-----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, RLXSqT5w/4S8u22O/0mfhL0YxHMPGOQQBBB2WQO5thAXH7NoYxJD4P4uY4SvpDts p6AvsQ+H8RKB9anzYccMLQ== 0000820027-04-000822.txt : 20040929 0000820027-04-000822.hdr.sgml : 20040929 20040929095536 ACCESSION NUMBER: 0000820027-04-000822 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 20040731 FILED AS OF DATE: 20040929 DATE AS OF CHANGE: 20040929 EFFECTIVENESS DATE: 20040929 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: 041051339 BUSINESS ADDRESS: STREET 1: 50606 AXP FINANCIAL CENTER STREET 2: H27/52 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 6126712772 MAIL ADDRESS: STREET 1: 50606 AXP FINANCIAL CENTER STREET 2: H27/52 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AXP GROWTH FUND INC DATE OF NAME CHANGE: 20000829 FORMER COMPANY: FORMER CONFORMED NAME: IDS GROWTH FUND INC DATE OF NAME CHANGE: 19920703 NSAR-B 1 answer.fil AXP GROWTH SERIES, INC. 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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 2033 044 000300 0 045 000300 Y 046 000300 N 047 000300 N 048 000300 0.000 048 A010300 0 048 A020300 0.000 048 B010300 0 048 B020300 0.000 048 C010300 0 048 C020300 0.000 048 D010300 0 048 D020300 0.000 048 E010300 0 048 E020300 0.000 048 F010300 0 048 F020300 0.000 048 G010300 0 048 G020300 0.000 048 H010300 0 048 H020300 0.000 048 I010300 0 048 I020300 0.000 048 J010300 0 048 J020300 0.000 048 K010300 0 048 K020300 0.000 049 000300 N 050 000300 N 051 000300 Y 052 000300 N 053 A000300 Y 053 B000300 Y 053 C000300 N 054 A000300 Y PAGE 17 054 B000300 Y 054 C000300 Y 054 D000300 N 054 E000300 N 054 F000300 N 054 G000300 Y 054 H000300 Y 054 I000300 N 054 J000300 Y 054 K000300 N 054 L000300 Y 054 M000300 Y 054 N000300 N 054 O000300 Y 055 A000300 N 055 B000300 N 056 000300 Y 057 000300 N 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MORGAN CHASE 025 B000403 13-3224016 025 C000403 E 025 D000403 2360 025 A000404 PNC FINANCIAL SERVICES GROUP 025 B000404 25-1471636 025 C000404 E 025 D000404 483 025 A000405 CITIGROUP 025 B000405 11-2418191 025 C000405 E 025 D000405 4695 025 A000406 MORGAN STANLEY 025 B000406 13-2655998 025 C000406 E 025 D000406 1468 025 D000407 0 025 D000408 0 028 A010400 4903 028 A020400 0 028 A030400 0 028 A040400 867 028 B010400 6550 028 B020400 0 028 B030400 0 028 B040400 1223 028 C010400 7886 028 C020400 0 028 C030400 0 028 C040400 1709 028 D010400 6856 028 D020400 0 028 D030400 0 028 D040400 1108 028 E010400 7494 028 E020400 0 028 E030400 0 028 E040400 1363 028 F010400 9893 028 F020400 0 028 F030400 0 028 F040400 3428 028 G010400 43582 028 G020400 0 028 G030400 0 PAGE 22 028 G040400 9698 028 H000400 23334 029 000400 Y 030 A000400 439 030 B000400 5.75 030 C000400 0.00 031 A000400 208 031 B000400 0 032 000400 0 033 000400 231 034 000400 Y 035 000400 16 036 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 355 044 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 0 048 I020400 0.000 PAGE 23 048 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 Y 054 B000400 Y 054 C000400 Y 054 D000400 N 054 E000400 N 054 F000400 N 054 G000400 Y 054 H000400 Y 054 I000400 N 054 J000400 Y 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 2000 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 0.0 062 P000400 0.0 PAGE 24 062 Q000400 0.0 062 R000400 0.0 063 A000400 0 063 B000400 0.0 066 A000400 Y 066 B000400 N 066 C000400 Y 066 D000400 N 066 E000400 N 066 F000400 N 066 G000400 N 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 