-----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, Lpk3hOPeiC2Lmd8h7DiwS+a1etPlhe7Y27F6LWsDv/hi7+ErRWLgV+MteaQCpNFC eoGDUcZHt5lKJhxDSk8aew== 0001365335-06-000073.txt : 20060628 0001365335-06-000073.hdr.sgml : 20060628 20060628111814 ACCESSION NUMBER: 0001365335-06-000073 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060430 FILED AS OF DATE: 20060628 DATE AS OF CHANGE: 20060628 EFFECTIVENESS DATE: 20060628 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE MONEY MARKET SERIES, INC. CENTRAL INDEX KEY: 0000049698 IRS NUMBER: 411254759 STATE OF INCORPORATION: MN FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-02591 FILM NUMBER: 06928815 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 MONEY MARKET SERIES INC DATE OF NAME CHANGE: 20000823 FORMER COMPANY: FORMER CONFORMED NAME: IDS MONEY MARKET SERIES INC DATE OF NAME CHANGE: 19920917 FORMER COMPANY: FORMER CONFORMED NAME: IDS CASH MANAGEMENT FUND INC DATE OF NAME CHANGE: 19920703 0000049698 S000003359 RiverSource Cash Management Fund C000009208 RiverSource Cash Management Fund Class C C000009209 RiverSource Cash Management Fund Class I RCIXX C000009210 RiverSource Cash Management Fund Class A IDSXX C000009211 RiverSource Cash Management Fund Class B ACBXX C000009212 RiverSource Cash Management Fund Class Y IDYXX N-Q 1 moneymkt-nq.txt RIVERSOURCE MONEY MARKET SERIES, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-2591 ------------ RIVERSOURCE MONEY MARKET SERIES, INC. - -------------------------------------------------------------------------------- (Exact name of registrant as specified in charter) 50606 Ameriprise Financial Center, Minneapolis, Minnesota 55474 - -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip code) Leslie L. Ogg - 901 S. Marquette Avenue, Suite 2810, Minneapolis, MN 55402-3268 - -------------------------------------------------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: (612) 330-9283 ----------------- Date of fiscal year end: 7/31 -------------- Date of reporting period: 4/30 -------------- PORTFOLIO HOLDINGS FOR RIVERSOURCE CASH MANAGEMENT FUND AT APRIL 30, 2006 INVESTMENTS IN SECURITIES RiverSource Cash Management Fund APRIL 30, 2006 (UNAUDITED) (Percentages represent value of investments compared to net assets) CERTIFICATES OF DEPOSIT (7.9%) ISSUER EFFECTIVE AMOUNT VALUE(a) YIELD PAYABLE AT MATURITY Bank of New York 02-14-07 4.96% $20,000,000 $20,000,000 Barclays Bank 06-01-06 4.77 30,000,000(b) 29,999,730 Canadian Imperial Bank of Commerce NY 01-29-07 4.77 20,000,000 20,000,000 Citibank 05-12-06 4.63 35,000,000 35,000,000 Credit Suisse First Boston NY 09-26-06 4.93 25,000,000(b) 25,000,000 03-29-07 5.19 22,000,000 22,000,000 DEPFA Bank 01-26-07 5.30 25,000,000 25,000,000 Deutsche Bank 01-16-07 4.74 20,000,000 20,000,000 Natexis Banques Populair NY 01-23-07 4.77 20,000,000 20,000,000 SunTrust Banks 05-12-06 4.69 20,000,000(b) 19,999,965 08-22-06 4.90 42,000,000(b) 41,999,999 TOTAL CERTIFICATES OF DEPOSIT (Cost: $278,999,694) $278,999,694 COMMERCIAL PAPER (92.4%) ISSUER EFFECTIVE AMOUNT VALUE(a) YIELD PAYABLE AT MATURITY ASSET-BACKED (63.7%) Amstel Funding 05-08-06 4.01% $21,000,000(c) $20,976,638 05-16-06 4.19 37,000,000(c) 36,922,598 05-23-06 4.73 30,000,000(c) 29,901,800 06-01-06 4.63 18,000,000(c) 17,921,625 06-20-06 4.49 18,800,000(c) 18,676,442 09-27-06 5.05 12,000,000(c) 11,749,340 Beta Finance 07-12-06 4.94 3,500,000 3,464,316 COMMERCIAL PAPER (CONTINUED) ISSUER EFFECTIVE AMOUNT VALUE(a) YIELD PAYABLE AT MATURITY ASSET-BACKED (CONT.) Bryant Park Funding LLC 05-08-06 4.28% $25,000,000(c) $24,970,313 05-15-06 4.58 18,000,000(c) 17,961,120 07-06-06 4.88 24,000,000(c) 23,777,413 CC (USA)/Centari 05-02-06 3.43 10,000,000 9,996,192 06-27-06 4.82 17,000,000 16,864,595 07-07-06 4.89 27,000,000 26,745,908 Chariot Funding LLC 05-15-06 4.54 19,500,000(c) 19,458,313 CHARTA LLC 05-18-06 