-----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, W00dsyi2NNWn0E6LkAxSKRnNwb6mmzAv1nG5NY0Rao6wWElew12xVF3PNDya8ZNL APaprVg71q6QsxL3IHeilQ== 0000950152-09-003091.txt : 20090326 0000950152-09-003091.hdr.sgml : 20090326 20090325181156 ACCESSION NUMBER: 0000950152-09-003091 CONFORMED SUBMISSION TYPE: 497 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090326 DATE AS OF CHANGE: 20090325 EFFECTIVENESS DATE: 20090326 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE BOND SERIES INC CENTRAL INDEX KEY: 0000352663 IRS NUMBER: 411399805 STATE OF INCORPORATION: MN FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-72174 FILM NUMBER: 09704907 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINEAPOLIS 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 DISCOVERY SERIES INC DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: RIVERSOURCE DISCOVERY SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP DISCOVERY SERIES INC DATE OF NAME CHANGE: 20021118 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: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-51586 FILM NUMBER: 09704910 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 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE INVESTMENT SERIES, INC. CENTRAL INDEX KEY: 0000052347 IRS NUMBER: 410839315 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-11328 FILM NUMBER: 09704909 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: AXP INVESTMENT SERIES INC DATE OF NAME CHANGE: 19991124 FORMER COMPANY: FORMER CONFORMED NAME: IDS INVESTMENT SERIES INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: IDS MUTUAL INC/NEW DATE OF NAME CHANGE: 19911124 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE STRATEGIC ALLOCATION SERIES, INC. CENTRAL INDEX KEY: 0000755221 IRS NUMBER: 411503589 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-93801 FILM NUMBER: 09704908 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: AXP MANAGED SERIES INC DATE OF NAME CHANGE: 19991124 FORMER COMPANY: FORMER CONFORMED NAME: IDS MANAGED RETIREMENT FUND INC DATE OF NAME CHANGE: 19920703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE GOVERNMENT INCOME SERIES INC CENTRAL INDEX KEY: 0000764802 IRS NUMBER: 412021315 STATE OF INCORPORATION: MN FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-96512 FILM NUMBER: 09704911 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 GOVERNMENT INCOME SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP GOVERNMENT INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP FEDERAL INCOME FUND INC /MN/ 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 0000052347 S000003395 RiverSource Balanced Fund C000009327 RiverSource Balanced Fund Class C RVBCX C000009328 RiverSource Balanced Fund Class A INMUX C000009329 RiverSource Balanced Fund Class B IDMBX C000043290 RiverSource Balanced Fund Class R4 IDMYX 0000352663 S000003457 RiverSource Inflation Protected Securities Fund C000009575 RiverSource Inflation Protected Securities Fund Class B APSBX C000009576 RiverSource Inflation Protected Securities Fund Class I AIPIX C000009578 RiverSource Inflation Protected Securities Fund Class A APSAX C000009579 RiverSource Inflation Protected Securities Fund Class C RIPCX C000042956 RiverSource Inflation Protected Securities Fund Class W RIPWX C000042957 RiverSource Inflation Protected Securities Fund Class R4 0000352663 S000003458 RiverSource Limited Duration Bond Fund C000009580 RiverSource Limited Duration Bond Fund Class C RDCLX C000009582 RiverSource Limited Duration Bond Fund Class A ALDAX C000009583 RiverSource Limited Duration Bond Fund Class B ALDBX C000009584 RiverSource Limited Duration Bond Fund Class I ALDIX C000042958 RiverSource Limited Duration Bond Fund Class R4 C000042959 RiverSource Limited Duration Bond Fund Class W RLDWX 0000755221 S000003404 RiverSource Strategic Allocation Fund C000009395 RiverSource Strategic Allocation Fund Class C RSSCX C000009396 RiverSource Strategic Allocation Fund Class A IMRFX C000009397 RiverSource Strategic Allocation Fund Class B IMRBX C000039563 RiverSource Strategic Allocation Fund Class I C000039564 RiverSource Strategic Allocation Fund Class R2 C000039565 RiverSource Strategic Allocation Fund Class R3 RSACX C000039566 RiverSource Strategic