-----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, CHBKi5WtLnSiCN0p7AC6Kaf1nkplQgcDZpydRvESX5m7JyjExXZGfL/fkdEGap1N 1YXx72MAZjfW2Fey36qW+A== 0000950123-09-018273.txt : 20090629 0000950123-09-018273.hdr.sgml : 20090629 20090629080054 ACCESSION NUMBER: 0000950123-09-018273 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090430 FILED AS OF DATE: 20090629 DATE AS OF CHANGE: 20090629 EFFECTIVENESS DATE: 20090629 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE LARGE CAP SERIES, INC. CENTRAL INDEX KEY: 0000049702 IRS NUMBER: 410962638 STATE OF INCORPORATION: MN FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-02111 FILM NUMBER: 09914414 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 GROWTH SERIES INC/MN DATE OF NAME CHANGE: 20001011 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 0000049702 S000003287 RiverSource Disciplined Equity Fund C000008741 RiverSource Disciplined Equity Fund Class B AQEBX C000008742 RiverSource Disciplined Equity Fund Class C RDCEX C000008744 RiverSource Disciplined Equity Fund Class A AQEAX C000008745 RiverSource Disciplined Equity Fund Class I ALEIX C000042888 RiverSource Disciplined Equity Fund Class R2 C000042889 RiverSource Disciplined Equity Fund Class R3 RSDEX C000042890 RiverSource Disciplined Equity Fund Class R4 RQEYX C000042891 RiverSource Disciplined Equity Fund Class R5 RSIPX C000042892 RiverSource Disciplined Equity Fund Class W RDEWX 0000049702 S000003288 RiverSource Growth Fund C000008746 RiverSource Growth Fund Class A INIDX C000008747 RiverSource Growth Fund Class B IGRBX C000008748 RiverSource Growth Fund Class C AXGCX C000008749 RiverSource Growth Fund Class I AGWIX C000042893 RiverSource Growth Fund Class W C000042894 RiverSource Growth Fund Class R2 C000042895 RiverSource Growth Fund Class R3 RSCGX C000042896 RiverSource Growth Fund Class R4 IGRYX C000042897 RiverSource Growth Fund Class R5 RSWHX 0000049702 S000003289 RiverSource Large Cap Equity Fund C000008751 RiverSource Large Cap Equity Fund Class I ALRIX C000008752 RiverSource Large Cap Equity Fund Class A ALEAX C000008753 RiverSource Large Cap Equity Fund Class B ALEBX C000008754 RiverSource Large Cap Equity Fund Class C ARQCX C000042898 RiverSource Large Cap Equity Fund Class R2 C000042899 RiverSource Large Cap Equity Fund Class R3 C000042900 RiverSource Large Cap Equity Fund Class R4 ALEYX C000042901 RiverSource Large Cap Equity Fund Class R5 0000049702 S000003290 RiverSource Large Cap Value Fund C000008756 RiverSource Large Cap Value Fund Class C RLVCX C000008758 RiverSource Large Cap Value Fund Class A ALVAX C000008759 RiverSource Large Cap Value Fund Class B ALVBX C000008760 RiverSource Large Cap Value Fund Class I ALCIX C000042902 RiverSource Large Cap Value Fund Class R2 C000042903 RiverSource Large Cap Value Fund Class R3 C000042904 RiverSource Large Cap Value Fund Class R4 RSLVX C000042905 RiverSource Large Cap Value Fund Class R5 N-Q 1 c51599nvq.txt FORM N-Q 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 811-2111 RIVERSOURCE LARGE CAP SERIES, INC. (Exact name of registrant as specified in charter) 50606 Ameriprise Financial Center, Minneapolis, Minnesota 55474 (Address of principal executive offices) (Zip code)
Scott R. Plummer - 5228 Ameriprise Financial Center, Minneapolis, MN 55474 (Name and address of agent for service) Registrant's telephone number, including area code: (612) 671-1947 Date of fiscal year end: 7/31 Date of reporting period: 4/30 PORTFOLIO OF INVESTMENTS FOR RIVERSOURCE DISCIPLINED EQUITY FUND AT APRIL 30, 2009 APRIL 30, 2009 (UNAUDITED) (Percentages represent value of investments compared to net assets) INVESTMENTS IN SECURITIES
COMMON STOCKS (98.3%) ISSUER SHARES VALUE(a) AEROSPACE & DEFENSE (0.6%) General Dynamics 144,205 $7,451,073 United Technologies 64,197 3,135,381 --------------- Total 10,586,454 - ------------------------------------------------------------------------------------- AIR FREIGHT & LOGISTICS (0.4%) CH Robinson Worldwide 53,839(d) 2,862,081 FedEx 68,133(d) 3,812,723 --------------- Total 6,674,804 - ------------------------------------------------------------------------------------- AIRLINES (0.1%) Southwest Airlines 273,867 1,911,592 - ------------------------------------------------------------------------------------- AUTOMOBILES (0.8%) Ford Motor 1,518,855(b,d) 9,082,754 General Motors 561,121(d) 1,077,352 Harley-Davidson 144,208(d) 3,195,649 --------------- Total 13,355,755 - ------------------------------------------------------------------------------------- BEVERAGES (3.4%) Brown-Forman Cl B 42,720 1,986,480 Coca-Cola 568,927(d) 24,492,307 PepsiCo 690,410 34,354,802 --------------- Total 60,833,589 - ------------------------------------------------------------------------------------- BIOTECHNOLOGY (3.1%) Amgen 920,130(b) 44,598,701 Cephalon 51,854(b,d) 3,402,141 Gilead Sciences 157,104(b,d) 7,195,363 --------------- Total 55,196,205 - ------------------------------------------------------------------------------------- BUILDING PRODUCTS (--%) Masco 40,969 362,985 - ------------------------------------------------------------------------------------- CAPITAL MARKETS (2.1%) Charles Schwab 99,290 1,834,879 E*TRADE Financial 256,004(b,d) 366,086 Goldman Sachs Group 43,786(d) 5,626,501 Morgan Stanley 998,145(d) 23,596,148 State Street 155,918(d) 5,321,481 T Rowe Price Group 28,175(d) 1,085,301 --------------- Total 37,830,396 - ------------------------------------------------------------------------------------- CHEMICALS (1.6%) CF Inds Holdings 31,771 2,289,101 Dow Chemical 1,195,427(d) 19,126,832 EI du Pont de Nemours & Co 125,659(d) 3,505,886 PPG Inds 66,308(d) 2,920,867 --------------- Total 27,842,686 - ------------------------------------------------------------------------------------- COMMERCIAL BANKS (1.2%) BB&T 186,327(d) 4,348,872 Comerica 33,569(d) 704,278 Fifth Third Bancorp 125,838(d) 515,936 First Horizon Natl 17,631 44,891 Huntington Bancshares 363,386(d) 1,013,847 KeyCorp 49,391(d) 303,755 Marshall & Ilsley 169,248(d) 978,253 PNC Financial Services Group 252,646(d) 10,030,046 SunTrust Banks 164,950(d) 2,381,878 Synovus Financial 135,983(d) 439,225 Wells Fargo & Co 56,909(d) 1,138,749 --------------- Total 21,899,730 - ------------------------------------------------------------------------------------- COMMERCIAL SERVICES & SUPPLIES (0.4%) Avery Dennison 38,795 1,114,968 Republic Services 155,704 3,269,784 RR Donnelley & Sons 79,664 928,086 Waste Management 82,854(d) 2,209,716 --------------- Total 7,522,554 - ------------------------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (1.6%) Cisco Systems 243,408(b) 4,702,643 Corning 625,708(d) 9,147,851 Motorola 248,544(d) 1,374,448 QUALCOMM 297,886 12,606,535 --------------- Total 27,831,477 - ------------------------------------------------------------------------------------- COMPUTERS & PERIPHERALS (3.3%) Dell 817,705(b,d) 9,501,732 IBM 434,929(d,e) 44,889,022 Lexmark Intl Cl A 180,264(b,d) 3,536,780 QLogic 13,002(b,d) 184,368 --------------- Total 58,111,902 - ------------------------------------------------------------------------------------- CONSTRUCTION & ENGINEERING (0.2%) Fluor 75,474 2,858,200 - ------------------------------------------------------------------------------------- CONSUMER FINANCE (0.2%) American Express 68,310(d) 1,722,778 SLM 210,091(b,d) 1,014,740 --------------- Total 2,737,518 - ------------------------------------------------------------------------------------- DISTRIBUTORS (0.1%) Genuine Parts 54,416(d) 1,847,967 - ------------------------------------------------------------------------------------- DIVERSIFIED CONSUMER SERVICES (0.4%) Apollo Group Cl A 76,630(b) 4,823,859 H&R Block 178,523 2,702,838 --------------- Total 7,526,697 - ------------------------------------------------------------------------------------- DIVERSIFIED FINANCIAL SERVICES (4.3%) Bank of America 3,198,568(d) 28,563,212 CIT Group 293,875(d) 652,403 Citigroup 5,968,599(d) 18,204,227 JPMorgan Chase & Co 863,779(d) 28,504,707 --------------- Total 75,924,549 - ------------------------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (1.0%) Embarq 51,587 1,886,021 Frontier Communications 173,926 1,236,614 Verizon Communications 482,010 14,624,183 --------------- Total 17,746,818 - ------------------------------------------------------------------------------------- ELECTRIC UTILITIES (1.2%) Northeast Utilities 90,561 1,903,592 Progress Energy 95,261(d) 3,250,305 Southern 557,473(d) 16,099,821 --------------- Total 21,253,718 - ------------------------------------------------------------------------------------- ELECTRICAL EQUIPMENT (0.3%) Emerson Electric 155,014(d) 5,276,677 - ------------------------------------------------------------------------------------- ELECTRONIC EQUIPMENT, INSTRUMENTS & COMPONENTS (0.3%) FLIR Systems 50,365(b) 1,117,096 Tyco Electronics 224,407(c,d) 3,913,658 --------------- Total 5,030,754 - ------------------------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (1.7%) Baker Hughes 135,996(d) 4,838,738 BJ Services 28,508(d) 395,976 Diamond Offshore Drilling 28,896(d) 2,092,359 ENSCO Intl 84,641 2,393,647 Halliburton 345,824 6,992,562 Nabors Inds 60,736(b,c,d) 923,795 Natl Oilwell Varco 197,191(b) 5,970,943
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 1 RIVERSOURCE DISCIPLINED EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued)
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) ENERGY EQUIPMENT & SERVICES (CONT.) Noble 84,450(d) $2,308,019 Smith Intl 50,852 1,314,524 Weatherford Intl 137,134(b,d) 2,280,538 --------------- Total 29,511,101 - ------------------------------------------------------------------------------------- FOOD & STAPLES RETAILING (3.4%) SUPERVALU 79,252(d) 1,295,770 SYSCO 103,485(d) 2,414,305 Walgreen 155,755 4,895,380 Wal-Mart Stores 1,033,663 52,096,615 --------------- Total 60,702,070 - ------------------------------------------------------------------------------------- FOOD PRODUCTS (1.3%) Campbell Soup 74,438(d) 1,914,545 Dean Foods 27,032(b) 559,562 General Mills 244,453 12,391,323 JM Smucker 66,166(d) 2,606,940 Kellogg 91,146 3,838,158 Sara Lee 136,099 1,132,344 --------------- Total 22,442,872 - ------------------------------------------------------------------------------------- GAS UTILITIES (0.1%) Questar 71,190 2,115,767 - ------------------------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (0.6%) Becton Dickinson & Co 52,477(d) 3,173,809 Covidien 182,195(c) 6,008,791 Varian Medical Systems 52,680(b,d) 1,757,932 --------------- Total 10,940,532 - ------------------------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (1.5%) Cardinal Health 71,711 2,423,115 CIGNA 310,306 6,116,131 DaVita 54,848(b) 2,543,302 Quest Diagnostics 108,761 5,582,702 UnitedHealth Group 420,955 9,900,861 --------------- Total 26,566,111 - ------------------------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (3.1%) Intl Game Technology 117,047 1,445,530 McDonald's 991,019 52,811,403 Wyndham Worldwide 46,479 542,875 --------------- Total 54,799,808 - ------------------------------------------------------------------------------------- HOUSEHOLD DURABLES (0.5%) Black & Decker 29,679(d) 1,196,064 Centex 121,143 1,325,304 DR Horton 125,815(d) 1,641,886 KB Home 36,839 665,681 Leggett & Platt 116,545 1,673,587 Lennar Cl A 85,838(d) 836,062 Pulte Homes 111,499(d) 1,283,353 Stanley Works 13,005(d) 494,580 --------------- Total 9,116,517 - ------------------------------------------------------------------------------------- HOUSEHOLD PRODUCTS (5.0%) Clorox 74,104 4,153,529 Colgate-Palmolive 212,124(d) 12,515,316 Kimberly-Clark 79,020 3,883,043 Procter & Gamble 1,385,170(d) 68,482,805 --------------- Total 89,034,693 - ------------------------------------------------------------------------------------- INDEPENDENT POWER PRODUCERS & ENERGY TRADERS (--%) Constellation Energy Group 19,392 466,959 - ------------------------------------------------------------------------------------- INDUSTRIAL CONGLOMERATES (0.6%) 3M 102,989(d) 5,932,166 Textron 114,451(d) 1,228,059 Tyco Intl 140,606(c) 3,340,799 --------------- Total 10,501,024 - ------------------------------------------------------------------------------------- INSURANCE (6.0%) ACE 95,219(c) 4,410,544 AFLAC 138,963(d) 4,014,641 Allstate 913,087 21,302,319 Ambac Financial Group 288,197(d) 262,259 American Intl Group 1,536,860(d) 2,120,867 Aon 192,726 8,133,037 Assurant 63,505 1,552,062 Chubb 121,628 4,737,411 Cincinnati Financial 28,900(d) 692,155 Genworth Financial Cl A 656,721(d) 1,549,862 Hartford Financial Services Group 200,394 2,298,519 Lincoln Natl 120,907 1,358,995 Marsh & McLennan Companies 179,917 3,794,450 MBIA 209,475(b,d) 990,817 MetLife 374,982(d) 11,155,715 Principal Financial Group 154,735 2,528,370 Progressive 656,390(b) 10,029,639 Prudential Financial 135,671 3,918,178 Torchmark 66,836(d) 1,960,300 Travelers Companies 454,944 18,716,395 Unum Group 120,100(d) 1,962,434 XL Capital Cl A 210,930(c) 2,005,944 --------------- Total 109,494,913 - ------------------------------------------------------------------------------------- IT SERVICES (1.0%) Affiliated Computer Services Cl A 20,399(b) 986,904 Automatic Data Processing 242,481(d) 8,535,331 Computer Sciences 62,990(b) 2,328,110 MasterCard Cl A 12,360(d) 2,267,442 Paychex 98,702(d) 2,665,941 Total System Services 17,806 222,041 --------------- Total 17,005,769 - ------------------------------------------------------------------------------------- LEISURE EQUIPMENT & PRODUCTS (0.3%) Brunswick 100,213(d) 599,274 Eastman Kodak 232,404(d) 708,832 Hasbro 24,216 645,599 Mattel 221,386(d) 3,311,934 --------------- Total 5,265,639 - ------------------------------------------------------------------------------------- MACHINERY (1.6%) Cummins 95,151 3,235,134 Deere & Co 154,045 6,355,896 Dover 34,526(d) 1,062,710 Eaton 37,910 1,660,458 Flowserve 23,515 1,596,669 Illinois Tool Works 168,056(d) 5,512,237 Ingersoll-Rand Cl A 250,754(c) 5,458,915 Manitowoc 41,277(d) 245,598 Parker Hannifin 58,170 2,638,010 --------------- Total 27,765,627 - ------------------------------------------------------------------------------------- MEDIA (1.5%) CBS Cl B 225,050 1,584,352 Comcast Cl A 984,023(d) 15,212,995 DIRECTV Group 204,716(b,d) 5,062,627 Gannett 498,635(d) 1,949,663 Meredith 14,134 354,481 New York Times Cl A 109,515(d) 589,191 News Corp Cl