0000950123-11-039495.txt : 20110427
0000950123-11-039495.hdr.sgml : 20110427
20110426205213
ACCESSION NUMBER: 0000950123-11-039495
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20110228
FILED AS OF DATE: 20110427
DATE AS OF CHANGE: 20110426
EFFECTIVENESS DATE: 20110427
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RIVERSOURCE DIVERSIFIED INCOME SERIES INC
CENTRAL INDEX KEY: 0000049697
IRS NUMBER: 411237361
STATE OF INCORPORATION: MN
FISCAL YEAR END: 0831
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-02503
FILM NUMBER: 11781447
BUSINESS ADDRESS:
STREET 1: 50606 AMERIPRISE FINANCIAL CENTER
STREET 2: H27/5228
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
BUSINESS PHONE: 612-671-4321
MAIL ADDRESS:
STREET 1: 50606 AMERIPRISE FINANCIAL CENTER
STREET 2: H27/5228
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
FORMER COMPANY:
FORMER CONFORMED NAME: RIVERSOURCE DIVERSIFIED INCOME SERIES, INC.
DATE OF NAME CHANGE: 20060504
FORMER COMPANY:
FORMER CONFORMED NAME: AXP FIXED INCOME SERIES INC
DATE OF NAME CHANGE: 20021118
FORMER COMPANY:
FORMER CONFORMED NAME: AXP BOND FUND INC
DATE OF NAME CHANGE: 20000829
0000049697
S000003362
Columbia Diversified Bond Fund
C000009231
Columbia Diversified Bond Fund Class I
RDBIX
C000009232
Columbia Diversified Bond Fund Class A
INBNX
C000009233
Columbia Diversified Bond Fund Class B
ININX
C000009234
Columbia Diversified Bond Fund Class C
AXBCX
C000038360
Columbia Diversified Bond Fund Class R
C000038361
Columbia Diversified Bond Fund Class R3
RSDBX
C000038362
Columbia Diversified Bond Fund Class R5
RSVBX
C000038363
Columbia Diversified Bond Fund Class W
RVBWX
C000039562
Columbia Diversified Bond Fund Class R4
IDBYX
C000094302
Columbia Diversified Bond Fund Class Z
CDBZX
NSAR-A
1
answer.fil
ANSWER FILE
PAGE 1
000 A000000 02/28/2011
000 C000000 0000049697
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 RIVERSOURCE DIVERSIFIED INCOME SERIES, INC.
001 B000000 811-2503
001 C000000 6126715682
002 A000000 50606 AMERIPRISE FINANCIAL CENTER
002 B000000 MINNEAPOLIS
002 C000000 MN
002 D010000 55474
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 Y
007 B000000 1
007 C010100 1
007 C020100 Columbia Diversified Bond Fund
007 C030100 N
008 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
008 B00AA01 A
008 C00AA01 801-25943
008 D01AA01 BOSTON
008 D02AA01 MA
008 D03AA01 02110
010 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
010 B00AA01 801-25943
010 C01AA01 BOSTON
010 C02AA01 MA
010 C03AA01 02110
011 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC.
011 B00AA01 8-25845
011 C01AA01 BOSTON
011 C02AA01 MA
011 C03AA01 02110
012 A00AA01 COLUMBIA MANAGEMENT INVESTMENT SERVICES CORP.
012 B00AA01 84-5685
012 C01AA01 BOSTON
012 C02AA01 MA
012 C03AA01 02110
013 A00AA01 ERNST & YOUNG LLP
013 B01AA01 MINNEAPOLIS
013 B02AA01 MN
013 B03AA01 55402
014 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC.
