-----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, TTP6gTONuUrTfnCKo3qMgJlna1639Ids9EwgpttSvK/f+CxBejyPCCLFikQNrHLp VZuRfVnl0ai6B0iv2w0ZRg== 0001068800-07-001162.txt : 20070501 0001068800-07-001162.hdr.sgml : 20070501 20070501164551 ACCESSION NUMBER: 0001068800-07-001162 CONFORMED SUBMISSION TYPE: NSAR-A/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20070228 FILED AS OF DATE: 20070501 DATE AS OF CHANGE: 20070501 EFFECTIVENESS DATE: 20070501 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/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-02503 FILM NUMBER: 07806623 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/A 1 answer.fil RIVERSOURCE DIVERSIFIED INCOME SERIES, INC. 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MORGAN SECURITIES INC. 022 B000006 13-3224016 022 C000006 364621 022 D000006 465154 022 A000007 CITIGROUP GLOBAL MARKETS INC. 022 B000007 11-2418191 022 C000007 383592 PAGE 3 022 D000007 385946 022 A000008 UBS SECURITIES LLC 022 B000008 13-3873456 022 C000008 272795 022 D000008 486188 022 A000009 BEAR, STEARNS & CO. INC. 022 B000009 13-3299429 022 C000009 293221 022 D000009 261346 022 A000010 BANC OF AMERICA SECURITIES LLC 022 B000010 56-2058405 022 C000010 247068 022 D000010 227763 023 C000000 4511741 023 D000000 4834208 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 Y 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 Y 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 Y 077 J000000 N 077 K000000 N PAGE 4 077 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 0 086 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 U.S. BANK NATIONAL ASSOCIATION 015 B000101 C 015 C010101 ST. PAUL 015 C020101 MN 015 C030101 55101 015 C040101 1631 015 E010101 X 015 A000102 BANK OF NEW YORK 015 B000102 S 015 C010102 NEW YORK 015 C020102 NY 015 C030102 10286 015 C040102 0001 015 E040102 X 024 000100 Y 025 A000101 BEAR STEARNS COMMERCIAL MTGE SECURITIES 025 B000101 13-3299429 025 C000101 D 025 D000101 16958 PAGE 5 025 A000102 CS FIRST BOSTON MTGE SECURITIES 025 B000102 13-3320910 025 C000102 D 025 D000102 23350 025 A000103 LB-USB COMMERCIAL MTGE TRUST 025 B000103 13-2518466 025 C000103 D 025 D000103 62330 025 A000104 JPMORGAN CHASE COMMERCIAL MTGE SECURITIES 025 B000104 13-3224016 025 C000104 D 025 D000104 78078 025 A000105 MORGAN STANLEY, DEAN WITTER CAPITAL I 025 B000105 13-2655998 025 C000105 D 025 D000105 20541 025 A000106 MORGAN STANLEY CAPITAL I 025 B000106 13-2655998 025 C000106 D 025 D000106 32322 025 A000107 BEAR STEARNS ADJUSTABLE RATE MORTGAGE TRUST 025 B000107 13-3299429 025 C000107 D 025 D000107 5929 025 A000108 CHASEFLEX TRUST 025 B000108 13-5225436 025 C000108 D 025 D000108 2224 025 A000109 CITIGROUP COMMERICIAL MTGE TRUST 025 B000109 11-2418191 025 C000109 D 025 D000109 6458 025 A000110 CITIGROUP/DEUTSCHE BANK COMMERCIAL MTGE TRUST 025 B000110 11-2418191 025 C000110 D 025 D000110 3068 025 A000111 CREDIT SUISSE MORTGAGE CAPITAL CTFS 025 B000111 13-5659485 025 C000111 D 025 D000111 10224 025 A000112 GS MORTGAGE SECURITIES II 025 B000112 13-5108880 025 C000112 D 025 D000112 13906 025 A000113 LABRANCHE & CO. 025 B000113 13-3496435 025 C000113 D 025 D000113 1017 025 A000114 MERRILL LYNCH & CO. 025 B000114 13-5674085 025 C000114 D PAGE 6 025 D000114 6282 025 A000115 CITIGROUP 025 B000115 11-2418191 025 C000115 D 025 D000115 13841 025 A000116 LEHMAN BROTHERS 025 B000116 13-2518466 025 C000116 D 025 D000116 4683 025 A000117 LEHMAN BROTHERS HOLDINGS 025 B000117 13-2518466 025 C000117 D 025 D000117 12894 025 A000118 MORGAN STANLEY 025 B000118 13-2655998 025 C000118 D 025 D000118 22211 025 D000119 0 025 D000120 0 025 D000121 0 025 D000122 0 025 D000123 0 025 D000124 0 028 A010100 31361 028 A020100 8827 028 A030100 0 028 A040100 64044 028 B010100 38421 028 B020100 8600 028 B030100 0 028 B040100 184371 028 C010100 60325 028 C020100 8560 028 C030100 0 028 C040100 56220 028 D010100 42353 028 D020100 10136 028 D030100 0 028 D040100 56150 028 E010100 45114 028 E020100 10017 028 E030100 0 028 E040100 75250 028 F010100 36089 028 F020100 8058 028 F030100 0 028 F040100 59761 028 G010100 253663 028 G020100 54198 028 G030100 0 028 G040100 495796 PAGE 7 028 H000100 15051 029 000100 Y 030 A000100 928 030 B000100 4.75 030 C000100 0.00 031 A000100 385 031 B000100 0 032 000100 0 033 000100 543 034 000100 Y 035 000100 186 036 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 4462 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 PAGE 