-----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, VFNcKUL3y1DPaGSDDG6SbDMT7b7NqMmcuq6nFO/UNjx2kCVbByDRiBQSKdJvvMUC uSTd8BKs7bcauCOp66wEIQ== 0000820027-02-000614.txt : 20020927 0000820027-02-000614.hdr.sgml : 20020927 20020927150949 ACCESSION NUMBER: 0000820027-02-000614 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020731 FILED AS OF DATE: 20020927 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AXP GROWTH SERIES INC/MN CENTRAL INDEX KEY: 0000049702 IRS NUMBER: 410962638 STATE OF INCORPORATION: MN FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-02111 FILM NUMBER: 02774646 BUSINESS ADDRESS: STREET 1: 80 SOUTH 8TH STREET STREET 2: T33/52 CITY: MINNEAPOLIS STATE: MN ZIP: 55440 BUSINESS PHONE: 6126712772 MAIL ADDRESS: STREET 1: 80 S. 8TH STREET CITY: MINNEAPOLIS STATE: MN ZIP: 55440 FORMER COMPANY: FORMER CONFORMED NAME: IDS GROWTH FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: AXP GROWTH FUND INC DATE OF NAME CHANGE: 20000829 NSAR-B 1 answer.fil AXP GROWTH SERIES, INC. 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032 000100 0 033 000100 2612 034 000100 Y 035 000100 1420 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 19341 044 000100 0 045 000100 N 048 000100 0.000 048 A010100 0 048 A020100 0.000 048 B010100 0 048 B020100 0.000 048 C010100 0 048 C020100 0.000 PAGE 6 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 0 048 K020100 0.000 055 A000100 N 055 B000100 N 056 000100 N 057 000100 N 058 A000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 100 062 A000100 N 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 0.0 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C020200 N 070 D010200 N 070 D020200 N 070 E010200 N 070 E020200 N 070 F010200 N PAGE 12 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 N 070 J020200 N 070 K010200 N 070 K020200 N 070 L010200 N 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 N 070 N020200 N 070 O010200 N 070 O020200 N 070 P010200 N 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 N 070 R020200 N 071 A000200 0 071 B000200 0 071 C000200 0 071 D000200 0 072 A000200 12 072 B000200 506 072 C000200 2988 072 D000200 0 072 E000200 0 072 F000200 0 072 G000200 264 072 H000200 0 072 I000200 1221 072 J000200 0 072 K000200 129 072 L000200 0 072 M000200 11 072 N000200 79 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 6 072 S000200 0 072 T000200 2490 072 U000200 0 072 V000200 0 PAGE 13 072 W000200 3 072 X000200 4203 072 Y000200 8 072 Z000200 -701 072AA000200 0 072BB000200 113481 072CC010200 0 072CC020200 28597 072DD010200 548 072DD020200 1 072EE000200 0 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D000301 46 025 A000302 CITIGROUP 025 B000302 11-2418191 025 C000302 E 025 D000302 292 025 D000303 0 025 D000304 0 025 D000305 0 025 D000306 0 025 D000307 0 025 D000308 0 028 A010300 0 028 A020300 0 028 A030300 0 028 A040300 0 028 B010300 0 028 B020300 0 028 B030300 0 028 B040300 0 028 C010300 4768 028 C020300 0 028 C030300 0 028 C040300 0 028 D010300 4952 028 D020300 0 028 D030300 0 028 D040300 19 028 E010300 4279 028 E020300 0 028 E030300 0 028 E040300 79 028 F010300 3602 PAGE 15 028 F020300 0 028 F030300 0 028 F040300 522 028 G010300 17601 028 G020300 0 028 G030300 0 028 G040300 620 028 H000300 1839 029 000300 Y 030 A000300 71 030 B000300 5.75 030 C000300 0.00 031 A000300 22 031 B000300 0 032 000300 0 033 000300 49 034 000300 Y 035 000300 0 036 A000300 N 036 B000300 0 037 000300 N 038 000300 0 039 000300 N 040 000300 Y 041 000300 Y 042 A000300 0 042 B000300 0 042 C000300 0 042 D000300 0 042 E000300 0 042 F000300 0 042 G000300 0 042 H000300 100 043 000300 16 044 000300 0 045 000300 Y 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K000300 0.0 062 L000300 0.0 062 M000300 0.0 062 N000300 0.0 062 O000300 0.0 062 P000300 0.0 062 Q000300 0.0 062 R000300 0.0 063 A000300 0 063 B000300 0.0 066 A000300 Y 066 C000300 Y 067 000300 N 068 A000300 N 068 B000300 N 069 000300 N 070 A010300 Y 070 A020300 N 070 B010300 Y 070 B020300 N 070 C010300 N 070 C020300 N 070 D010300 Y 070 D020300 N 070 E010300 N 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 N 070 G020300 N 070 H010300 Y 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 Y 070 J020300 N 070 K010300 Y 070 K020300 N 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 N 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 N 070 Q010300 N 070 Q020300 N 070 R010300 N PAGE 18 070 R020300 N 071 A000300 24178 071 B000300 8368 071 C000300 9494 071 D000300 