Allocation Fund Class R4 IDRYX C000039567 RiverSource Strategic Allocation Fund Class R5 RSALX 0000764802 S000003306 RiverSource Short Duration U.S. Government Fund C000008827 RiverSource Short Duration U.S. Government Fund Class I AGMIX C000008828 RiverSource Short Duration U.S. Government Fund Class A IFINX C000008829 RiverSource Short Duration U.S. Government Fund Class B ISHOX C000008830 RiverSource Short Duration U.S. Government Fund Class C AXFCX C000042928 RiverSource Short Duration U.S. Government Fund Class R4 IDFYX C000042929 RiverSource Short Duration U.S. Government Fund Class W RSDWX 497 1 c50192de497.txt 497 . . . (RIVERSOURCE INVESTMENTS LOGO) STATEMENT OF ADDITIONAL INFORMATION (SAI) SUPPLEMENT DATED MARCH 25, 2009
Fund SAI date Form # RiverSource Balanced Fund Feb. 27, 2009 S-6500 AV RiverSource Diversified Bond Fund Feb. 27, 2009 S-6500 AV RiverSource Inflation Protected Securities Fund Feb. 27, 2009 S-6500 AV RiverSource Limited Duration Bond Fund Feb. 27, 2009 S-6500 AV RiverSource Short Duration U.S. Government Fund Feb. 27, 2009 S-6500 AV RiverSource Strategic Allocation Fund Feb. 27, 2009 S-6500 AV
Table 19. Portfolio Managers, of the SAI is revised as follows. Unless otherwise specified, reporting information is provided as of the fiscal year end noted:
OTHER ACCOUNTS MANAGED (EXCLUDING THE FUND) ------------------------------------------------------- POTENTIAL APPROXIMATE OWNERSHIP CONFLICTS NUMBER AND TYPE TOTAL NET PERFORMANCE BASED OF FUND OF STRUCTURE OF FUND PORTFOLIO MANAGER OF ACCOUNT* ASSETS ACCOUNTS(A) SHARES INTEREST COMPENSATION - ----------------------------------------------------------------------------------------------------------------------------------- FOR FUNDS WITH A FISCAL PERIOD ENDED MAY 31 - ----------------------------------------------------------------------------------------------------------------------------------- Short Duration Todd White(b) 12 RICs $9.88 billion 3 RICs ($1.01 B); None (2) (35) U.S. Government 5 PIVs $1.66 billion 1 other account 40 other accounts(f) $16.02 billion ($113.3 M) ---------------------------------------------------------------------------- John McColley(c) None N/A N/A - ----------------------------------------------------------------------------------------------------------------------------------- FOR FUNDS WITH A FISCAL PERIOD ENDED JULY 31 - ----------------------------------------------------------------------------------------------------------------------------------- Inflation Protected Margaret Brandt(c) None N/A N/A None (2) (35) Securities --------------------------------------------------------------------------------------- Todd White(b) 13 RICs $10.63 billion 3 RICs ($1.01 B); None 5 PIVs $1.66 billion 1 other account 40 other accounts(f) $16.02 billion ($113.3 M) - ----------------------------------------------------------------------------------------------------------------------------------- Limited Duration Tom Murphy 5 RICs $9.93 billion 3 RICs ($1.32 B) $50,001- (2) (35) Bond 2 PIVs $885.02 million $100,000 14 other accounts $10.75 billion --------------------------------------------------------------------------------------- Scott Schroepfer(d) 2 RICs $953.09 million None None --------------------------------------------------------------------------------------- Todd White(b) 12 RICs $10.47 billion 3 RICs ($1.01 B); None 5 PIVs $1.66 billion 1 other account 40 other accounts(f) $16.02 billion ($113.3 M) - ----------------------------------------------------------------------------------------------------------------------------------- FOR FUNDS WITH A FISCAL PERIOD ENDED AUGUST 31 - ----------------------------------------------------------------------------------------------------------------------------------- Diversified Bond Tom Murphy 5 RICs $6.55 billion 3 RICs ($1.33 B) $50,001- (2) (35) 2 PIVs $880.06 million $100,000 14 other accounts $10.90 billion --------------------------------------------------------------------------------------- Scott Schroepfer(d) 2 RICs $953.09 million None None --------------------------------------------------------------------------------------- Todd White(b) 12 RICs $7.44 billion 3 RICs ($1.01 B); None 5 PIVs $1.66 billion 1 other account 40 other