4.58 21,000,000(c) 20,946,689 06-09-06 4.77 4,000,000(c) 3,977,860 07-20-06 4.81 13,000,000(c) 12,857,274 Chesham Finance LLC 05-01-06 3.22 46,300,000 46,287,576 05-02-06 3.59 4,100,000 4,098,363 05-15-06 4.57 10,200,000 10,178,059 CRC Funding LLC 06-07-06 4.76 27,000,000(c) 26,857,845 06-08-06 4.76 25,000,000(c) 24,865,278 Cullinan Finance 05-12-06 4.34 15,000,000 14,974,704 06-22-06 4.82 17,000,000 16,875,815 07-07-06 4.94 30,000,000 29,714,800 07-13-06 4.96 41,000,000 40,574,833 03-15-07 4.86 25,000,000(b) 24,995,494 Dakota Notes 05-05-06 4.01 10,000,000(c) 9,992,200 05-05-06 4.05 15,000,000(c) 14,988,200 05-11-06 4.42 30,000,000(c) 29,952,200 05-19-06 4.58 15,000,000(c) 14,960,000 Emerald Certificates MBNA MCCT 05-02-06 3.46 30,000,000(c) 29,988,475 05-02-06 3.47 30,000,000(c) 29,988,450 06-13-06 4.82 19,000,000(c) 18,883,625 06-22-06 4.92 42,000,000(c) 41,686,890 07-11-06 4.94 18,000,000(c) 17,818,960 COMMERCIAL PAPER (CONTINUED) ISSUER EFFECTIVE AMOUNT VALUE(a) YIELD PAYABLE AT MATURITY ASSET-BACKED (CONT.) Five Finance 05-04-06 3.84% $14,000,000 $13,991,036 05-24-06 4.33 20,000,000 19,937,639 06-28-06 4.83 23,500,000 23,309,258 07-10-06 4.91 19,000,000 18,812,660 07-25-06 5.00 20,000,000 19,758,333 Galaxy Funding 05-01-06 3.04 45,000,000(c) 44,988,603 05-04-06 3.84 18,000,000(c) 17,988,500 05-10-06 4.23 25,000,000(c) 24,964,785 05-23-06 4.50 11,000,000(c) 10,965,753 06-28-06 4.83 32,000,000(c) 31,740,267 Gemini Securitization 05-03-06 3.66 25,300,000(c) 25,287,153 05-12-06 4.47 36,200,000(c) 36,137,167 05-26-06 4.57 12,000,000(c) 11,957,520 07-28-06 5.01 19,000,000(c) 18,762,500 Grampian Funding LLC 05-09-06 4.00 25,700,000(c) 25,668,589 05-31-06 4.64 10,000,000(c) 9,957,689 06-02-06 4.61 30,000,000(c) 29,866,267 08-03-06 4.93 22,000,000(c) 21,711,360 08-07-06 4.95 27,000,000(c) 26,630,250 09-08-06 4.94 15,000,000(c) 14,731,050 10-10-06 5.14 12,000,000(c) 11,723,933 K2 (USA) LLC 06-30-06 4.86 19,000,000 18,839,661 Nieuw Amsterdam 05-16-06 4.56 15,000,000(c) 14,965,858 06-05-06 4.67 20,000,000(c) 19,901,950 06-08-06 4.41 15,500,000(c) 15,422,500 06-15-06 4.45 13,000,000(c) 12,923,286 07-10-06 4.92 16,000,000(c) 15,841,920 Park Granada LLC 05-01-06 3.23 10,000,000(c) 9,997,306 06-05-06 4.77 30,000,000(c) 29,849,842 06-06-06 4.83 20,850,000(c) 20,741,499 See accompanying notes to investments in securities. - -------------------------------------------------------------------------------- 1 - RIVERSOURCE CASH MANAGEMENT FUND - PORTFOLIO HOLDINGS AT APRIL 30, 2006 COMMERCIAL PAPER (CONTINUED) ISSUER EFFECTIVE AMOUNT VALUE(a) YIELD PAYABLE AT MATURITY ASSET-BACKED (CONT.) Park Granada LLC (cont.) 06-23-06 4.91% $35,000,000(c) $34,734,778 07-05-06 4.88 46,000,000(c) 45,579,649 Ranger Funding LLC 05-24-06 4.72 16,000,000(c) 15,945,667 Scaldis Capital LLC 05-10-06 4.25 10,000,000(c) 9,985,853 05-22-06 4.50 17,400,000(c) 17,347,974 05-24-06 4.65 25,000,000(c) 24,916,319 05-30-06 4.59 32,000,000(c) 31,869,938 06-09-06 4.42 22,400,000(c) 22,285,200 07-24-06 5.00 18,000,000(c) 17,785,000 10-06-06 5.13 11,000,000(c) 10,753,111 Sedna Finance 05-18-06 4.63 29,000,000 28,925,615 08-15-06 4.71 38,000,000(b) 38,000,000 05-08-07 5.40 32,000,000 32,000,000 Sigma Finance 05-30-06 4.33 12,000,000 11,954,017 06-13-06 4.84 5,750,000 5,714,638 06-16-06 4.82 85,000,000(b) 84,999,439 06-21-06 4.67 30,000,000 29,791,533 Solitaire Funding LLC 05-11-06 4.29 29,300,000(c) 29,254,683 05-23-06 4.53 30,000,000(c) 29,906,000 05-30-06 4.59 50,000,000(c) 49,796,778 07-21-06 4.75 27,000,000(c) 26,704,313 Thames Asset Global Securitization #1 05-15-06 4.27 8,000,000(c) 7,983,893 05-16-06 4.58 15,000,000(c) 14,965,717 05-17-06 4.44 23,400,000(c) 23,345,244 05-18-06 4.63 35,000,000(c) 34,910,225 Thunder Bay Funding LLC 06-21-06 4.78 27,000,000(c) 26,807,610 07-10-06 4.92 25,000,000(c) 24,753,000 Variable Funding Capital 05-18-06 4.57 11,300,000(c) 