0001145549-19-007437.txt : 20190315 0001145549-19-007437.hdr.sgml : 20190315 20190315093823 ACCESSION NUMBER: 0001145549-19-007437 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190315 DATE AS OF CHANGE: 20190315 EFFECTIVENESS DATE: 20190315 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Columbia Seligman Premium Technology Growth Fund, Inc. CENTRAL INDEX KEY: 0001471420 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-22328 FILM NUMBER: 19683248 BUSINESS ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 612-671-4321 MAIL ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: Seligman Premium Technology Growth Fund, Inc. DATE OF NAME CHANGE: 20090901 N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0001471420 XXXXXXXX true false false N-2 Columbia Seligman Premium Technology Growth Fund, Inc. 811-22328 0001471420 WPBXL2LYEYTUKG1U0H35 225 Franklin St Boston 02110 US-MA US 18003456611 Columbia Seligman Premium Technology Growth Fund, Inc. 225 Franklin Street Boston 02110 6126717086 Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder. In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. Columbia Management Investment Advisers, LLC 225 Franklin Street Boston 02110 6126717086 Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder. In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. Iron Mountain Records Management 920 and 950 Apollo Road Eagan 55121 6126717086 Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder. In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. Columbia Management Investment Services Corp. 225 Franklin Street Boston 02110 6126717086 Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder. In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. JP Morgan Chase Bank, N.A. 1 Chase Manhattan Plaza 19th Floor New York 10005 6126717086 Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder. In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. American Stock Transfer & Trust Company LLC 53 Maiden Lane Plaza Level New York 10038 8666661532 Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder. In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. Y N N-2 Y George S. Batejan N/A N Edward J. Boudreau Jr. N/A N Pamela G. Carlton N/A N William P. Carmichael N/A N Patricia M. Flynn N/A N Catherine James Paglia N/A N Minor M. Shaw N/A N William F. Truscott 002416857 Y Kathleen Blatz N/A N Thomas P. McGuire N/A 225 Franklin Street Boston 02110 XXXXXX N N N N N N PricewaterhouseCoopers LLP 00238 5493002GVO7EO8RNNS37 N N N N N N Columbia Seligman Premium Technology Growth Fund, Inc. WPBXL2LYEYTUKG1U0H35 Y N/A Y N N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 23c-1 (17 CFR 270.23c-1) Rule 32a-4 (17 CFR 270.32a-4) N N N N Columbia Management Investment Advisers, LLC 801-25943 000108257 6YVO3H2OUHJXER5SGR23 N American Stock Transfer & Trust Co, LLC/TA 084-00416 254900TS5EWP83BEOU02 N N N Thomson Reuters (Markets) LLC. 4128251 File number N IHS Markit Ltd. 549300HLPTRASHS0E726 BM N Bloomberg Finance L.P. 5493001KJTIIGC8Y1R12 N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N ICE Data Pricing and Reference Data, LLC 5493000NQ9LYLDBCTL34 N N JPMORGAN CHASE BANK, N.A. 7H6GLXDRUGQFU57RNE97 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) J.P. Morgan Bank Luxembourg S.A. 7W1GMC6J4KGLBBUSYP52 FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) JPMorgan Chase Bank, N.A. 7H6GLXDRUGQFU57RNE97 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services S.C.A. 549300WCGB70D06XZS54 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Korea Limited NUXTG47HHHM1K2L0SG39 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) J.P. Morgan Bank Luxembourg S.A. 7W1GMC6J4KGLBBUSYP52 NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) JPMorgan Chase Bank, N.A. 7H6GLXDRUGQFU57RNE97 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Nordea Bank AB (publ) 6SCPQ280AIY8EP3XFW53 NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited 2HI3YI5320L3RW6NJ957 PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DBS Bank Ltd ATUEL7OJR5057F2PV266 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) JPMorgan Chase Bank, N.A. 7H6GLXDRUGQFU57RNE97 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Nordea Bank AB (publ) 6SCPQ280AIY8EP3XFW53 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) JPMorgan Chase Bank, N.A. 7H6GLXDRUGQFU57RNE97 TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) JPMorgan Chase Bank, N.A. 7H6GLXDRUGQFU57RNE97 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services S.C.A. 549300WCGB70D06XZS54 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) J.P. Morgan Bank Luxembourg S.A. 7W1GMC6J4KGLBBUSYP52 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Bermuda Limited 0W1U67PTV5WY3WYWKD79 BM N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) J.P. Morgan S.A. DTVM 5493001LS7J56NZZ3G07 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada ES7IP3U3RHIGC71XBU11 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Czech Republic and Slovakia, a.s. KR6LSKV3BTSJRD41IF75 CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear 549300OZ46BRLZ8Y6F65 BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Nordea Bank AB (publ) 6SCPQ280AIY8EP3XFW53 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N American Stock Transfer & Trust Co, LLC/TA 254900TS5EWP83BEOU02 N N N Columbia Management Investment Advisers, LLC 6YVO3H2OUHJXER5SGR23 Y N N Columbia Management Investment Distributors, Inc. 8-25845 000000840 N/A 0.000000000000 American Enterprise Investment Services Inc. 8-42582 000026506 549300NT7GLLVGTH0249 0.000000000000 Ameriprise Financial Services, Inc. 8-16791 000006363 N/A 0.000000000000 Riversource Distributors, Inc. 8-67196 000139135 N/A 0.000000000000 Goldman Sachs 8-129 000000361 FOR8UP27PHTHYVLBNG30 17995.370000000000 Weeden & Co LP 8-37267 000016835 549300OYBLKSN8M8EW67 2581.540000000000 Credit Suisse 8-422 000000816 1V8Y6QCX6YMJ2OELII46 16680.530000000000 RBC Capital Markets 8-45411 000031194 549300LCO2FLSSVFFR64 11468.980000000000 JPMorgan 8-35008 000000079 ZBUT11V806EZRVTWT807 9403.100000000000 Liquidnet Inc 8-52461 000103987 213800HSKBBO1GCVRG79 8660.000000000000 Wells Fargo Securities LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 4983.990000000000 Oppenheimer & Co Inc 8-4077 000000249 254900VH02JQR2L8XD64 4778.310000000000 Barclays 8-41342 000019714 AC28XWWI3WIBK2824319 4760.020000000000 Cowen 8-22522 000007616 549300WR155U7DVMIW58 4541.780000000000 106170.220000000000 Goldman Sachs 8-129 000000361 FOR8UP27PHTHYVLBNG30 2051584.000000000000 Morgan Stanley 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 2019741.000000000000 JPMorgan 8-35008 000000079 ZBUT11V806EZRVTWT807 1666995.360000000000 Citi 8-8177 000007059 MBNUM2BPBDO7JBLYG310 1642960.000000000000 Jeffries 8-15074 000002347 58PU97L1C0WSRCWADL48 1086000.000000000000 Cowen 8-22522 000007616 549300WR155U7DVMIW58 262522.000000000000 Credit Suisse 8-422 000000816 1V8Y6QCX6YMJ2OELII46 162811.000000000000 Suntrust Robinson Humphrey Inc. 8-17212 000006271 CSVTK36R0PNGXEM7NS14 1104.000000000000 8893717.359999980000 Y 326589298.500000000000 Common stock Columbia Seligman Premium Tech Growth Fund N N N N N N 1.060000000000 1.150000000000 16.810000000000 16.960000000000 true true EXEMPT ORDER INFO 2 exemptiveorder.htm G.1.A.V - EXEMPTIVE ORDER INFORMATION Form 8-K