PAGE 2
014 B00AA01 8-25845
014 A00AA02 AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
014 B00AA02 8-42582
014 A00AA03 SECURITIES AMERICA, INC.
014 B00AA03 8-26602
014 A00AA04 AMERIPRISE FINANCIAL SERVICES, INC.
014 B00AA04 8-16791
014 A00AA05 RIVERSOURCE DISTRIBUTORS, INC.
014 B00AA05 8-67196
015 A00AA01 JPMORGAN CHASE BANK, N.A.
015 B00AA01 C
015 C01AA01 NEW YORK
015 C02AA01 NY
015 C03AA01 10005
015 E01AA01 X
015 A00AA02 JPMORGAN CHASE BANK, N.A.
015 B00AA02 S
015 C01AA02 NEW YORK
015 C02AA02 NY
015 C03AA02 10005
015 E04AA02 X
018 00AA00 Y
019 A00AA00 Y
019 B00AA00 263
019 C00AA00 COLUMBIAFD
020 A000001 J.P. MORGAN SECURITIES, INC.
020 B000001 13-3224016
020 C000001 95
021 000000 95
022 A000001 BARCLAYS CAPITAL
022 C000001 1843491
022 D000001 1857243
022 A000002 CITIGROUP GLOBAL MARKETS INC.
022 B000002 11-2418191
022 C000002 1171620
022 D000002 1040915
022 A000003 J.P. MORGAN SECURITIES, INC.
022 B000003 13-3224016
022 C000003 1117028
022 D000003 967486
022 A000004 NOMURA SECURITIES INTERNATIONAL, INC.
022 B000004 13-2642206
022 C000004 965222
022 D000004 1027790
022 A000005 CREDIT SUISSE SECURITIES (USA) L.L.C.
022 B000005 13-5659485
022 C000005 934143
022 D000005 925288
022 A000006 MORGAN STANLEY
022 B000006 13-2655998
022 C000006 945203
PAGE 3
022 D000006 747119
022 A000007 Royal Bank of Scotland
022 C000007 370536
022 D000007 387650
022 A000008 RBC CAPITAL MARKETS CORPORATION
022 B000008 13-5033225
022 C000008 294406
022 D000008 286442
022 A000009 GOLDMAN, SACHS & CO.
022 B000009 13-5108880
022 C000009 224765
022 D000009 311798
022 A000010 WACHOVIA SECURITIES, INC.
022 B000010 54-0796506
022 C000010 256782
022 D000010 271969
023 C000000 9000648
023 D000000 8720107
024 000100 Y
025 A000101 DELETE
025 D000101 0
025 A000102 BEAR STEARNS ALT-A TRUST
025 B000102 13-3299429
025 C000102 D
025 D000102 23
025 A000103 BEAR STEARNS ASSET-BACKED SECURITIES TRUST
025 B000103 13-3299429
025 C000103 D
025 D000103 2806
025 A000104 BEAR STEARNS COMMERCIAL MORTGAGE SECURITIES
025 B000104 13-3299429
025 C000104 D
025 D000104 4250
025 A000105 DELETE
025 D000105 0
025 A000106 CHASEFLEX TRUST
025 B000106 13-5225436
025 C000106 D
025 D000106 1463
025 A000107 DELETE
025 D000107 0
025 A000108 CITIGROUP COMMERCIAL MORTGAGE TRUST
025 B000108 11-2418191
025 C000108 D
025 D000108 3400
025 A000109 CITIGROUP/DEUTSCHE BANK COMMERCIAL MTGE TRUST
025 B000109 11-2418191
025 C000109 D
025 D000109 21733
025 A000110 CITIGROUP MORTGAGE LOAN TRUST, INC.
025 B000110 11-2418191
PAGE 4
025 C000110 D
025 D000110 47012
025 A000111 CREDIT SUISSE MORTGAGE CAPITAL CERTIFICATES
025 B000111 13-5659485
025 C000111 D
025 D000111 45972
025 A000112 CREDIT SUISSE FIRST BOSTON MTGE SEC. CORP.
025 B000112 13-3320910
025 C000112 D
025 D000112 12411
025 A000113 GS MORTGAGE SECURITIES CORP. II
025 B000113 13-5108880
025 C000113 D
025 D000113 39123
025 A000114 THE GOLDMAN SACHS GROUP, INC.
025 B000114 13-5108880
025 C000114 D
025 D000114 27829
025 A000115 DELETE
025 D000115 0
025 A000116 JPMORGAN CHASE & CO.
025 B000116 13-3224016
025 C000116 D
025 D000116 42673
025 A000117 JPMORGAN CHASE COMMERCIAL MORTGAGE SECURITIES
025 B000117 13-3224016
025 C000117 D
025 D000117 113889
