-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, L2QMfV6bRfNl8m+pDInTyUYI+vkT4+zCoMpa6aO9sFktCy+2AbLVYWZJ0Fk1PBRU 3eENvikwaSYQIYL1WxT8Tg== 0000950129-09-001274.txt : 20090423 0000950129-09-001274.hdr.sgml : 20090423 20090423110835 ACCESSION NUMBER: 0000950129-09-001274 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090228 FILED AS OF DATE: 20090423 DATE AS OF CHANGE: 20090423 EFFECTIVENESS DATE: 20090423 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: 09765538 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 6126714321 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 RiverSource Diversified Bond Fund C000009231 RiverSource Diversified Bond Fund Class I RDBIX C000009232 RiverSource Diversified Bond Fund Class A INBNX C000009233 RiverSource Diversified Bond Fund Class B ININX C000009234 RiverSource Diversified Bond Fund Class C AXBCX C000038360 RiverSource Diversified Bond Fund Class R2 C000038361 RiverSource Diversified Bond Fund Class R3 RSDBX C000038362 RiverSource Diversified Bond Fund Class R5 RSVBX C000038363 RiverSource Diversified Bond Fund Class W RVBWX C000039562 RiverSource Diversified Bond Fund Class R4 IDBYX NSAR-A 1 answer.fil SEMI ANNUAL REPORT PAGE 1 000 A000000 02/28/2009 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 RIVERSOURCE DIVERSIFIED BOND FUND 007 C030100 N 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 010 A00AA01 AMERIPRISE FINANCIAL, INC. 010 C01AA01 MINNEAPOLIS 010 C02AA01 MN 010 C03AA01 55474 011 A00AA01 RIVERSOURCE DISTRIBUTORS, INC. 011 B00AA01 8-67196 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 011 A00AA02 RIVERSOURCE FUND DISTRIBUTORS, INC. 011 B00AA02 8-25845 011 C01AA02 MINNEAPOLIS 011 C02AA02 MN 011 C03AA02 55474 012 A00AA01 RIVERSOURCE SERVICE CORPORATION 012 B00AA01 84-5685 012 C01AA01 MINNEAPOLIS PAGE 2 012 C02AA01 MN 012 C03AA01 55474 013 A00AA01 ERNST & YOUNG LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 163 019 C00AA00 RIVERSORCE 020 A000001 J.P. MORGAN SECURITIES INC. 020 B000001 13-3224016 020 C000001 43 020 C000002 0 020 C000003 0 020 C000004 0 020 C000005 0 020 C000006 0 020 C000007 0 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 43 022 A000001 BARCLAYS BANK PLC 022 B000001 N/A 022 C000001 1491002 022 D000001 1652147 022 A000002 J.P. MORGAN SECURITIES INC. 022 B000002 13-3224016 022 C000002 1495187 022 D000002 1424570 022 A000003 MORGAN STANLEY 022 B000003 13-2655998 022 C000003 907749 022 D000003 880410 022 A000004 CITIGROUP GLOBAL MARKETS INC. 022 B000004 11-2418191 022 C000004 796450 022 D000004 800976 022 A000005 CREDIT SUISSE SECURITIES (USA) L.L.C. 022 B000005 13-5659485 022 C000005 664154 022 D000005 604795 022 A000006 UBS SECURITIES 022 B000006 13-3873456 022 C000006 372690 022 D000006 329330 022 A000007 GOLDMAN, SACHS & CO. 022 B000007 13-5108880 022 C000007 304068 022 D000007 301760 PAGE 3 022 A000008 DEUTSCHE BANK SECURITIES INC. 022 B000008 13-2730828 022 C000008 210541 022 D000008 214933 022 A000009 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000009 13-5674085 022 C000009 116368 022 D000009 129205 022 A000010 BANC OF AMERICA 022 B000010 56-2058405 022 C000010 141810 022 D000010 72425 023 C000000 6725425 023 D000000 6769159 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 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 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N PAGE 4 077 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 0 086 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 0 008 A000101 RIVERSOURCE INVESTMENTS, LLC 008 B000101 A 008 C000101 801-25943 008 D010101 MINNEAPOLIS 008 D020101 MN 008 D030101 55474 015 A000101 JPMORGAN CHASE BANK, N.A. 015 B000101 C 015 C010101 NEW YORK 015 C020101 NY 015 C030101 10005 015 E010101 X 015 A000102 JPMORGAN CHASE BANK, N.A. 015 B000102 C 015 C010102 NEW YORK 015 C020102 NY 015 C030102 10005 015 E040102 X 024 000100 Y 025 A000101 BEAR STEARNS ADJUSTABLE RATE MORTGAGE TRUST 025 B000101 13-3299429 025 C000101 D 025 D000101 3843 025 A000102 BEAR STEARNS COMMERCIAL MTGE SECURITIES 025 B000102 13-3299429 025 C000102 D PAGE 5 025 D000102 11725 025 A000103 CHASEFLEX TRUST 025 B000103 13-5225436 025 C000103 D 025 D000103 1560 025 A000104 CITIGROUP 025 B000104 11-2418191 025 C000104 D 025 D000104 3925 025 A000105 CITIGROUP COMMERCIAL MTGE TRUST 025 B000105 