accounts(f) $16.02 billion ($113.3 M) - ----------------------------------------------------------------------------------------------------------------------------------- FOR FUNDS WITH FISCAL PERIOD ENDING SEPTEMBER 30 - ----------------------------------------------------------------------------------------------------------------------------------- Balanced Warren Spitz(e) 12 RICs $14.57 billion 7 RICs ($14.11 B) None (2) (29) -------------------- ---------- Steve Schroll(e) 2 PIVs $27.55 million None -------------------- ---------- Laton Spahr(e) 8 other accounts(f) $441.14 million $1 - $10,000 -------------------- ---------- Paul Stocking(e) None -------------------------------------------------------------------------------------------------------------- Tom Murphy 5 RICs $9.77 billion 2 RICs ($996.38 M) $10,001- (2) (35) 2 PIVs $870.92 million $50,000 14 other accounts $10.19 billion --------------------------------------------------------------------------------------- Scott Schroepfer(d) 2 RICs $953.09 million None None --------------------------------------------------------------------------------------- Todd White(b) 12 RICs $10.42 billion 2 RICs ($801.35 None 5 PIVs $1.66 billion M); 40 other accounts(f) $16.02 billion 1 other account ($113.3 M) - -----------------------------------------------------------------------------------------------------------------------------------
OTHER ACCOUNTS MANAGED (EXCLUDING THE FUND) ------------------------------------------------------- POTENTIAL APPROXIMATE OWNERSHIP CONFLICTS NUMBER AND TYPE TOTAL NET PERFORMANCE BASED OF FUND OF STRUCTURE OF FUND PORTFOLIO MANAGER OF ACCOUNT* ASSETS ACCOUNTS(A) SHARES INTEREST COMPENSATION - ----------------------------------------------------------------------------------------------------------------------------------- Strategic Allocation Tom Murphy 5 RICs $9.47 billion 2 RICs ($699.76 M) $100,001- (2) (35) 2 PIVs $870.92 million $500,000 14 other accounts $10.19 billion --------------------------------------------------------------------------------------- Scott Schroepfer(d) 2 RICs $953.09 million None None --------------------------------------------------------------------------------------- Todd White(b) 12 RICs $10.17 billion 2 RICs ($549.42 None 5 PIVs $1.66 billion M); 40 other accounts(f) $16.02 billion 1 other account ($113.3 M) -------------------------------------------------------------------------------------------------------------- Dimitris Bertsimas 23 RICs $4.85 billion 6 RICs ($3.5 B) Over (2) (27) 2 PIVs $21.11 million $500,000 15 other accounts $3.31 billion --------------------------------------------------------------------------------------- Gina Mourtzinou 5 RICs $2.93 billion 5 RICs ($2.93 B) $100,001- 5 other accounts $118.86 million $500,000 --------------------------------------------------------------------------------------- Alex Sauer-Budge 1 RIC $573.80 million 1 RIC ($573.8 M) $1-$10,000 --------------------------------------------------------------------------------------- Steve E. Kokkotos 2 RICs $69.74 million 2 RICs ($69.74 M) $100,001- 1 other account $9.26 million $500,000 - -----------------------------------------------------------------------------------------------------------------------------------
* RIC refers to a Registered Investment Company; PIV refers to a Pooled Investment Vehicle. (a) Number of accounts for which the advisory fee paid is based on part of wholly on performance the aggregate net assets in those accounts. (b) The portfolio manager began managing the fund after its fiscal year end; therefore reporting information is as of Jan. 31, 2009. (c) The portfolio manager began managing the fund as of March 2009; therefore reporting information is as of Jan. 31, 2009. (d) The portfolio manager began managing the fund as of November 2008; therefore reporting information is as of Oct. 31, 2008. (e) The portfolio manager began managing the fund as of Nov. 1, 2008; therefore reporting information is as of Sept. 30, 2008. (f) Reflects each wrap program strategy as a single client, rather than counting each participant in the program as a separate client. The rest of this section remains the same. S-6500-34 A (3/09) -----END PRIVACY-ENHANCED MESSAGE-----