88 072 A000300 4 072 B000300 5 072 C000300 34 072 D000300 0 072 E000300 0 072 F000300 20 072 G000300 2 072 H000300 0 072 I000300 8 072 J000300 6 072 K000300 49 072 L000300 0 072 M000300 0 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OF AMERICA 080 B000300 CONTINENTAL CASUALTY CO. 080 C000300 150 081 A000300 N 081 B000300 0 082 A000300 N 082 B000300 0 083 A000300 N 083 B000300 0 084 A000300 N 084 B000300 0 085 A000300 Y 085 B000300 N 008 A000401 AMERICAN EXPRESS FINANCIAL CORPORATION 008 B000401 A 008 C000401 801-14721 008 D010401 MINNEAPOLIS 008 D020401 MN 008 D030401 55474 024 000400 Y 025 A000401 BANK OF AMERICA 025 B000401 94-1687655 025 C000401 E 025 D000401 113 025 A000402 FLEETBOSTON FINANCIAL 025 B000402 05-0341324 025 C000402 E PAGE 20 025 D000402 72 025 A000403 LEHMAN BROTHERS HOLDINGS 025 B000403 13-2518466 025 C000403 E 025 D000403 33 025 A000404 MERRILL LYNCH 025 B000404 13-5674085 025 C000404 E 025 D000404 32 025 A000405 J.P. MORGAN CHASE 025 B000405 13-3224016 025 C000405 E 025 D000405 54 025 A000406 MORGAN STANLEY 025 B000406 13-2655998 025 C000406 E 025 D000406 48 025 A000407 PNC FINANCIAL SERVICES GROUP 025 B000407 25-1471636 025 C000407 E 025 D000407 70 025 A000408 CITIGROUP 025 B000408 11-2418191 025 C000408 E 025 D000408 190 028 A010400 0 028 A020400 0 028 A030400 0 028 A040400 0 028 B010400 0 028 B020400 0 028 B030400 0 028 B040400 0 028 C010400 0 028 C020400 0 028 C030400 0 028 C040400 0 028 D010400 0 028 D020400 0 028 D030400 0 028 D040400 0 028 E010400 187 028 E020400 0 028 E030400 0 028 E040400 0 028 F010400 3500 028 F020400 0 028 F030400 0 028 F040400 66 028 G010400 3687 028 G020400 0 PAGE 21 028 G030400 0 028 G040400 66 028 H000400 266 029 000400 Y 030 A000400 9 030 B000400 5.75 030 C000400 0.00 031 A000400 0 031 B000400 6 032 000400 0 033 000400 15 034 000400 Y 035 000400 0 036 A000400 N 036 B000400 0 037 000400 N 038 000400 0 039 000400 N 040 000400 Y 041 000400 Y 042 A000400 0 042 B000400 0 042 C000400 0 042 D000400 0 042 E000400 0 042 F000400 0 042 G000400 0 042 H000400 100 043 000400 1 044 000400 0 045 000400 Y 046 000400 N 047 000400 N 048 000400 0.000 048 A010400 0 048 A020400 0.000 048 B010400 0 048 B020400 0.000 048 C010400 0 048 C020400 0.000 048 D010400 0 048 D020400 0.000 048 E010400 0 048 E020400 0.000 048 F010400 0 048 F020400 0.000 048 G010400 0 048 G020400 0.000 048 H010400 0 048 H020400 0.000 048 I010400 0 PAGE 22 048 I020400 0.000 048 J010400 0 048 J020400 0.000 048 K010400 0 048 K020400 0.000 049 000400 N 050 000400 N 051 000400 Y 052 000400 N 053 A000400 Y 053 B000400 Y 053 C000400 N 054 A000400 N 054 B000400 Y 054 C000400 Y 054 D000400 N 054 E000400 N 054 F000400 N 054 G000400 N 054 H000400 N 054 I000400 N 054 J000400 N 054 K000400 N 054 L000400 Y 054 M000400 Y 054 N000400 N 054 O000400 Y 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 058 A000400 N 059 000400 Y 060 A000400 Y 060 B000400 Y 061 000400 100 062 A000400 N 062 B000400 0.0 062 C000400 0.0 062 D000400 0.0 062 E000400 0.0 062 F000400 0.0 062 G000400 0.0 062 H000400 0.0 062 I000400 0.0 062 J000400 0.0 062 K000400 0.0 062 L000400 0.0 062 M000400 0.0 062 N000400 0.0 062 O000400 0.0 PAGE 23 062 P000400 0.0 062 Q000400 0.0 062 R000400 0.0 063 A000400 0 063 B000400 0.0 066 A000400 Y 066 C000400 Y 067 000400 N 068 A000400 N 068 B000400 N 069 000400 N 070 A010400 Y 070 A020400 N 070 B010400 Y 070 B020400 N 070 C010400 N 070 C020400 N 070 D010400 Y 070 D020400 N 070 E010400 N 070 E020400 N 070 F010400 Y 070 F020400 N 070 G010400 N 070 G020400 N 070 H010400 Y 070 H020400 N 070 I010400 N 070 I020400 N 070 J010400 Y 070 J020400 N 070 K010400 Y 070 K020400 N 070 L010400 Y 070 L020400 Y 070 M010400 Y 070 M020400 N 070 N010400 Y 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 Y 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 N 070 R020400 N 071 A000400 3449 071 B000400 323 071 C000400 3411 071 D000400 9 PAGE 24 072 A000400 1 072 B000400 0 072 C000400 4 072 D000400 0 072 E000400 0 072 F000400 2 072 G000400 0 072 H000400 0 072 I000400 0 072 J000400 5 072 K000400 2 072 L000400 0 072 M000400 0 072 N000400 45 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 15 072 S000400 0 072 T000400 1 072 U000400 0 072 V000400 0 072 W000400 0 072 X000400 70 072 Y000400 66 072 Z000400 0 072AA000400 0 072BB000400 48 072CC010400 0 072CC020400 91 072DD010400 0 072DD020400 0 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 356 074 B000400 0 074 C000400 499 074 D000400 0 074 E000400 0 074 F000400 