11-2418191 025 C000105 D 025 D000105 2101 025 A000106 CITIGROUP/DEUTSCHE BANK COMMERCIAL MTGE TRUST 025 B000106 11-2418191 025 C000106 D 025 D000106 2543 025 A000107 CS FIRST BOSTON MTGE SECURITIES 025 B000107 13-3320910 025 C000107 D 025 D000107 12935 025 A000108 GOLDMAN SACHS GROUP 025 B000108 13-5108880 025 C000108 D 025 D000108 6297 025 A000109 GS MORTGAGE SECURITIES II 025 B000109 13-5108880 025 C000109 D 025 D000109 7231 025 A000110 JPMORGAN CHASE COMMERCIAL MTGE SECURITIES 025 B000110 13-3224016 025 C000110 D 025 D000110 49780 025 A000111 JPMORGAN CHASE & CO. 025 B000111 13-3224016 025 C000111 D 025 D000111 4920 025 A000112 LEHMAN BROTHERS HOLDINGS 025 B000112 13-2518466 025 C000112 D 025 D000112 1305 025 A000113 LB-UBS COMMERCIAL MTGE TRUST 025 B000113 13-2518466 025 C000113 D 025 D000113 15174 025 A000114 MERRILL LYNCH MTGE TRUST 025 B000114 13-5674085 025 C000114 D 025 D000114 2955 025 A000115 MORGAN STANLEY CAPITAL I 025 B000115 13-2655998 PAGE 6 025 C000115 D 025 D000115 13614 025 D000116 0 028 A010100 58840 028 A020100 12008 028 A030100 0 028 A040100 92557 028 B010100 93875 028 B020100 11772 028 B030100 0 028 B040100 156758 028 C010100 60712 028 C020100 11711 028 C030100 0 028 C040100 78908 028 D010100 95447 028 D020100 14214 028 D030100 0 028 D040100 205658 028 E010100 77323 028 E020100 10744 028 E030100 0 028 E040100 145530 028 F010100 111784 028 F020100 9877 028 F030100 0 028 F040100 73986 028 G010100 497981 028 G020100 70326 028 G030100 0 028 G040100 753397 028 H000100 18645 029 000100 Y 030 A000100 654 030 B000100 4.75 030 C000100 0.00 031 A000100 207 031 B000100 0 032 000100 14 033 000100 433 034 000100 Y 035 000100 89 036 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 PAGE 7 042 C000100 0 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 100 043 000100 4311 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 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 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 PAGE 8 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 16.8 062 M000100 44.6 062 N000100 22.8 062 O000100 0.1 062 P000100 36.1 062 Q000100 2.4 062 R000100 0.0 063 A000100 0 063 B000100 16.0 064 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 N 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 N 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 PAGE 9 070 M020100 Y 070 N010100 Y 070 N020100 Y 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 Y 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 5846700 071 B000100 5786385 071 C000100 3624784 071 D000100 160 072 A000100 6 072 B000100 88733 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 7469 072 G000100 1017 072 H000100 0 072 I000100 2232 072 J000100 107 072 K000100 151 072 L000100 0 072 M000100 56 072 N000100 79 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 18 072 S000100 33 072 T000100 4311 072 U000100 0 072 V000100 0 072 W000100 123 072 X000100 15596 072 Y000100 1633 072 Z000100 74770 072AA000100 0 072BB000100 126564 072CC010100 0 072CC020100 84160 072DD010100 42623 072DD020100 32947 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 PAGE 10 073 C000100 0.0000 074 A000100 0 074 B000100 0 074 C000100 0 074 D000100 3549446 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 597683 074 J000100 232647 074 K000100 0 074 L000100 55623 074 M000100 1442 074 N000100 4436841 074 O000100 888769 074 P000100 593 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 316904 074 S000100 0 074 T000100 3230575 074 U010100 424538 074 U020100 314321 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 153938 074 Y000100 13272 075 A000100 0 075 B000100 3339956 076 000100 0.00 SIGNATURE TITLE This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: April 21, 2009 Name of Registrant, Depositor, or Trustee: RiverSource Diversified Income Series, Inc. /s/ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - ----------------------------------------------------------------------------------- By (Name and Title): /s/ Wade M. Voigt -- Assistant Treasurer - ----------------------------------------------------------------------------------- Witness (Name and Title): RIVERSOURCE DIVERSIFIED INCOME SERIES, INC. EX-99.77E LEGAL 2 ex77e.txt EXHIBIT 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. -----END PRIVACY-ENHANCED MESSAGE-----