025 A000118 JPMORGAN MORTGAGE TRUST
025 B000118 13-3224016
025 C000118 D
025 D000118 1683
025 A000119 JPMORGAN REREMIC
025 B000119 13-3224016
025 C000119 D
025 D000119 3886
025 A000120 DELETE
025 D000120 0
025 A000121 DELETE
025 D000121 0
025 A000122 MERRILL LYNCH MORTGAGE TRUST
025 B000122 13-5674085
025 C000122 D
025 D000122 1272
025 A000123 MORGAN STANLEY
025 B000123 13-2655998
025 C000123 D
025 D000123 34106
025 A000124 MORGAN STANLEY CAPITAL I
025 B000124 13-2655998
025 C000124 D
PAGE 5
025 D000124 24769
025 A000125 MORGAN STANLEY REREMIC TRUST
025 B000125 13-2655998
025 C000125 D
025 D000125 90275
025 A000126 Morgan Stanley ABS Capital I
025 B000126 13-2655998
025 C000126 D
025 D000126 6032
025 A000127 Morgan Stanley Resecuritization Trust
025 B000127 13-2655998
025 C000127 D
025 D000127 9630
025 A000128 JP Morgan Acquisition Corp.
025 B000128 13-3224016
025 C000128 D
025 D000128 4071
025 A000129 JP Morgan Alternative Loan Trust
025 B000129 13-3224016
025 C000129 D
025 D000129 5192
026 A000000 N
026 B000000 N
026 C000000 N
026 D000000 Y
026 E000000 N
026 F000000 N
026 G010000 N
026 G020000 N
026 H000000 N
027 000000 Y
028 A010100 126072
028 A020100 13392
028 A030100 0
028 A040100 87636
028 B010100 105295
028 B020100 14611
028 B030100 0
028 B040100 78678
028 C010100 151131
028 C020100 14723
028 C030100 0
028 C040100 98506
028 D010100 91390
028 D020100 20396
028 D030100 0
028 D040100 178160
028 E010100 91516
028 E020100 0
028 E030100 0
028 E040100 97341
PAGE 6
028 F010100 105341
028 F020100 25370
028 F030100 0
028 F040100 169832
028 G010100 670745
028 G020100 88492
028 G030100 0
028 G040100 710153
028 H000100 12649
029 000100 Y
030 A000100 468
030 B000100 4.75
030 C000100 0.00
031 A000100 144
031 B000100 0
032 000100 6
033 000100 318
034 000100 Y
035 000100 35
036 A000100 N
036 B000100 0
037 000100 N
038 000100 0
039 000100 N
040 000100 Y
041 000100 Y
042 A000100 0
042 B000100 0
042 C000100 0
042 D000100 0
042 E000100 0
042 F000100 0
042 G000100 0
042 H000100 100
043 000100 5601
044 000100 0
045 000100 Y
046 000100 N
047 000100 Y
048 000100 0.000
048 A010100 1000000
048 A020100 0.480
048 B010100 1000000
048 B020100 0.455
048 C010100 1000000
048 C020100 0.430
048 D010100 3000000
048 D020100 0.405
048 E010100 1500000
048 E020100 0.380
048 F010100 1500000
PAGE 7
048 F020100 0.365
048 G010100 1000000
048 G020100 0.360
048 H010100 5000000
048 H020100 0.350
048 I010100 5000000
048 I020100 0.340
048 J010100 4000000
048 J020100 0.330
048 K010100 50000000
048 K020100 0.290
049 000100 N
050 000100 N
051 000100 N
052 000100 N
053 A000100 Y
053 B000100 Y
053 C000100 N
054 A00AA00 Y
054 B00AA00 Y
054 C00AA00 Y
054 D00AA00 N
054 E00AA00 N
054 F00AA00 N
054 G00AA00 Y
054 H00AA00 Y
054 I00AA00 N
054 J00AA00 Y
054 K00AA00 N
054 L00AA00 Y
054 M00AA00 Y
054 N00AA00 N
054 O00AA00 Y
055 A000100 N
055 B000100 N
056 000100 Y
057 000100 N
058 A000100 N
059 000100 Y
060 A000100 Y
060 B000100 Y
061 000100 2000
062 A000100 Y
062 B000100 0.0
062 C000100 0.0
062 D000100 5.2
062 E000100 0.0
062 F000100 0.0
062 G000100 0.0
062 H000100 0.0
062 I000100 0.0
PAGE 8
062 J000100 0.0
062 K000100 0.0
062 L000100 19.9
062 M000100 8.6
062 N000100 34.4