4892 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 68 074 K000400 0 074 L000400 16 074 M000400 0 074 N000400 5831 PAGE 25 074 O000400 387 074 P000400 0 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 2 074 S000400 0 074 T000400 5442 074 U010400 877 074 U020400 326 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 488 074 Y000400 0 075 A000400 0 075 B000400 3799 076 000400 0.00 080 A000400 TRAVELERS CASUALTY & SURETY CO. OF AMERICA 080 B000400 CONTINENTAL CASUALTY 080 C000400 150 081 A000400 N 081 B000400 0 082 A000400 N 082 B000400 0 083 A000400 N 083 B000400 0 084 A000400 N 084 B000400 0 085 A000400 Y 085 B000400 N SIGNATURE LESLIE L. OGG TITLE VICE PRESIDENT Independent Auditors' Report on Internal Accounting Control The Board of Directors and Shareholders AXP Growth Series, Inc.: In planning and performing our audits of the financial statements of AXP Growth Fund and AXP Research Opportunities Fund (a series of AXP Growth Series, Inc.) for the year ended July 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on the internal control. The management of AXP Growth Series, Inc. is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of the internal control would not necessarily disclose all matters in the internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving the internal control and its operation, including controls for safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2002. This report is intended solely for the information and use of management, the Board of Directors of AXP Growth Series, Inc., and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ KPMG LLP - ------------- KPMG LLP Minneapolis, Minnesota September 6, 2002 Independent Auditors' Report on Internal Accounting Control The Board of Directors and Shareholders AXP Growth Series, Inc.: In planning and performing our audit of the financial statements of AXP Large Cap Equity Fund (a series of AXP Growth Series, Inc.) for the period from March 28, 2002 (when shares became publicly available) to July 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on the internal control. The management of AXP Growth Series, Inc. is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of the internal control would not necessarily disclose all matters in the internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving the internal control and its operation, including controls for safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2002. This report is intended solely for the information and use of management, the Board of Directors of AXP Growth Series, Inc., and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ KPMG LLP - ------------- KPMG LLP Minneapolis, Minnesota September 6, 2002 Independent Auditors' Report on Internal Accounting Control The Board of Directors and Shareholders AXP Growth Series, Inc.: In planning and performing our audit of the financial statements of AXP Large Cap Value Fund (a series of AXP Growth Series, Inc.) for the period from June 27, 2002 (when share became publicly available) to July 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on the internal control. The management of AXP Growth Series, Inc. is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of the internal control would not necessarily disclose all matters in the internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving the internal control and its operation, including controls for safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2002. This report is intended solely for the information and use of management, the Board of Directors of AXP Growth Series, Inc., and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ KPMG LLP - ------------- KPMG LLP Minneapolis, Minnesota September 6, 2002 EX-99.77Q3 CERT 3 ex99-77q3_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 R. Meyer, certify that: 1. I have reviewed this report on Form N-SAR of AXP Growth 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 financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report. Date: September 27, 2002 /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 P. Fox, certify that: 1. I have reviewed this report on Form N-SAR of AXP Growth 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 financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report. Date: September 27, 2002 /s/ Jeffrey P. Fox ------------------- Name: Jeffrey P. Fox Title: Treasurer and Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----