Certification Pursuant to Form N-CEN Item G.1.a.v1

Reference is made to that certain order (the Order) granted by the Securities and Exchange Commission to Columbia Management Investment Advisers, LLC, the Registrant and certain other affiliated registered investment companies allowing the Registrant and certain affiliated funds (and any of its series, if applicable) to, subject to certain conditions, engage in interfund borrowing and lending (the Interfund Program). See Columbia Funds Series Trust, et. al., Investment Company Act Release Nos 32998 (Jan. 30, 2018) (notice) and 33036 (Feb. 27, 2018). Pursuant to the Order, the undersigned, Thomas P. McGuire, Chief Compliance Officer of the Registrant, does hereby certify that (1) the Registrant and Columbia Management Investment Advisers, LLC have implemented procedures reasonably designed to achieve compliance with the terms and conditions of the Order and (2) such procedures are reasonably designed to achieve the following objectives:

 

  (a)

that the interest rate (the Interfund Loan Rate) charged on any loan made through the Interfund Program (an Interfund Loan) will be set at a rate higher than the highest rate available to a lending fund from investing in overnight repurchase agreements, but lower than the Bank Loan Rate (as defined in the application for the Order filed with the Securities and Exchange Commission on November 9, 2017(the Application));

 

  (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 the Registrant; 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.

 

By:  

/s/ Thomas P. McGuire

Printed Name:   Thomas P. McGuire
Title:   Chief Compliance Officer
Date:   January 18, 2019

 

 

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Certain capitalized terms used in this certification have the meanings given to them in the Amended Application for exemptive relief filed with the U.S. Securities and Exchange Commission on November 9, 2017.

INTERNAL CONTROL RPT 3 internalcontrol.htm G.1.A.III - INTERNAL CONTROL REPORT

Report of Independent Registered Public Accounting Firm

To the Board of Directors of Columbia Seligman Premium Technology Growth Fund, Inc. and Stockholders of Columbia Seligman Premium Technology Growth Fund

In planning and performing our audit of the financial statements of Columbia Seligman Premium Technology Growth Fund (the “Fund”) as of and for the year ended December 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (“PCAOB”), we considered the Fund’s 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 Fund’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund’s internal control over financial reporting.

The management of the Fund 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. 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 generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and directors 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 a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund’s annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund’s 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 over financial reporting that might be material weaknesses under standards established by the PCAOB.


However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be material weaknesses as defined above as of December 31, 2018.

This report is intended solely for the information and use of the Board of Directors of the Fund 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/ PricewaterhouseCoopers LLP

Minneapolis, Minnesota

February 21, 2019

 

2