062 O000100 0.0
062 P000100 60.0
062 Q000100 2.8
062 R000100 0.0
063 A000100 0
063 B000100 17.3
064 A000100 Y
064 B000100 N
066 A000100 N
067 000100 N
068 A000100 N
068 B000100 N
069 000100 N
070 A010100 Y
070 A020100 Y
070 B010100 N
070 B020100 N
070 C010100 Y
070 C020100 N
070 D010100 N
070 D020100 N
070 E010100 Y
070 E020100 Y
070 F010100 N
070 F020100 N
070 G010100 Y
070 G020100 Y
070 H010100 N
070 H020100 N
070 I010100 N
070 I020100 N
070 J010100 Y
070 J020100 Y
070 K010100 Y
070 K020100 Y
070 L010100 Y
070 L020100 Y
070 M010100 Y
070 M020100 Y
070 N010100 Y
070 N020100 Y
070 O010100 Y
070 O020100 N
070 P010100 Y
070 P020100 N
070 Q010100 Y
PAGE 9
070 Q020100 N
070 R010100 Y
070 R020100 N
071 A000100 9469538
071 B000100 9797037
071 C000100 5384005
071 D000100 176
072 A000100 6
072 B000100 105924
072 C000100 328
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072 M000100 62
072 N000100 240
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072 S000100 26
072 T000100 5601
072 U000100 0
072 V000100 0
072 W000100 170
072 X000100 21358
072 Y000100 1198
072 Z000100 86092
072AA000100 33733
072BB000100 0
072CC010100 0
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072DD010100 58965
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074 A000100 6909
074 B000100 264606
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074 E000100 0
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PAGE 10
074 H000100 0
074 I000100 1026715
074 J000100 381015
074 K000100 22
074 L000100 61251
074 M000100 2118
074 N000100 7082324
074 O000100 1013740
074 P000100 397
074 Q000100 0
074 R010100 0
074 R020100 0
074 R030100 0
074 R040100 1003300
074 S000100 0
074 T000100 5064887
074 U010100 659604
074 U020100 347482
074 V010100 0.00
074 V020100 0.00
074 W000100 0.0000
074 X000100 231970
074 Y000100 8180
075 A000100 0
075 B000100 5110549
076 000100 0.00
077 A000000 Y
077 B000000 N
077 C000000 Y
077 D000000 N
077 E000000 Y
077 F000000 N
077 G000000 N
077 H000000 N
077 I000000 Y
077 J000000 N
077 K000000 N
077 L000000 N
077 M000000 N
077 N000000 N
077 O000000 N
077 P000000 N
077 Q010000 N
077 Q020000 N
077 Q030000 N
078 000000 N
080 C00AA00 0
081 B00AA00 0
082 B00AA00 0
083 B00AA00 0
084 B00AA00 0
PAGE 11
086 A010000 0
086 A020000 0
086 B010000 0
086 B020000 0
086 C010000 0
086 C020000 0
086 D010000 0
086 D020000 0
086 E010000 0
086 E020000 0
086 F010000 0
086 F020000 0
This report is signed on behalf of the registrant (or depositor or trustee).
City of: Minneapolis State of: Minnesota Date: April 21, 2011
Name of Registrant, Depositor, or Trustee: RiverSource Diversified Income
Series, Inc.
/s/ Michael G. Clarke
-----------------------
Michael G. Clarke
Treasurer
/s/ Wade M. Voigt
-----------------------
Wade M. Voigt
Assistant Treasurer
Witness
RIVERSOURCE DIVERSIFIED INCOME SERIES, INC.
EX-99.77C VOTES
2
c64308ex77c.txt
EX-99.77C
Exhibit 77C
RESULTS OF MEETING OF SHAREHOLDERS
A brief description of the proposal(s) voted upon at the meeting and the votes
cast for, against or withheld, as well as the number of abstentions and broker
non-votes as to the proposal(s) is(are) set forth below. A vote is based on
total dollar interest in the Fund.