A 259,074(d) 2,139,951 --------------- Total 26,893,260 - ------------------------------------------------------------------------------------- METALS & MINING (1.0%) AK Steel Holding 105,674 1,374,819 Alcoa 279,008(d) 2,530,603 Freeport-McMoRan Copper & Gold 155,338(d) 6,625,165 Nucor 145,212(d) 5,908,676 United States Steel 45,547(d) 1,209,273 --------------- Total 17,648,536 - ------------------------------------------------------------------------------------- MULTILINE RETAIL (0.6%) Big Lots 49,161(b) 1,358,810 Family Dollar Stores 137,895 4,576,735 JC Penney 50,077 1,536,863 Kohl's 65,693(b,d) 2,979,178 Macy's 66,493(d) 909,624 --------------- Total 11,361,210 - ------------------------------------------------------------------------------------- MULTI-UTILITIES (1.1%) Consolidated Edison 144,018(d) 5,347,388 PG&E 262,213(d) 9,733,347 SCANA 63,730 1,925,921 Xcel Energy 157,291 2,900,446 --------------- Total 19,907,102 - ------------------------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (13.5%) Anadarko Petroleum 184,214(d) 7,932,255 Apache 49,069 3,575,167 Chesapeake Energy 197,230(d) 3,887,403 Chevron 1,491,004(d) 98,555,364 ConocoPhillips 561,368 23,016,088 CONSOL Energy 72,035 2,253,255 EOG Resources 104,193(d) 6,614,172 Exxon Mobil 563,560(d) 37,572,545 Hess 134,042 7,344,161 Marathon Oil 363,777 10,804,177 Massey Energy 104,037(d) 1,655,229 Murphy Oil 90,076 4,297,526 Occidental Petroleum 405,601(d) 22,831,280 Peabody Energy 57,691(d) 1,522,465 Pioneer Natural Resources 4,948(d) 114,398 Sunoco 54,967(d) 1,457,175 Tesoro 98,048(d) 1,495,232 Valero Energy 170,934(d) 3,391,331 Williams Companies 255,902 3,608,218 --------------- Total 241,927,441 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 2 RIVERSOURCE DISCIPLINED EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued)
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) PHARMACEUTICALS (12.9%) Bristol-Myers Squibb 373,524 $7,171,661 Eli Lilly & Co 243,102(d) 8,002,918 Forest Laboratories 200,439(b) 4,347,522 Johnson & Johnson 1,640,525(d) 85,897,889 King Pharmaceuticals 400,546(b) 3,156,302 Merck & Co 579,260(d) 14,041,262 Mylan 53,769(b,d) 712,439 Pfizer 6,000,725(d) 80,169,686 Schering-Plough 828,999(d) 19,083,557 Wyeth 198,650(d) 8,422,760 --------------- Total 231,005,996 - ------------------------------------------------------------------------------------- ROAD & RAIL (1.0%) Burlington Northern Santa Fe 46,918 3,166,027 CSX 67,309 1,991,673 Norfolk Southern 175,256(d) 6,253,135 Ryder System 54,245 1,502,044 Union Pacific 84,832(d) 4,168,644 --------------- Total 17,081,523 - ------------------------------------------------------------------------------------- SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (2.7%) Altera 43,115(d) 703,206 Intel 2,539,530 40,073,783 Linear Technology 91,542(d) 1,993,785 MEMC Electronic Materials 144,127(b) 2,334,857 Microchip Technology 49,886(d) 1,147,378 NVIDIA 95,822(b,d) 1,100,037 Xilinx 54,754 1,119,172 --------------- Total 48,472,218 - ------------------------------------------------------------------------------------- SOFTWARE (3.4%) Intuit 115,857(b) 2,679,772 Microsoft 1,151,519 23,329,775 Oracle 1,507,562 29,156,249 Symantec 280,447(b,d) 4,837,711 --------------- Total 60,003,507 - ------------------------------------------------------------------------------------- SPECIALTY RETAIL (5.6%) Abercrombie & Fitch Cl A 133,207(d) 3,604,581 AutoNation 9,006(b) 159,496 AutoZone 17,474(b,d) 2,907,499 Bed Bath & Beyond 144,495(b,d) 4,395,538 Best Buy 144,404(d) 5,542,226 Gap 286,082 4,445,714 Home Depot 1,935,718(d,e) 50,948,098 Limited Brands 114,145(d) 1,303,536 Lowe's Companies 752,480(d) 16,178,320 Office Depot 149,209(b) 386,451 O'Reilly Automotive 92,613(b,d) 3,598,015 RadioShack 40,362(d) 568,297 Sherwin-Williams 53,160(d) 3,010,982 Staples 28,256 582,639 TJX Companies 76,140(d) 2,129,636 --------------- Total 99,761,028 - ------------------------------------------------------------------------------------- TEXTILES, APPAREL & LUXURY GOODS (0.6%) Coach 206,729(b) 5,064,860 Jones Apparel Group 116,009 1,071,923 Liz Claiborne 229,550 1,088,067 Nike Cl B 51,608(d) 2,707,872 VF 25,276(d) 1,498,109 --------------- Total 11,430,831 - ------------------------------------------------------------------------------------- THRIFTS & MORTGAGE FINANCE (0.4%) Fannie Mae 1,336,093(d) 1,022,111 Freddie Mac 794,150(d) 615,466 MGIC Investment 154,094(d) 394,481 People's United Financial 278,210 4,345,640 --------------- Total 6,377,698 - ------------------------------------------------------------------------------------- TOBACCO (0.2%) Lorillard 58,203 3,674,355 - ------------------------------------------------------------------------------------- TRADING COMPANIES & DISTRIBUTORS (0.2%) Fastenal 47,200(d) 1,810,592 WW Grainger 29,299(d) 2,457,600 --------------- Total 4,268,192 - ------------------------------------------------------------------------------------- WIRELESS TELECOMMUNICATION SERVICES (0.3%) Sprint Nextel 1,090,011(b,d) 4,752,448 - ------------------------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $2,701,880,938) $1,750,457,774 - ------------------------------------------------------------------------------------- MONEY MARKET FUND (1.6%) SHARES VALUE(a) RiverSource Short-Term Cash Fund, 0.28% 27,957,855(f) $27,957,855 - ------------------------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $27,957,855) $27,957,855 - -------------------------------------------------------------------------------------
INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (22.9%) SHARES VALUE(a) CASH COLLATERAL REINVESTMENT FUND JPMorgan Prime Money Market Fund 407,662,190 $407,662,190 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (Cost: $407,662,190) $407,662,190 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $3,137,500,983)(g) $2,186,077,819 =====================================================================================
INVESTMENTS IN DERIVATIVES FUTURES CONTRACTS OUTSTANDING AT APRIL 30, 2009
NUMBER OF UNREALIZED CONTRACTS NOTIONAL EXPIRATION APPRECIATION CONTRACT DESCRIPTION LONG (SHORT) MARKET VALUE DATE (DEPRECIATION) - ------------------------------------------------------------------------------------------------------------------ S&P 500 Index 130 $28,275,000 June 2009 $1,192,855
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 3 RIVERSOURCE DISCIPLINED EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) NOTES TO PORTFOLIO OF INVESTMENTS (a) Securities are valued by using policies described in Note 1 to the financial statements in the most recent Semiannual Report dated Jan. 31, 2009. (b) Non-income producing. (c) Foreign security values are stated in U.S. dollars. At April 30, 2009, the value of foreign securities represented 1.5% of net assets. (d) At April 30, 2009, security was partially or fully on loan. (e) At April 30, 2009, investments in securities included securities valued at $6,485,426 that were partially pledged as collateral to cover initial margin deposits on open stock index futures contracts. (f) Affiliated Money Market Fund -- The Fund may invest its daily cash balance in RiverSource Short-Term Cash Fund, a money market fund established for the exclusive use of the RiverSource funds and other institutional clients of RiverSource Investments. The rate shown is the seven-day current annualized yield at April 30, 2009. (g) At April 30, 2009, the cost of securities for federal income tax purposes was approximately $3,137,501,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $45,739,000 Unrealized depreciation (997,162,000) ---------------------------------------------------------------------------------------- Net unrealized depreciation $(951,423,000) ----------------------------------------------------------------------------------------