11,271,373 COMMERCIAL PAPER (CONTINUED) ISSUER EFFECTIVE AMOUNT VALUE(a) YIELD PAYABLE AT MATURITY ASSET-BACKED (CONT.) White Pine Finance LLC 05-25-06 4.67% $27,100,000 $27,005,448 06-12-06 4.44 25,000,000 24,861,889 07-10-06 4.92 19,000,000 18,812,280 07-11-06 4.96 16,000,000 15,838,589 09-06-06 4.79 40,000,000(b) 39,998,575 Total 2,251,028,685 BANKING (15.3%) ANZ Delaware 10-05-06 5.11 8,000,000 7,822,450 Bank of America 05-11-06 4.27 44,000,000 43,932,240 07-27-06 5.01 40,000,000 39,505,556 Credit Suisse First Boston NY 05-15-06 4.38 29,800,000 29,738,546 06-06-06 4.77 30,000,000 29,845,783 07-03-06 4.87 30,000,000 29,734,583 DekaBank Deutsche Girozentrale 05-16-07 5.10 24,000,000(b) 24,000,000 DEPFA Bank 03-15-07 4.92 50,000,000(b) 50,000,000 Irish Life & Permanent 05-21-07 4.95 35,000,000(b) 34,997,283 Natexis Banques Populair 06-15-07 4.88 27,000,000(b) 27,000,000 Noredea North America 10-02-06 5.11 22,000,000 21,520,473 Northern Rock 04-09-07 4.94 59,300,000(b) 59,300,000 05-03-07 4.87 15,000,000(b) 15,000,000 Skandinaviska Enskilda Banken 05-16-07 4.89 30,000,000(b) 30,000,000 06-08-07 4.84 20,000,000(b) 20,000,000 Wells Fargo Bank 06-04-07 4.79 20,000,000(b) 20,000,000 Westpac Banking 04-11-07 4.93 59,300,000(b) 59,300,000 Total 541,696,914 COMMERCIAL PAPER (CONTINUED) ISSUER EFFECTIVE AMOUNT VALUE(a) YIELD PAYABLE AT MATURITY BROKERAGE (8.1%) Bear Stearns Companies 10-13-06 4.88% $50,000,000(b) $50,000,000 01-12-07 4.91 34,000,000(b) 34,000,000 06-15-07 4.91 25,000,000(b) 25,000,000 05-25-07 5.04 30,000,000(b) 30,000,000 Goldman Sachs Group 05-24-06 4.92 20,000,000(b,c) 20,000,000 05-25-06 4.87 30,000,000(b,c) 30,000,000 06-15-07 4.95 25,000,000(b) 25,000,000 Lehman Brothers Holdings 05-21-07 5.04 42,000,000(b) 42,000,000 Merrill Lynch & Co 06-15-07 4.88 30,000,000(b) 30,000,000 Total 286,000,000 DIVERSIFIED MANUFACTURING (0.6%) General Electric 06-26-06 4.90 20,000,000 19,840,822 NON CAPTIVE CONSUMER (2.3%) SLM 05-18-07 4.92 40,000,000(b) 40,000,000 06-15-07 4.90 42,500,000(b) 42,500,000 Total 82,500,000 OTHER FINANCIAL INSTITUTIONS (1.6%) HSBC Finance 05-08-06 4.14 30,000,000 29,965,500 05-24-07 4.98 25,000,000(b) 25,000,000 Total 54,965,500 PHARMACEUTICALS (0.8%) Eli Lilly Services 06-01-07 4.80 30,000,000(b) 30,000,000 TOTAL COMMERCIAL PAPER (Cost: $3,266,031,921) $3,266,031,921 TOTAL INVESTMENTS IN SECURITIES (Cost: $3,545,031,615)(d) $3,545,031,615 NOTES TO INVESTMENTS IN SECURITIES (a) Securities are valued by procedures described in Note 1 to the financial statements in the most recent Semiannual Report dated Jan. 31, 2006. (b) Interest rate varies either based on a predetermined schedule or to reflect current market conditions; rate shown is the effective rate on April 30, 2006. The maturity date disclosed represents the final maturity. For purposes of Rule 2a-7, maturity is the later of the next put or interest rate reset date. (c) Commercial paper sold within terms of a private placement memorandum, exempt from registration under Section 4(2) of the Securities Act of 1933, as amended, and may be sold only to dealers in that program or other "accredited investors." This security has been determined to be liquid under guidelines established by the Fund's Board of Directors. These securities may be resold in transactions exempt from registration, normally to qualified institutional buyers. At April 30, 2006, the value of these securities amounted to $1,583,707,420 or 44.8% of net assets. (d) Also represents the cost of securities for federal income tax purposes at April 30, 2006. HOW TO FIND INFORMATION ABOUT THE FUND'S PORTFOLIO HOLDINGS (i) The Fund files its complete schedule of portfolio holdings with the Securities and Exchange Commission (Commission) for the first and third quarters of each fiscal year on Form N-Q; (ii) The Fund's Forms N-Q are available on the Commission's