SPECIAL MEETING OF SHAREHOLDERS HELD ON FEBRUARY 15, 2011
(UNAUDITED)
For Columbia Diversified Bond Fund
1. TO ELECT DIRECTORS TO THE BOARD.*
------------------------------------------------------------------------------------------------------------------------------
DOLLARS VOTED DOLLARS VOTED BROKER
"FOR" "WITHHOLD" ABSTENTIONS NON-VOTES
------------------------------------------------------------------------------------------------------------------------------
01. Kathleen Blatz 4,567,347,911.124 82,694,896.761 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
02. Edward J. Boudreau, Jr. 4,561,502,477.487 82,540,330.399 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
03. Pamela G. Carlton 4,562,747,295.749 81,295,512.137 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
04. William P. Carmichael 4,559,236,128.257 84,806,679.629 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
05. Patricia M. Flynn 4,561,430,776.764 82,612,031.121 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
06. William A. Hawkins 4,560,731,373.501 83,311,434.385 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
07. R. Glenn Hilliard 4,560,564,129.510 83,478,678.376 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
08. Stephen R. Lewis, Jr. 4,557,670,718.180 86,372,089.705 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
09. John F. Maher 4,562,737,416.234 81,305,391.651 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
10. John J. Nagorniak 4,560,593,101.493 83,449,706.393 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
11. Catherine James Paglia 4,561,749,373.377 82,293,434.509 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
12. Leroy C. Richie 4,560,554,455.086 83,488,352.799 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
13. Anthony M. Santomero 4,560,488,472.448 83,554,335.438 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
14. Minor M. Shaw 4,561,445,069.971 82,597,737.914 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
15. Alison Taunton-Rigby 4,560,411,770.499 83,631,037.386 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
16. William F. Truscott 4,561,376,095.971 82,666,711.915 0.000 0.000
------------------------------------------------------------------------------------------------------------------------------
2. TO APPROVE A PROPOSED AMENDMENT TO THE ARTICLES OF INCORPORATION.*
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
4,481,012,928.007 69,448,182.240 93,581,657.799 39.840
* All dollars of RiverSource Diversified Income Series, Inc. are voted
together as a single class for election of directors and amendments to the
Articles of Incorporation.
3. TO APPROVE A PROPOSED AGREEMENT AND PLAN OF REDOMICILING
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
3,136,121,219.026 90,365,154.260 125,123,127.569 1,292,433,307.030
4. TO APPROVE THE PROPOSED INVESTMENT MANAGEMENT SERVICES AGREEMENT WITH
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC.
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
3,134,786,797.737 97,491,355.541 119,331,342.597 1,292,433,312.010
5. TO APPROVE A PROPOSAL TO AUTHORIZE COLUMBIA MANAGEMENT INVESTMENT ADVISERS,
LLC TO ENTER INTO AND MATERIALLY AMEND SUBADVISORY AGREEMENTS IN THE FUTURE,
WITH THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS/ TRUSTEES, BUT WITHOUT
OBTAINING SHAREHOLDER APPROVAL.
SHARES VOTED "FOR" SHARES VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
3,064,578,533.288 165,054,578.558 121,976,379.049 1,292,433,316.990
EX-99.77E LEGAL
3
c64308ex77e.txt
EX-99.77E
Exhibit 77E -- Legal Proceedings
LEGAL PROCEEDINGS. Ameriprise Financial and certain of its affiliates have
historically been involved in a number of legal, arbitration and regulatory
proceedings, including routine litigation, class actions, and governmental
actions, concerning matters arising in connection with the conduct of their
business activities. Ameriprise Financial believes that the Fund is not
currently the subject of, and that neither Ameriprise Financial nor any of its
affiliates are the subject of, any pending legal, arbitration or regulatory
proceedings that are likely to have a material adverse effect on the Fund or the
ability of Ameriprise Financial or its affiliates to perform under their
contracts with the Fund. Information regarding certain pending and settled legal
proceedings may be found in the Fund's shareholder reports and in the SAI.
Additionally, Ameriprise Financial is required to make 10-Q, 10-K and, as
necessary, 8-K filings with the Securities and Exchange Commission on legal and
regulatory matters that relate to Ameriprise Financial and its affiliates.
Copies of these filings may be obtained by accessing the SEC website at
www.sec.gov.
EX-99.77I NEW SECUR
4
c64308ex77i.txt
EX-99.77I
EXHIBIT 77I
RIVERSOURCE DIVERSIFIED INCOME SERIES, INC.