Y 070 Q010400 N 070 Q020400 N 070 R010400 N 070 R020400 N PAGE 25 071 A000400 98389 071 B000400 42792 071 C000400 72413 071 D000400 59 072 A000400 12 072 B000400 47 072 C000400 1623 072 D000400 0 072 E000400 0 072 F000400 447 072 G000400 42 072 H000400 0 072 I000400 141 072 J000400 202 072 K000400 46 072 L000400 0 072 M000400 5 072 N000400 79 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 19 072 S000400 0 072 T000400 355 072 U000400 0 072 V000400 0 072 W000400 4 072 X000400 1340 072 Y000400 227 072 Z000400 557 072AA000400 5215 072BB000400 0 072CC010400 1188 072CC020400 0 072DD010400 293 072DD020400 36 072EE000400 3020 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 83 074 B000400 0 074 C000400 7395 074 D000400 0 074 E000400 7 074 F000400 104521 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 631 PAGE 26 074 K000400 0 074 L000400 240 074 M000400 0 074 N000400 112877 074 O000400 2918 074 P000400 4 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 105 074 S000400 0 074 T000400 109850 074 U010400 12533 074 U020400 8073 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 9323 074 Y000400 0 075 A000400 0 075 B000400 76565 076 000400 0.00 080 A000400 GREAT AMERICAN INSURANCE CO. 080 B000400 TRAVELERS CASUALTY & SURETY CO. OF AMERICA 080 C000400 450 081 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 008 A000501 AMERICAN EXPRESS FINANCIAL CORPORATION 008 B000501 A 008 C000501 801-14721 008 D010501 MINNEAPOLIS 008 D020501 MN 008 D030501 55474 010 A000501 AMERICAN EXPRESS FINANCIAL CORPORATION 010 B000501 801-14721 010 C010501 MINNEAPOLIS 010 C020501 MN 010 C030501 55474 015 A000501 AMERICAN EXPRESS TRUST COMPANY 015 B000501 C 015 C010501 MINNEAPOLIS 015 C020501 MN PAGE 27 015 C030501 55474 015 E010501 X 024 000500 Y 025 A000501 BEAR STEARNS COMPANIES 025 B000501 13-3299429 025 C000501 E 025 D000501 47 025 A000502 J.P. MORGAN CHASE 025 B000502 13-3224016 025 C000502 E 025 D000502 185 025 A000503 SCHWAB (CHARLES) 025 B000503 94-1737782 025 C000503 E 025 D000503 99 025 D000504 0 025 D000505 0 025 D000506 0 025 D000507 0 025 D000508 0 028 A010500 530 028 A020500 -2 028 A030500 0 028 A040500 149 028 B010500 539 028 B020500 0 028 B030500 0 028 B040500 344 028 C010500 785 028 C020500 0 028 C030500 0 028 C040500 96 028 D010500 1079 028 D020500 0 028 D030500 0 028 D040500 259 028 E010500 751 028 E020500 0 028 E030500 0 028 E040500 84 028 F010500 9792 028 F020500 0 028 F030500 0 028 F040500 360 028 G010500 13475 028 G020500 -2 028 G030500 0 028 G040500 1292 028 H000500 1635 029 000500 Y 030 A000500 63 PAGE 28 030 B000500 5.75 030 C000500 0.00 031 A000500 27 031 B000500 0 032 000500 0 033 000500 36 034 000500 Y 035 000500 2 036 A000500 N 036 B000500 0 037 000500 N 038 000500 0 039 000500 N 040 000500 Y 041 000500 Y 042 A000500 0 042 B000500 0 042 C000500 0 042 D000500 0 042 E000500 0 042 F000500 0 042 G000500 0 042 H000500 100 043 000500 49 044 000500 0 045 000500 Y 046 000500 N 047 000500 N 048 000500 0.000 048 A010500 0 048 A020500 0.000 048 B010500 0 048 B020500 0.000 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 0 048 K020500 0.000 PAGE 29 049 000500 N 050 000500 N 051 000500 Y 052 000500 N 053 A000500 Y 053 B000500 Y 053 C000500 N 054 A000500 Y 054 B000500 Y 054 C000500 Y 054 D000500 N 054 E000500 N 054 F000500 N 054 G000500 Y 054 H000500 Y 054 I000500 N 054 J000500 Y 054 K000500 N 054 L000500 Y 054 M000500 Y 054 N000500 N 054 O000500 Y 055 A000500 N 055 B000500 N 056 000500 Y 057 000500 N 058 A000500 N 