website at http://www.sec.gov; (iii) The Fund's Forms N-Q may be reviewed and copied at the Commission's Public Reference Room in Washington, DC (information on the operations of the Public Reference Room may be obtained by calling 1-800-SEC-0330); and (iv) The Fund's complete schedule of portfolio holdings, as disclosed in its annual and semiannual shareholder reports and in its filings on Form N-Q, can be found at www.riversource.com/funds. - -------------------------------------------------------------------------------- 2 - RIVERSOURCE CASH MANAGEMENT FUND - PORTFOLIO HOLDINGS AT APRIL 30, 2006 S-6320-80 E (6/06) ITEM 2. CONTROL AND PROCEDURES. (A) Based upon their evaluation of the registrant's disclosure controls and procedures as conducted within 90 days of the filing date of this report, the registrant's principal financial officer and principal executive officer have concluded that those disclosure controls and procedures provide reasonable assurance that the material information required to be disclosed by the registrant on this report is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission's rules and forms. (B) There were no changes in the registrant's internal control over financial reporting that occurred during the registrant's last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting. ITEM 3. EXHIBITS. Separate certification for the Registrant's principal executive officer and principal financial officer as required by Rule 30a-2(a) under the Investment Company Act of 1940. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) RIVERSOURCE MONEY MARKET SERIES, INC. By /s/ Paula R. Meyer ------------------ Paula R. Meyer President and Principal Executive Officer Date June 28, 2006 Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated. By /s/ Paula R. Meyer ------------------ Paula R. Meyer President and Principal Executive Officer Date June 28, 2006 By /s/ Jeffrey P. Fox ------------------ Jeffrey P. Fox Treasurer and Principal Financial Officer Date June 28, 2006 EX-99.CERT 2 ex99-cert.txt CERTIFICATION PURSUANT TO 270.30A-2 OF THE INVESTMENT COMPANY ACT OF 1940 Certification Pursuant to 270.30a-2 of the Investment Company Act of 1940 I, Paula Meyer, certify that: 1. I have reviewed this report on Form N-Q of RiverSource Money Market Series, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the schedule of investments included in this report, fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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 principals; c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures as of a date within 90 days prior to the filing date of this report based on such evaluation and d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer and I have disclosed, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: June 22, 2006 /s/ Paula R. Meyer --------------------- Name: Paula R. Meyer Title: President and Chief Executive Officer Certification Pursuant to 270.30a-2 of the Investment Company Act of 1940 I, Jeffrey Fox, certify that: 1. I have reviewed this report on Form N-Q of RiverSource Money Market Series, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the schedule of investments included in this report, fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed; 4. The registrant's other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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 principals; c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures as of a date within 90 days prior to the filing date of this report based on such evaluation and d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer and I have disclosed, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: June 22, 2006 /s/ Jeffrey P. Fox --------------------- Name: Jeffrey P. Fox Title: Treasurer and Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----