The industries identified above are based on the Global Industry Classification Standard (GICS), which was developed by and is the exclusive property of Morgan Stanley Capital International Inc. and Standard & Poor's, a division of The McGraw-Hill Companies, Inc. FAIR VALUE MEASUREMENTS Statement of Financial Accounting Standards No. 157 (SFAS 157) seeks to implement more uniform reporting relating to the fair valuation of securities for financial statement purposes. Mutual funds are required to implement the requirements of this standard for fiscal years beginning after Nov. 15, 2007. While uniformity of presentation is the objective of the standard, it is likely that there may be a range of practices utilized and it may be some period of time before industry practices become more uniform. For this reason care should be exercised in interpreting this information and/or using it for comparison with other mutual funds. Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in the three broad levels listed below: - Level 1 -- quoted prices in active markets for identical securities - Level 2 -- other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.) - Level 3 -- significant unobservable inputs (including the Fund's own assumptions in determining the fair value of investments) Observable inputs are those based on market data obtained from sources independent of the Fund, and unobservable inputs reflect the Fund's own assumptions based on the best information available. The input levels are not necessarily an indication of the risk or liquidity associated with investments at that level. The following table is a summary of the inputs used to value the Fund's investments as of April 30, 2009:
FAIR VALUE AT APRIL 30, 2009 ----------------------------------------------------------------- LEVEL 1 LEVEL 2 QUOTED PRICES OTHER LEVEL 3 IN ACTIVE SIGNIFICANT SIGNIFICANT MARKETS FOR OBSERVABLE UNOBSERVABLE DESCRIPTION IDENTICAL ASSETS INPUTS INPUTS TOTAL - ----------------------------------------------------------------------------------------------------------------- Investments in securities $2,186,077,819 $-- $-- $2,186,077,819 Other financial instruments* 1,192,855 -- -- 1,192,855 - ----------------------------------------------------------------------------------------------------------------- Total $2,187,270,674 $-- $-- $2,187,270,674 - -----------------------------------------------------------------------------------------------------------------
* Other financial instruments are derivative instruments, such as futures, which are valued at the unrealized appreciation (depreciation) on the instrument 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 riversource.com/funds. - -------------------------------------------------------------------------------- 4 RIVERSOURCE DISCIPLINED EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS FOR RIVERSOURCE GROWTH FUND AT APRIL 30, 2009 APRIL 30, 2009 (UNAUDITED) (Percentages represent value of investments compared to net assets) INVESTMENTS IN SECURITIES
COMMON STOCKS (98.7%) ISSUER SHARES VALUE(a) AEROSPACE & DEFENSE (2.3%) Boeing 145,473(e) $5,826,194 Honeywell Intl 218,100 6,806,901 Lockheed Martin 182,800 14,355,284 --------------- Total 26,988,379 - ------------------------------------------------------------------------------------- AIR FREIGHT & LOGISTICS (0.6%) United Parcel Service Cl B 142,700(e) 7,468,918 - ------------------------------------------------------------------------------------- AIRLINES (0.5%) Delta Air Lines 850,100(b) 5,245,117 - ------------------------------------------------------------------------------------- BEVERAGES (2.0%) PepsiCo 464,864(e) 23,131,633 - ------------------------------------------------------------------------------------- BIOTECHNOLOGY (3.2%) Amgen 105,160(b,e) 5,097,105 Biogen Idec 127,400(b) 6,158,516 Celgene 120,500(b,e) 5,147,760 Gilead Sciences 321,465(b,e) 14,723,097 Vertex Pharmaceuticals 191,700(b,e) 5,908,194 --------------- Total 37,034,672 - ------------------------------------------------------------------------------------- CAPITAL MARKETS (--%) Lehman Brothers Holdings 372,416(f) 23,742 - ------------------------------------------------------------------------------------- CHEMICALS (2.9%) Monsanto 171,928(e) 14,594,968 Potash Corp of Saskatchewan 227,400(c) 19,667,826 --------------- Total 34,262,794 - ------------------------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (5.8%) Cisco Systems 1,590,572(b,e) 30,729,851 QUALCOMM 861,189 36,445,519 --------------- Total 67,175,370 - ------------------------------------------------------------------------------------- COMPUTERS & PERIPHERALS (9.7%) Apple 316,559(b,e) 39,832,619 Hewlett-Packard 1,389,484(e) 49,993,633 IBM 236,800(e) 24,440,128 --------------- Total 114,266,380 - ------------------------------------------------------------------------------------- CONSTRUCTION & ENGINEERING (0.7%) Foster Wheeler 195,300(b) 4,204,809 KBR 265,797 4,151,749 --------------- Total 8,356,558 - ------------------------------------------------------------------------------------- CONSUMER FINANCE (0.6%) Capital One Financial 412,100(e) 6,898,554 - ------------------------------------------------------------------------------------- DIVERSIFIED CONSUMER SERVICES (3.8%) Apollo Group Cl A 237,700(b) 14,963,215 Coinstar 827,900(b,e) 29,464,961 --------------- Total 44,428,176 - ------------------------------------------------------------------------------------- DIVERSIFIED FINANCIAL SERVICES (0.6%) Interactive Brokers Group Cl A 508,500(b) 7,500,375 - ------------------------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (1.0%) Qwest Communications Intl 2,878,935(e) 11,199,057 - ------------------------------------------------------------------------------------- ELECTRICAL EQUIPMENT (0.6%) ABB ADR 489,700(c,e) 6,963,534 - ------------------------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (5.0%) Natl Oilwell Varco 384,000(b) 11,627,520 Noble 722,900(e) 19,756,857 Transocean 390,600(b,c) 26,357,688 --------------- Total 57,742,065 - ------------------------------------------------------------------------------------- FOOD & STAPLES RETAILING (4.4%) CVS Caremark 1,227,563 39,011,952 Wal-Mart Stores 230,000(e) 11,592,000 --------------- Total 50,603,952 - ------------------------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (2.8%) Alcon 125,800(c) 11,574,858 Baxter Intl 111,072 5,386,992 Boston Scientific 841,591(b,e) 7,077,780 Medtronic 252,500 8,080,000 --------------- Total 32,119,630 - ------------------------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (2.7%) AmerisourceBergen 152,400 5,126,736 Medco Health Solutions 222,118(b,e) 9,673,239 UnitedHealth Group 237,140 5,577,533 WellPoint 260,900(b) 11,156,084 --------------- Total 31,533,592 - ------------------------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (3.2%) McDonald's 629,100(e) 33,524,739 Royal Caribbean Cruises 237,700(e) 3,501,321 --------------- Total 37,026,060 - ------------------------------------------------------------------------------------- HOUSEHOLD DURABLES (1.1%) NVR 26,000(b,e) 13,139,620 - ------------------------------------------------------------------------------------- INDUSTRIAL CONGLOMERATES (0.3%) 3M 55,400 3,191,040 - ------------------------------------------------------------------------------------- INSURANCE (3.0%) ACE 123,600(c) 5,725,152 AFLAC 801,141(e) 23,144,963 Prudential Financial 205,600 5,937,728 --------------- Total 34,807,843 - ------------------------------------------------------------------------------------- INTERNET SOFTWARE & SERVICES (2.1%) Google Cl A 60,509(b,e) 23,959,749 - ------------------------------------------------------------------------------------- IT SERVICES (1.5%) MasterCard Cl A 95,764(e) 17,567,906 - ------------------------------------------------------------------------------------- LIFE SCIENCES TOOLS & SERVICES (0.6%) Illumina 190,300(b,e) 7,107,705 - ------------------------------------------------------------------------------------- MACHINERY (2.4%) Deere & Co 352,400(e) 14,540,024 ITT 208,200 8,538,282 Joy Global 172,100(e) 4,388,550 --------------- Total 27,466,856 - ------------------------------------------------------------------------------------- MEDIA (4.9%) Comcast Cl A 1,356,636(e) 20,973,593 Time Warner Cable 283,492 9,136,947 Virgin Media 3,477,614(d) 26,847,180 --------------- Total 56,957,720 - ------------------------------------------------------------------------------------- METALS & MINING (2.4%) Barrick Gold 461,900(c) 13,441,290 Lihir Gold 3,330,123(b,c) 7,258,101 United States Steel 257,700(e) 6,841,935 --------------- Total 27,541,326 - ------------------------------------------------------------------------------------- MULTILINE RETAIL (2.1%) Target 578,100(e) 23,852,406 - ------------------------------------------------------------------------------------- MULTI-UTILITIES (0.5%) Public Service Enterprise Group 178,200 5,317,488 - ------------------------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (2.3%) Apache 119,600 8,714,056 Devon Energy 22,262 1,154,285 Kinder Morgan Management LLC 42,621(b) 17 Noble Energy 297,800(e) 16,900,150 --------------- Total 26,768,508 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 1 RIVERSOURCE GROWTH FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) ------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) PERSONAL PRODUCTS (1.1%) Mead Johnson Nutrition Cl A 448,900(b,e) $12,681,425 - ------------------------------------------------------------------------------------- PHARMACEUTICALS (2.9%) Abbott Laboratories 231,200(e) 9,675,720 Allergan 90,600(e) 4,227,396 Mylan 800,100(b,e) 10,601,325 Schering-Plough 421,300 9,698,326 --------------- Total 34,202,767 - ------------------------------------------------------------------------------------- PROFESSIONAL SERVICES (0.7%) FTI Consulting 144,300(b,e) 7,919,184 - ------------------------------------------------------------------------------------- ROAD & RAIL (1.6%) CSX 196,700 5,820,353 Union Pacific 257,100(e) 12,633,894 --------------- Total 18,454,247 - ------------------------------------------------------------------------------------- SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (4.7%) Intel 720,959(e) 11,376,733 Marvell Technology Group 2,252,925(b,c) 24,737,117 Microsemi 1,346,500(b,e) 18,070,030 --------------- Total 54,183,880 - ------------------------------------------------------------------------------------- SOFTWARE (10.1%) Macrovision Solutions 1,205,400(b) 24,373,188 McAfee 367,300(b,e) 13,788,442 Microsoft 1,935,800 39,219,308 Oracle 2,143,420 41,453,742 --------------- Total 118,834,680 - ------------------------------------------------------------------------------------- TOBACCO (2.0%) Philip Morris Intl 647,671 23,445,690 - ------------------------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $1,145,432,874) $1,147,368,598 - ------------------------------------------------------------------------------------- MONEY MARKET FUND (1.6%) SHARES VALUE(a) RiverSource Short-Term Cash Fund, 0.28% 18,804,382(g) $18,804,382 - ------------------------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $18,804,382) $18,804,382 - ------------------------------------------------------------------------------------- INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (17.8%) SHARES VALUE(a) CASH COLLATERAL REINVESTMENT FUND JPMorgan Prime Money Market Fund 206,761,153 $206,761,153 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (Cost: $206,761,153) $206,761,153 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $1,370,998,409)(h) $1,372,934,133 =====================================================================================
NOTES TO PORTFOLIO OF INVESTMENTS (a) Securities are valued by using policies described in Note 1 to the financial statements in the most recent Semiannual Report dated Jan. 31, 2009. (b) Non-income producing. (c) Foreign security values are stated in U.S. dollars. At April 30, 2009, the value of foreign securities represented 10.0% of net assets. (d) Identifies issues considered to be illiquid as to their marketability. The aggregate value of such securities at April 30, 2009, was $26,847,180 representing 2.3% of net assets. Information concerning such security holdings at April 30, 2009, is as follows:
ACQUISITION SECURITY DATES COST ---------------------------------------------------------------------------- Virgin Media 01-14-08 thru 08-06-08 $46,277,094
(e) At April 30, 2009, security was partially or fully on loan. (f) This position is in bankruptcy. (g) Affiliated Money Market Fund -- The Fund may invest its daily cash balance in RiverSource Short-Term Cash Fund, a money market fund established for the exclusive use of the RiverSource funds and other institutional clients of RiverSource Investments. The rate shown is the seven-day current annualized yield at April 30, 2009. (h) At April 30, 2009, the cost of securities for federal income tax purposes was approximately $1,370,998,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $94,558,000 Unrealized depreciation (92,622,000) --------------------------------------------------------------------------------------- Net unrealized appreciation $1,936,000 ---------------------------------------------------------------------------------------