8 048 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 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 5.6 062 M000100 4.0 062 N000100 39.9 062 O000100 0.0 062 P000100 51.2 062 Q000100 3.9 062 R000100 0.0 063 A000100 0 063 B000100 19.2 064 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 PAGE 9 070 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 N 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 N 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 3754878 071 B000100 4075330 071 C000100 2793548 071 D000100 134 072 A000100 6 072 B000100 71656 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 6297 072 G000100 864 072 H000100 0 072 I000100 2013 072 J000100 131 072 K000100 288 072 L000100 0 072 M000100 29 072 N000100 76 072 O000100 0 072 P000100 0 PAGE 10 072 Q000100 0 072 R000100 23 072 S000100 4 072 T000100 4462 072 U000100 0 072 V000100 0 072 W000100 136 072 X000100 14323 072 Y000100 1235 072 Z000100 58568 072AA000100 42135 072BB000100 0 072CC010100 25131 072CC020100 0 072DD010100 46274 072DD020100 17943 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 2484 074 B000100 0 074 C000100 0 074 D000100 2695407 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 185617 074 J000100 136055 074 K000100 0 074 L000100 19694 074 M000100 0 074 N000100 3039257 074 O000100 164707 074 P000100 536 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 119564 074 S000100 0 074 T000100 2754450 074 U010100 400684 074 U020100 163856 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 165101 074 Y000100 1439 PAGE 11 075 A000100 0 075 B000100 2788510 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 30, 2007 Name of Registrant, Depositor, or Trustee: - ------------------------------------------------------------------------------- By (Name and Title): /s/ Jeffrey P. Fox ------------------ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - ------------------------------------------------------------------------------- Witness (Name and Title): /s/ Wade M. Voigt ----------------- Wade M. Voigt -- Assistant Treasurer - ------------------------------------------------------------------------------- RIVERSOURCE DIVERSIFIED INCOME SERIES, INC. EX-99.77D POLICIES 2 diversified-ex77d.txt POLICIES WITH RESPECT TO SECURITY INVESTMENTS RiverSource Diversified Income Series, Inc. Exhibit 77D For: RiverSource Diversified Bond Fund At a Board of Directors meeting held on September 13-14, 2006 it was resolved that the non-fundamental investment policy that limits investments in securities of investment companies shall be and hereby is eliminated. EX-99.77E LEGAL 3 diversified-ex77e.txt LEGAL PROCEEDINGS RIVERSOURCE DIVERSIFIED INCOME SERIES, INC. Exhibit 77E For: RiverSource Diversified Bond Fund 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. 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 diversified-ex77i.txt TERMS OF NEW OR AMENDED SECURITIES FOR RIVERSOURCE DIVERSIFIED INCOME SERIES, INC.: EXHIBIT 77I For RiverSource Diversified Bond Fund Class R2, Class R3, Class R4 and Class R5 are offered exclusively to certain institutional investors at net asset value without an initial sales charge or contingent deferred sales charge on redemption. These shares do not convert to any other class of shares. Class R2 and Class R3 shares have an annual distribution and shareholder servicing (12b-1) fee. Class R2, Class R3 and Class R4 have an annual plan administration services fee. Class R shares are available to the following investors: o Qualified employee benefit plans. o Trust companies or similar institutions, and charitable organizations that meet the definition in Section 501(c)(3) of the Internal Revenue Code. o Non-qualified deferred compensation plans whose participants are included in a qualified employee benefit plan described above. o State sponsored college savings plans established under Section 529 of the Internal Revenue Code. Class W shares are offered exclusively to investors in managed account programs at net asset value without an initial sales charge or contingent deferred sales charge on redemption. Class W shares have an annual distribution and shareholder servicing (12b-1) fee and do not convert to any other class of shares. Class W shares are available to investors purchasing through authorized investment programs managed by investment professionals, including discretionary managed account programs. -----END PRIVACY-ENHANCED MESSAGE-----