059 000500 Y 060 A000500 Y 060 B000500 Y 061 000500 2000 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 063 A000500 0 063 B000500 0.0 PAGE 30 066 A000500 Y 066 B000500 N 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 N 069 000500 N 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 N 070 C020500 N 070 D010500 Y 070 D020500 N 070 E010500 N 070 E020500 N 070 F010500 Y 070 F020500 Y 070 G010500 N 070 G020500 N 070 H010500 Y 070 H020500 N 070 I010500 N 070 I020500 N 070 J010500 Y 070 J020500 N 070 K010500 Y 070 K020500 N 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 N 070 N010500 Y 070 N020500 N 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 N 070 Q010500 N 070 Q020500 N 070 R010500 N 070 R020500 N 071 A000500 23947 071 B000500 8521 071 C000500 13410 071 D000500 64 PAGE 31 072 A000500 12 072 B000500 2 072 C000500 232 072 D000500 0 072 E000500 0 072 F000500 84 072 G000500 6 072 H000500 0 072 I000500 17 072 J000500 22 072 K000500 30 072 L000500 0 072 M000500 0 072 N000500 39 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 18 072 S000500 0 072 T000500 49 072 U000500 0 072 V000500 0 072 W000500 0 072 X000500 265 072 Y000500 102 072 Z000500 71 072AA000500 825 072BB000500 0 072CC010500 336 072CC020500 0 072DD010500 33 072DD020500 1 072EE000500 243 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 163 074 B000500 0 074 C000500 2597 074 D000500 0 074 E000500 0 074 F000500 25120 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 0 074 K000500 0 074 L000500 29 074 M000500 0 074 N000500 27909 PAGE 32 074 O000500 2398 074 P000500 1 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 60 074 S000500 0 074 T000500 25450 074 U010500 2265 074 U020500 2017 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 1275 074 Y000500 0 075 A000500 0 075 B000500 13682 076 000500 0.00 080 A000500 GREAT AMERICAN INSURANCE CO. 080 B000500 TRAVELERS CASUALTY & SURETY CO. OF AMERICA 080 C000500 450 081 A000500 N 081 B000500 0 082 A000500 N 082 B000500 0 083 A000500 N 083 B000500 0 084 A000500 N 084 B000500 0 085 A000500 Y 085 B000500 N SIGNATURE TITLE This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: September 24, 2004 Name of Registrant, Depositor, or Trustee: /s/ Jeffrey P. Fox By (Name and Title): -------------------- Jeffrey P. Fox - Treasurer and Chief Financial Officer /s/ Steven A. Turbenson Witness (Name and Title): ------------------------ Steven A. Turbenson - Assistant Treasurer AXP Growth Series, Inc. EX-99.77B ACCT LTTR 2 ex99-77b.txt REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Report of Independent Registered Public Accounting Firm The Board of Directors and Shareholders AXP Growth Series, Inc.: In planning and performing our audits of the financial statements of AXP Growth Fund, AXP Large Cap Equity Fund, AXP Large Cap Value Fund, and AXP Quantitative Large Cap Equity Fund (series within AXP Growth Series, Inc.) for the year ended July 31, 2004, we considered their 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 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, error 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 internal control would not necessarily disclose all matters in the internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). 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 internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as July 31, 2004. 