The industries identified above are based on the Global Industry Classification Standard (GICS), which was developed by and is the exclusive property of Morgan Stanley Capital International Inc. and Standard & Poor's, a division of The McGraw-Hill Companies, Inc. - -------------------------------------------------------------------------------- 2 RIVERSOURCE GROWTH FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) ------------------------------------------ FAIR VALUE MEASUREMENTS Statement of Financial Accounting Standards No. 157 (SFAS 157) seeks to implement more uniform reporting relating to the fair valuation of securities for financial statement purposes. Mutual funds are required to implement the requirements of this standard for fiscal years beginning after Nov. 15, 2007. While uniformity of presentation is the objective of the standard, it is likely that there may be a range of practices utilized and it may be some period of time before industry practices become more uniform. For this reason care should be exercised in interpreting this information and/or using it for comparison with other mutual funds. Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in the three broad levels listed below: - Level 1 -- quoted prices in active markets for identical securities - Level 2 -- other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.) - Level 3 -- significant unobservable inputs (including the Fund's own assumptions in determining the fair value of investments) Observable inputs are those based on market data obtained from sources independent of the Fund, and unobservable inputs reflect the Fund's own assumptions based on the best information available. The input levels are not necessarily an indication of the risk or liquidity associated with investments at that level. The following table is a summary of the inputs used to value the Fund's investments as of April 30, 2009:
FAIR VALUE AT APRIL 30, 2009 ----------------------------------------------------------- LEVEL 1 LEVEL 2 QUOTED PRICES OTHER LEVEL 3 IN ACTIVE SIGNIFICANT SIGNIFICANT MARKETS FOR OBSERVABLE UNOBSERVABLE DESCRIPTION IDENTICAL ASSETS INPUTS INPUTS TOTAL - ---------------------------------------------------------------------------------------------------------------- Investments in securities $1,372,934,133 $-- $-- $1,372,934,133
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 riversource.com/funds. - -------------------------------------------------------------------------------- 3 RIVERSOURCE GROWTH FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS FOR RIVERSOURCE LARGE CAP EQUITY FUND AT APRIL 30, 2009 APRIL 30, 2009 (UNAUDITED) (Percentages represent value of investments compared to net assets) INVESTMENTS IN SECURITIES
COMMON STOCKS (98.9%) ISSUER SHARES VALUE(a) AEROSPACE & DEFENSE (1.1%) AeroVironment 8,500(b) $201,110 American Science & Engineering 3,213 193,615 Boeing 171,584(d) 6,871,939 Ceradyne 25,331(b) 436,706 General Dynamics 172,255 8,900,416 Rockwell Collins 33,368(d) 1,279,663 United Technologies 99,020 4,836,137 --------------- Total 22,719,586 - ------------------------------------------------------------------------------------- AIR FREIGHT & LOGISTICS (0.2%) CH Robinson Worldwide 75,566(d) 4,017,089 Hub Group Cl A 11,894(b) 273,562 Pacer Intl 46,242 196,066 --------------- Total 4,486,717 - ------------------------------------------------------------------------------------- AIRLINES (0.3%) Alaska Air Group 35,201(b) 590,673 Allegiant Travel 8,541(b,d) 444,474 AMR 30,335(b) 144,395 Continental Airlines Cl B 14,891(b,d) 156,653 Delta Air Lines 59,755(b) 368,688 Hawaiian Holdings 65,225(b) 325,473 JetBlue Airways 37,430(b) 184,530 SkyWest 71,912 865,820 Southwest Airlines 448,416(d) 3,129,944 UAL 73,227(b) 360,277 US Airways Group 81,594(b) 309,241 --------------- Total 6,880,168 - ------------------------------------------------------------------------------------- AUTO COMPONENTS (0.2%) Cooper Tire & Rubber 56,651(d) 468,504 Exide Technologies 62,946(b,d) 341,797 Goodyear Tire & Rubber 194,518(b,d) 2,137,752 Johnson Controls 65,605(d) 1,247,151 --------------- Total 4,195,204 - ------------------------------------------------------------------------------------- AUTOMOBILES (0.2%) Ford Motor 249,800(b,d) 1,493,804 General Motors 62,539(d) 120,075 Harley-Davidson 164,139(d) 3,637,320 --------------- Total 5,251,199 - ------------------------------------------------------------------------------------- BEVERAGES (2.9%) Brown-Forman Cl B 56,384 2,621,856 Coca-Cola 631,980 27,206,739 PepsiCo 653,531 32,519,703 --------------- Total 62,348,298 - ------------------------------------------------------------------------------------- BIOTECHNOLOGY (3.8%) Alexion Pharmaceuticals 6,440(b,d) 215,225 Amgen 1,027,141(b) 49,785,523 Cephalon 83,157(b,d) 5,455,931 Emergent BioSolutions 13,873(b) 148,580 Gilead Sciences 480,415(b,d) 22,003,007 Isis Pharmaceuticals 22,135(b,d) 347,077 Myriad Genetics 43,820(b) 1,699,778 NPS Pharmaceuticals 36,398(b) 125,937 Vertex Pharmaceuticals 9,983(b,d) 307,676 --------------- Total 80,088,734 - ------------------------------------------------------------------------------------- BUILDING PRODUCTS (0.1%) American Woodmark 16,024 331,697 Apogee Enterprises 22,556(d) 302,250 Insteel Inds 27,417(d) 204,257 Masco 162,071(d) 1,435,948 Owens Corning 7,565(b) 135,414 --------------- Total 2,409,566 - ------------------------------------------------------------------------------------- CAPITAL MARKETS (2.5%) Bank of New York Mellon 130,458(d) 3,324,070 Goldman Sachs Group 133,369 17,137,917 Greenhill & Co 4,249(d) 329,425 Knight Capital Group Cl A 24,027(b,d) 372,178 Morgan Stanley 1,011,014(d) 23,900,370 MVC Capital 15,887 135,993 State Street 198,878(d) 6,787,706 Stifel Financial 11,707(b,d) 576,336 SWS Group 45,991(d) 588,225 --------------- Total 53,152,220 - ------------------------------------------------------------------------------------- CHEMICALS (1.7%) Ashland 12,945 284,272 Balchem 10,066 250,543 CF Inds Holdings 28,881 2,080,876 Dow Chemical 1,286,375(d) 20,582,001 Ecolab 19,484(d) 751,108 EI du Pont de Nemours & Co 108,801 3,035,548 Innophos Holdings 15,945 236,464 Olin 13,436 169,294 OM Group 21,790(b,d) 607,069 PPG Inds 81,561(d) 3,592,762 Sigma-Aldrich 56,009(d) 2,455,435 Terra Inds 5,426 143,789 Westlake Chemical 14,332(d) 268,008 WR Grace & Co 100,680(b) 889,004 --------------- Total 35,346,173 - ------------------------------------------------------------------------------------- COMMERCIAL BANKS (1.1%) BancFirst 6,108(d) 260,812 BB&T 218,871(d) 5,108,448 Comerica 125,875(d) 2,640,858 Community Trust Bancorp 6,575(d) 198,960 Fifth Third Bancorp 288,638(d) 1,183,416 First Citizens BancShares Cl A 949 113,567 First Financial 7,250(d) 268,975 First Financial Bankshares 9,490(d) 467,667 Home BancShares 8,731(d) 192,519 Intl Bancshares 20,109(d) 271,673 KeyCorp 343,879(d) 2,114,856 MainSource Financial Group 17,647(d) 152,823 Marshall & Ilsley 204,955(d) 1,184,640 Republic Bancorp Cl A 11,372(d) 252,913 SunTrust Banks 146,867(d) 2,120,759 TowneBank 11,883 204,744 Trustmark 18,398 399,973 UMB Financial 10,116(d) 463,009 Wells Fargo & Co 268,910(d) 5,380,888 Wilshire Bancorp 33,656(d) 135,970 Zions Bancorporation 9,592(d) 104,841 --------------- Total 23,222,311 - ------------------------------------------------------------------------------------- COMMERCIAL SERVICES & SUPPLIES (0.6%) Avery Dennison 48,390(d) 1,390,729 Clean Harbors 5,723(b) 286,722 Herman Miller 13,791 205,072 HNI 20,631 319,781 Kimball Intl Cl B 44,536 244,503 Republic Services 189,157 3,972,297 Rollins 10,199(d) 183,582 RR Donnelley & Sons 80,980 943,417 Sykes Enterprises 13,650(b) 268,359