FOR COLUMBIA DIVERSIFIED BOND FUND
CLASS Z
Class Z shares are offered only to certain eligible investors at net asset value
without an initial sales charge or contingent deferred sales charge on
redemption. These shares do not assess a distribution or service fee or convert
to any other class of shares.
Class Z shares are offered only to certain eligible investors as described
below:
There is no minimum initial investment in Class Z shares for the following
categories of eligible investors:
- Any person investing all or part of the proceeds of a distribution,
rollover or transfer of assets into a Columbia Management Individual
Retirement Account, from any deferred compensation plan which was a
shareholder of any of the Funds of Columbia Acorn Trust (formerly named
Liberty Acorn Trust) on September 29, 2000, in which the investor was a
participant and through which the investor invested in one or more of the
Funds of Columbia Acorn Trust immediately prior to the distribution,
transfer or rollover.
- Any health savings account sponsored by a third party platform and any
omnibus group retirement plan for which a selling and/or servicing agent or
other entity provides services and is not compensated by the Fund for those
services, other than in the form of payments for shareholder servicing or
sub-accounting performed in place of the Transfer Agent.
- Any investor participating in a wrap program sponsored by a selling and/or
servicing agent or other entity that is paid an asset-based fee by the
investor and that is not compensated by the Fund for those services, other
than payments for shareholder servicing or sub-accounting performed in
place of the Transfer Agent.
The minimum initial investment in Class Z shares for the following eligible
investors is $1,000:
- Any individual retirement plan (assuming the eligibility criteria below are
met) or group retirement plan that is not held in an omnibus manner for
which a selling and/or servicing agent or other entity provides services
and is not compensated by the Fund for those services, other than in the
form of payments for shareholder servicing or sub-accounting performed in
place of the Transfer Agent.
- Any person employed as of April 30, 2010 by the former investment manager,
distributor or transfer agent of the Legacy Columbia funds is eligible to
make new and subsequent purchases in the Class Z shares through an
individual retirement account.
The minimum initial investment in Class Z shares for the following categories of
eligible investors is $2,000:
- Any investor buying shares through a Columbia Management state tuition plan
organized under Section 529 of the Internal Revenue Code.
- Any shareholder (as well as any family member of a shareholder or person
listed on an account registration for any account of the shareholder) of
another fund distributed by the Distributor (i) who holds Class Z shares;
(ii) who held Primary A shares prior to the share class redesignation of
Primary A shares as Class Z shares that occurred on August 22, 2005; (iii)
who holds Class A shares that were obtained by an exchange of Class Z
shares; or (iv) who bought shares of certain mutual funds that were not
subject to sales charges and that merged with a Legacy Columbia fund
distributed by the Distributor.
- Any trustee or director (or family member of a trustee or director) of a
fund distributed by the Distributor.
- Any investor participating in an account offered by a selling and/or
servicing agent or other entity that provides services to such an account,
is paid an asset-based fee by the investor and is not compensated by the
Fund for those services, other than payments for shareholder servicing or
sub-accounting performed in place of the Transfer Agent (each investor
buying shares through a selling and/or servicing agent must independently
satisfy the minimum investment requirement noted above).
- Any institutional investor who is a corporation, partnership, trust,
foundation, endowment, institution, government entity, or similar
organization, which meets the respective qualifications for an accredited
investor, as defined under the Securities Act of 1933.
- Certain financial institutions and intermediaries, such as insurance
companies, trust companies, banks, endowments, investment companies or
foundations, buying shares for their own account, including Ameriprise
Financial and its affiliates and/or subsidiaries.
- Any person employed as of April 30, 2010 by the former investment manager,
distributor or transfer agent of the Legacy Columbia funds is eligible to
make new and subsequent purchases in the Class Z shares through a
non-retirement account.
- Certain other investors as set forth in more detail in the SAI.
The minimum initial investment requirements may be waived for accounts that are
managed by an investment professional, for accounts held in approved
discretionary or non-discretionary wrap programs, for accounts that are a part
of an employer-sponsored retirement plan, or for other account types if approved
by the Distributor.
The Fund reserves the right to modify its minimum investment and related
requirements at any time, with or without prior notice.