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 20, 2004 EX-99.77C VOTES 3 ex99-77c.txt RESULTS OF AXP RESEARCH OPPORTUNITIES FUND SPECIAL MEETING OF SHAREHOLDERS HELD ON JUNE 9, 2004 Exhibit 77C for AXP Growth Series, Inc. RESULTS OF AXP RESEARCH OPPORTUNITIES FUND SPECIAL MEETING OF SHAREHOLDERS HELD ON JUNE 9, 2004 (Unaudited) A brief description of the proposal voted upon at the meeting and the number of votes cast for, against or withheld, as well as the number of abstentions and broker non-votes as to the proposal is set forth below. To approve an Agreement and Plan of Reorganization between the Fund and AXP Large Cap Equity Fund. Dollars Voted "For" Dollars Voted "Against" Abstentions Broker Non-Votes 138,520,018.516 5,723,185.160 6,945,513.882 0.000 EX-99.77H CHNG CNTRL 4 ex99-77h.txt CHANGES IN CONTROL OF REGISTRANT Exhibit 77H For AXP Quantitative Large Cap Equity Fund: On February 19, 2004, the AXP Portfolio Builder Funds, six affiliated funds-of-funds, and American Express Financial Corporation, through its initial capital investment, were owners of record of more than 25% of the outstanding shares of the Fund. EX-99.77I NEW SECUR 5 ex99-77i.txt CLASS I SHARES Exhibit 77I for AXP Growth Series, Inc. For AXP Quantitative Large Cap Equity Fund: Class I shares are offered exclusively to certain institutional investors at net asset value without an initial sales charge or contingent deferred sales charge on redemption. Class I shares do not have annual distribution and service fees, and do not convert to any other class of shares. Eligible investors include any fund distributed by American Express Financial Advisors Inc., if the fund seeks to achieve its investment objective by investing primarily in shares of the Fund and other American Express Funds. EX-99.77M MERGERS 6 ex99-77m.txt MERGER OF AXP(R) BLUE CHIP ADVANTAGE FUND AND AXP(R) RESEARCH OPPORTUNITIES FUND INTO AXP(R) LARGE CAP EQUITY FUND Exhibit 77M for AXP(R) Growth Series, Inc. Merger of AXP(R) Blue Chip Advantage Fund and AXP(R) Research Opportunities Fund into AXP(R) Large Cap Equity Fund On June 25, 2004, AXP Blue Chip Advantage Fund (a Selling Fund), a series of AXP Market Advantage Series, Inc. (the Selling Corporation), and AXP Research Opportunities Fund (a Selling Fund), a series of AXP Growth Series, Inc. (the Buying Corporation), merged into AXP Large Cap Equity Fund (the Buying Fund), a series of the Buying Corporation. Board action: Board members of the Selling Corporation and the Buying Corporation, at meetings held on January 7-8, 2004, approved an Agreement and Plan of Reorganization (Agreement). Each Board determined that participation in the reorganization was in the best interests of the respective Fund and that the interests of existing shareholders of the respective Fund would not be diluted as a result of the reorganization. Shareholder approval: The shareholders of each Selling Fund approved an Agreement between the respective Selling Fund and the Buying Fund at shareholder meetings held on June 9, 2004. Terms of the Reorganization: Under the Agreement, each Selling Fund transferred all of its assets to the Buying Fund in exchange for Class A, B, C and Y shares of the Buying Fund. Those shares were distributed proportionately to the shareholders of the respective Selling Funds. The Buying Fund assumed the liabilities of each Selling Fund. The shareholders did not pay any sales charge in connection with the distribution of shares. American Express Financial Corporation agreed to bear the costs of effecting the Reorganization. -----END PRIVACY-ENHANCED MESSAGE-----