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 1 RIVERSOURCE LARGE CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) COMMERCIAL SERVICES & SUPPLIES (CONT.) United Stationers 11,111(b,d) $363,663 Viad 8,386 160,005 Waste Management 182,113(d) 4,856,953 --------------- Total 13,195,083 - ------------------------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (1.8%) 3Com 129,413(b) 524,123 Airvana 49,195(b) 279,920 ARRIS Group 40,980(b,d) 437,257 Cisco Systems 489,238(b) 9,452,078 Corning 747,258 10,924,911 InterDigital 28,749(b) 756,674 Motorola 133,924(d) 740,600 NETGEAR 21,473(b) 343,783 QUALCOMM 328,496 13,901,950 Starent Networks 7,295(b,d) 143,930 Tellabs 25,863(b) 135,522 --------------- Total 37,640,748 - ------------------------------------------------------------------------------------- COMPUTERS & PERIPHERALS (3.9%) Adaptec 83,576(b) 239,027 Apple 85,193(b,d) 10,719,835 Dell 831,979(b) 9,667,596 Electronics for Imaging 26,387(b) 259,120 Hewlett-Packard 338,952 12,195,493 IBM 414,283(e) 42,758,149 Lexmark Intl Cl A 205,444(b,d) 4,030,811 NCR 18,658(b,d) 189,379 Novatel Wireless 26,135(b,d) 179,025 Seagate Technology 57,900(c) 472,464 Sun Microsystems 38,258(b) 350,443 Western Digital 32,315(b,d) 760,049 --------------- Total 81,821,391 - ------------------------------------------------------------------------------------- CONSTRUCTION & ENGINEERING (0.3%) EMCOR Group 21,413(b) 445,176 Fluor 70,853 2,683,203 Granite Construction 36,466(d) 1,438,584 KBR 9,021 140,908 Michael Baker 6,486(b) 217,930 Perini 48,557(b,d) 840,036 --------------- Total 5,765,837 - ------------------------------------------------------------------------------------- CONSTRUCTION MATERIALS (0.1%) Vulcan Materials 50,354(d) 2,394,333 - ------------------------------------------------------------------------------------- CONSUMER FINANCE (0.2%) Advanta Cl B 88,512(d) 103,559 American Express 60,682(d) 1,530,400 Discover Financial Services 80,265 652,554 SLM 248,814(b,d) 1,201,772 --------------- Total 3,488,285 - ------------------------------------------------------------------------------------- CONTAINERS & PACKAGING (--%) Rock-Tenn Cl A 16,616 627,420 - ------------------------------------------------------------------------------------- DISTRIBUTORS (0.2%) Genuine Parts 106,374 3,612,461 - ------------------------------------------------------------------------------------- DIVERSIFIED CONSUMER SERVICES (0.5%) Apollo Group Cl A 63,211(b) 3,979,132 Career Education 4,579(b,d) 100,921 Corinthian Colleges 41,809(b,d) 643,859 H&R Block 372,711 5,642,845 Regis 22,824 436,851 Universal Technical Institute 12,637(b,d) 179,951 --------------- Total 10,983,559 - ------------------------------------------------------------------------------------- DIVERSIFIED FINANCIAL SERVICES (4.8%) Bank of America 3,728,404(d) 33,294,648 Citigroup 6,585,055(d) 20,084,418 CME Group 8,563 1,895,420 JPMorgan Chase & Co 1,392,574 45,954,941 KKR Financial Holdings LLC 563,202 760,323 Moody's 6,357 187,659 --------------- Total 102,177,409 - ------------------------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (0.3%) CenturyTel 50,795(d) 1,379,084 Embarq 80,980 2,960,629 Frontier Communications 134,518 956,423 Qwest Communications Intl 109,903(d) 427,523 Shenandoah Telecommunications 12,924(d) 253,698 --------------- Total 5,977,357 - ------------------------------------------------------------------------------------- ELECTRIC UTILITIES (1.2%) Hawaiian Electric Inds 8,279(d) 128,656 Northeast Utilities 66,433 1,396,422 Pinnacle West Capital 43,106 1,180,242 Portland General Electric 20,589 376,161 Progress Energy 106,320(d) 3,627,638 Southern 624,912(d) 18,047,459 --------------- Total 24,756,578 - ------------------------------------------------------------------------------------- ELECTRICAL EQUIPMENT (0.3%) Emerson Electric 138,702 4,721,416 Encore Wire 9,949 217,286 GrafTech Intl 55,444(b,d) 487,353 --------------- Total 5,426,055 - ------------------------------------------------------------------------------------- ELECTRONIC EQUIPMENT, INSTRUMENTS & COMPONENTS (0.6%) Anixter Intl 19,722(b,d) 784,541 Arrow Electronics 29,162(b) 663,144 Avnet 30,955(b) 677,605 Benchmark Electronics 82,459(b) 1,000,228 Ingram Micro Cl A 42,662(b) 619,452 Insight Enterprises 47,127(b) 269,566 Jabil Circuit 340,886 2,761,177 Methode Electronics 32,965 198,449 SYNNEX 23,322(b,d) 502,123 Tyco Electronics 266,407(c,d) 4,646,138 --------------- Total 12,122,423 - ------------------------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (2.3%) Baker Hughes 144,325 5,135,084 BASiC Energy Services 52,684(b,d) 537,377 BJ Services 139,383(d) 1,936,030 Complete Production Services 30,311(b) 202,477 ENSCO Intl 152,581 4,314,991 GulfMark Offshore 12,678(b) 340,785 Halliburton 469,588 9,495,068 Helmerich & Payne 12,989(d) 400,321 Lufkin Inds 8,971 313,088 Nabors Inds 178,656(b,c) 2,717,358 Natl Oilwell Varco 200,633(b,d) 6,075,167 Noble 144,406 3,946,616 Oil States Intl 7,333(b,d) 138,594 Parker Drilling 149,991(b) 413,975 Patterson-UTI Energy 28,165(d) 357,977 Pioneer Drilling 40,209(b) 201,045 Rowan Companies 84,835(d) 1,324,274 Smith Intl 105,370 2,723,815 Tidewater 6,622(d) 286,402 Unit 7,740(b,d) 211,225 Weatherford Intl 462,660(b,d) 7,694,035 --------------- Total 48,765,704 - ------------------------------------------------------------------------------------- FOOD & STAPLES RETAILING (3.9%) Casey's General Stores 12,446 331,188 Ingles Markets Cl A 17,188 268,305 Nash Finch 8,093(d) 237,044 Pantry 17,068(b) 403,146 SUPERVALU 117,282(d) 1,917,561 SYSCO 119,812 2,795,214 Walgreen 242,493(d) 7,621,555 Wal-Mart Stores 1,344,366 67,756,045 Winn-Dixie Stores 44,499(b,d) 509,959 --------------- Total 81,840,017 - ------------------------------------------------------------------------------------- FOOD PRODUCTS (1.8%) Bunge 7,180(d) 344,712 Cal-Maine Foods 11,403(d) 301,837 Campbell Soup 89,343 2,297,902 Darling Intl 42,476(b) 242,963 Dean Foods 76,931(b) 1,592,472 Diamond Foods 7,437(d) 194,775 Flowers Foods 24,001(d) 554,423 Fresh Del Monte Produce 16,371(b,c) 237,707 General Mills 358,305 18,162,481 Hershey 10,235(d) 369,893 J&J Snack Foods 7,348 284,808 JM Smucker 79,073(d) 3,115,476 Kellogg 100,341 4,225,360 Lancaster Colony 3,254(d) 142,525 Lance 11,712 271,250 Ralcorp Holdings 17,045(b) 974,292 Sanderson Farms 8,480(d) 338,352 Sara Lee 395,987 3,294,612 TreeHouse Foods 17,104(b,d) 454,795 Tyson Foods Cl A 56,300 593,402 --------------- Total 37,994,037 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 2 RIVERSOURCE LARGE CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) GAS UTILITIES (0.2%) Atmos Energy 4,936 $121,969 Laclede Group 9,965 345,586 New Jersey Resources 25,623 843,509 Nicor 32,666(d) 1,049,885 Piedmont Natural Gas 25,754(d) 628,913 Questar 73,004 2,169,679 --------------- Total 5,159,541 - ------------------------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (0.8%) Becton Dickinson & Co 94,068 5,689,233 Covidien 200,575(c) 6,614,964 Greatbatch 