
4942968.75000000
23934592.11
Y
143472324.39
N
N
N
N
Boston Trust Small Cap Fund
S000009927
254900NRUW0QH3HI6X18
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)
Rule 17a-7 (17 CFR 270.17a-7)
Y
Y
Y
N
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
ICE Data Services
N/A
N
Refinitiv
N/A
N
Bloomberg
N/A
N
PricingDirect
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
4338.44
JONESTRADING INSTITUTIONAL SERVICES LLC
008-26089
000006888
2138008JJ5PA8H5UIL69
2906.68
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
8858.2
ROBERT W. BAIRD & CO.
008-00497
000008158
549300772UJAHRD6LO53
1060.38
PIPER JAFFRAY & CO.
008-15204
000000665
549300GRQCWQ3XGH0H10
278
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
417.5
NOMURA SECURITIES INTERNATIONAL, INC.
008-15255
000004297
OXTKY6Q8X53C9ILVV871
321.5
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
30527.84
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
2869.48
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
11746.66
63765.14
CITIGROUP GLOBAL MARKETS INC.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
114.18
114.18
Y
243950552.92
N
N
N
N
Walden Equity Fund
S000009926
2549003GI0E5HT0LVC14
N
1
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
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
Refinitiv
N/A
N
PricingDirect
N/A
N
ICE Data Services
N/A
N
Bloomberg
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
ROBERT W. BAIRD & CO.
008-00497
000008158
549300772UJAHRD6LO53
160
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
343.5
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
732
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
420
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
2808.5
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
3436.4
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
2560
10460.4
0
Y
224443480.11
N
N
N
Walden Small Cap Fund
S000023802
254900JFT4F1JW732P36
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
Y
Y
N
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
ICE Data Services
N/A
N
PricingDirect
N/A
N
Refinitiv
N/A
N
Bloomberg
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
ROBERT W. BAIRD & CO.
008-00497
000008158
549300772UJAHRD6LO53
541.5
PIPER JAFFRAY & CO.
008-15204
000000665
549300GRQCWQ3XGH0H10
135.5
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
172
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
4180.9
WEEDEN & CO.
008-37267
000016835
549300OYBLKSN8M8EW67
91.45
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
10894.72
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
5680.08
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
1984.4
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
1108.5
JONESTRADING INSTITUTIONAL SERVICES LLC
008-26089
000006888
2138008JJ5PA8H5UIL69
1481
26446.05
CITIGROUP GLOBAL MARKETS INC.
008-08177
000007059
MBNUM2BPBDO7JBLYG310
78.41
78.41
Y
105092621.19
N
N
N
N
Boston Trust Equity Fund
S000009922
2549000BEJLCFVU7SP62
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
N
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
Refinitiv
N/A
N
Bloomberg
N/A
N
ICE Data Services
N/A
N
PricingDirect
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
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
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
378
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
150
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
860
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
1635
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
100
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
50
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
200
3373
0
Y
144435912.48
N
N
N
N
Boston Trust Asset Management Fund
S000009921
254900C8TS36OBPP5626
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)
Rule 17a-7 (17 CFR 270.17a-7)
Y
N
Y
N
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
ICE Data Services
N/A
N
Bloomberg
N/A
N
PricingDirect
N/A
N
Refinitiv
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
WELLS FARGO SECURITIES, LLC
008-65876
000126292
VYVVCKR63DVZZN70PB21
749.98
NOMURA SECURITIES INTERNATIONAL, INC.
008-15255
000004297
OXTKY6Q8X53C9ILVV871
400
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
2600
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
2850
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
600
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
1435.02
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
400
9035
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
2505060.00000000
TRADEWEB DIRECT LLC
008-52278
000103787
549300MII67ES5YBJH61
642975.00000000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
008-07221
000007691
8NAV47T0Y26Q87Y0QP81
22514550.62000000
FTN FINANCIAL SECURITIES CORP
008-51393
000046346
PHDL2C07HIPM5DUL8S59
516430.00000000
PIPER JAFFRAY & CO.
008-15204
000000665
549300GRQCWQ3XGH0H10
1040526.00000000
BARCLAYS CAPITAL INC.
008-41342
000019714
AC28XWWI3WIBK2824319
8411845.06000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
13649530.15000000
KEYBANC CAPITAL MARKETS
008-30177
000000566
2EQWV0180Z211YVAD813
468520.00000000
49749436.83
Y
530410961.75
N
N
N
Walden SMID Cap Fund
S000034665
254900MCMI7HRLKH0S05
N
1
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
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
ICE Data Services
N/A
N
Refinitiv
N/A
N
Bloomberg
N/A
N
PricingDirect
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
JONESTRADING INSTITUTIONAL SERVICES LLC
008-26089
000006888
2138008JJ5PA8H5UIL69
892.27
COWEN AND COMPANY, LLC
008-22522
000007616
549300WR155U7DVMIW58
2185.4
ROBERT W. BAIRD & CO.
008-00497
000008158
549300772UJAHRD6LO53
241.5
NOMURA SECURITIES INTERNATIONAL, INC.
008-15255
000004297
OXTKY6Q8X53C9ILVV871
149.5
INSTINET
008-23669
000007897
549300MGMN3RKMU8FT57
3496.73
FIS BROKERAGE & SECURITIES SERVICES LLC
008-52614
000104162
5493000KYO0CHOUH1K62
1813.48
STIFEL, NICOLAUS & COMPANY, INCORPORATED
008-01447
000000793
5WUVMA08EYG4KEUPW589
146.5
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
167
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
458
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
1109.5
10842.38
0
Y
55580650.55
N
N
N
N
Walden Midcap Fund
S000033434
254900M65BK4AYZUE809
N
1
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
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
Refinitiv
N/A
N
PricingDirect
N/A
N
ICE Data Services
N/A
N
Bloomberg
N/A
N
N
Boston Trust Walden Company
N/A
Y
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, N.A
E57ODZWZ7FF32TWEFA76
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Boston Trust Walden Company
N/A
N/A
Y
N
FIS Investor Services
N/A
N/A
N
Y
N
Citi Fund Services Ohio, Inc.
549300OX9HIV34JOX333
N
N
N
SANFORD C. BERNSTEIN & CO., LLC
008-52942
000104474
549300I7JYZHT7D5CO04
412.5
VIRTU AMERICAS LLC
008-68193
000149823
549300RA02N3BNSWBV74
15.5
WEEDEN & CO.
008-37267
000016835
549300OYBLKSN8M8EW67
44.5
ROBERT W. 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