9,720(b,d) 204,509 Medtronic 28,942 926,144 St. Jude Medical 32,370(b) 1,085,042 STERIS 23,797(d) 573,508 Thoratec 29,234(b,d) 849,540 Volcano 28,992(b,d) 382,404 --------------- Total 16,325,344 - ------------------------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (1.6%) AMERIGROUP 31,195(b) 931,795 Cardinal Health 93,991 3,175,956 CIGNA 419,342(d) 8,265,231 Coventry Health Care 29,018(b) 461,676 DaVita 84,394(b) 3,913,350 Emergency Medical Services Cl A 6,485(b) 225,937 Gentiva Health Services 12,919(b) 205,800 Health Net 9,990(b,d) 144,256 HealthSpring 60,412(b,d) 557,603 HMS Holdings 6,951(b,d) 208,391 Humana 21,368(b) 614,971 Kindred Healthcare 60,238(b,d) 784,299 Landauer 5,797(d) 307,125 LHC Group 6,103(b,d) 139,270 Magellan Health Services 31,902(b) 943,023 Molina Healthcare 21,468(b,d) 464,782 Omnicare 9,838(d) 252,935 Quest Diagnostics 130,706 6,709,139 Tenet Healthcare 142,071(b) 319,660 Triple-S Management Cl B 15,743(b,c,d) 201,825 UnitedHealth Group 236,124 5,553,636 Universal American Financial 25,232(b) 260,647 Universal Health Services Cl B 2,648(d) 133,459 --------------- Total 34,774,766 - ------------------------------------------------------------------------------------- HEALTH CARE TECHNOLOGY (--%) Allscripts-Misys Healthcare Solutions 35,792(d) 444,536 Computer Programs & Systems 4,537 158,750 --------------- Total 603,286 - ------------------------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (2.3%) Bob Evans Farms 6,334(d) 153,600 California Pizza Kitchen 12,680(b,d) 199,203 Intl Game Technology 86,368 1,066,645 McDonald's 867,618 46,235,362 Panera Bread Cl A 2,083(b,d) 116,669 Starwood Hotels & Resorts Worldwide 23,901(d) 498,575 Wyndham Worldwide 86,900 1,014,992 --------------- Total 49,285,046 - ------------------------------------------------------------------------------------- HOUSEHOLD DURABLES (0.9%) American Greetings Cl A 24,198(d) 189,954 Black & Decker 39,371(d) 1,586,651 Centex 133,790 1,463,663 DR Horton 201,667(d) 2,631,754 Garmin 13,878(c,d) 349,587 Harman Intl Inds 72,907(d) 1,326,178 KB Home 54,179(d) 979,015 Leggett & Platt 102,924 1,477,989 Lennar Cl A 134,250(d) 1,307,595 Natl Presto Inds 8,400(d) 598,584 Newell Rubbermaid 40,565 423,904 NVR 401(b) 202,653 Pulte Homes 111,267 1,280,683 Ryland Group 16,765 347,203 Snap-On 32,903 1,116,070 Stanley Works 8,721 331,660 Toll Brothers 6,345(b) 128,550 Whirlpool 51,835(d) 2,340,869 --------------- Total 18,082,562 - ------------------------------------------------------------------------------------- HOUSEHOLD PRODUCTS (3.7%) Central Garden & Pet Cl A 21,148(b) 191,812 Clorox 89,335(d) 5,007,227 Colgate-Palmolive 194,109(d) 11,452,431 Kimberly-Clark 85,492 4,201,077 Procter & Gamble 1,140,858 56,404,020 --------------- Total 77,256,567 - ------------------------------------------------------------------------------------- INDEPENDENT POWER PRODUCERS & ENERGY TRADERS (0.1%) Calpine 8,553(b) 69,365 Constellation Energy Group 104,964 2,527,533 --------------- Total 2,596,898 - ------------------------------------------------------------------------------------- INDUSTRIAL CONGLOMERATES (0.7%) 3M 157,907 9,095,444 McDermott Intl 10,181(b,d) 164,321 Seaboard 471 440,385 Textron 93,093(d) 998,888 Tredegar 16,209 284,954 Tyco Intl 153,987(c) 3,658,731 --------------- Total 14,642,723 - ------------------------------------------------------------------------------------- INSURANCE (5.1%) AFLAC 147,289 4,255,179 Allied World Assurance Holdings 6,869(c,d) 255,115 Allstate 1,197,191 27,930,466 American Financial Group 11,304 198,724 Aon 210,122 8,867,148 Arch Capital Group 6,237(b,c) 360,374 Aspen Insurance Holdings 66,891(c) 1,577,290 Assurant 56,546 1,381,984 Axis Capital Holdings 16,884(c) 416,022 Chubb 140,797 5,484,043 Cincinnati Financial 12,519 299,830 Employers Holdings 36,927 307,971 Everest Re Group 5,516(c) 411,714 Hartford Financial Services Group 287,244 3,294,689 HCC Insurance Holdings 14,014(d) 335,215 IPC Holdings 33,187(c) 864,189 Lincoln Natl 164,236 1,846,013 Marsh & McLennan Companies 313,469 6,611,061 Max Capital Group 31,157(c) 515,648 Montpelier Re Holdings 71,187(c) 886,990 Odyssey Re Holdings 31,366(d) 1,201,004 PartnerRe 5,647(c,d) 385,069 Platinum Underwriters Holdings 50,402(c,d) 1,450,066 Principal Financial Group 166,457(d) 2,719,907 Progressive 876,534(b) 13,393,440 Prudential Financial 73,159 2,112,832 RenaissanceRe Holdings 8,305(c) 404,121 RLI 12,656(d) 607,868 Travelers Companies 434,027 17,855,871 Validus Holdings 48,236(c) 1,080,486 WR Berkley 19,445 464,930 Zenith Natl Insurance 29,120(d) 663,645 --------------- Total 108,438,904 - ------------------------------------------------------------------------------------- INTERNET & CATALOG RETAIL (--%) NetFlix 3,180(b,d) 144,086 NutriSystem 41,148(d) 565,373 PetMed Express 10,222(b,d) 166,210 --------------- Total 875,669 - ------------------------------------------------------------------------------------- INTERNET SOFTWARE & SERVICES (--%) EarthLink 70,156(b,d) 531,782 ModusLink Global Solutions 71,828(b) 265,764 RealNetworks 67,312(b) 165,588 --------------- Total 963,134 - ------------------------------------------------------------------------------------- IT SERVICES (1.1%) Affiliated Computer Services Cl A 37,071(b) 1,793,495 Automatic Data Processing 243,236(d) 8,561,907 Ciber 52,635(b) 170,011 Computer Sciences 88,153(b) 3,258,135 Convergys 13,435(b) 135,828 CSG Systems Intl 22,398(b,d) 324,771 ManTech Intl Cl A 16,893(b) 611,358
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 3 RIVERSOURCE LARGE CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) IT SERVICES (CONT.) MasterCard Cl A 13,068(d) $2,397,325 NCI Cl A 8,433(b,d) 205,428 Paychex 134,912(d) 3,643,973 Perot Systems Cl A 28,231(b) 396,928 SAIC 29,503(b,d) 534,004 Total System Services 21,811 271,983 --------------- Total 22,305,146 - ------------------------------------------------------------------------------------- LEISURE EQUIPMENT & PRODUCTS (0.4%) Brunswick 79,223(d) 473,754 Eastman Kodak 257,081(d) 784,097 Hasbro 69,345 1,848,738 JAKKS Pacific 40,483(b) 512,110 Mattel 253,773 3,796,443 --------------- Total 7,415,142 - ------------------------------------------------------------------------------------- LIFE SCIENCES TOOLS & SERVICES (0.1%) PerkinElmer 125,550 1,829,263 Sequenom 24,827(b,d) 89,874 --------------- Total 1,919,137 - ------------------------------------------------------------------------------------- MACHINERY (1.6%) Cummins 106,487 3,620,558 Deere & Co 92,031 3,797,199 Dover 77,239(d) 2,377,416 Eaton 74,070 3,244,266 Flowserve 30,090 2,043,111 Force Protection 84,911(b) 647,022 FreightCar America 7,315 140,667 Gardner Denver 5,361(b) 142,710 Illinois Tool Works 154,278 5,060,318 Ingersoll-Rand Cl A 286,698(c) 6,241,416 Joy Global 4,744(d) 120,972 Manitowoc 146,341(d) 870,729 Mueller Inds 51,804 1,138,134 NACCO Inds Cl A 8,300 317,475 Parker Hannifin 74,896 3,396,534 Terex 12,700(b,d) 175,260 Timken 8,432(d) 135,587 Wabtec 15,282(d) 582,855 --------------- Total 34,052,229 - ------------------------------------------------------------------------------------- MEDIA (1.5%) CBS Cl B 400,340 2,818,394 Comcast Cl A 1,075,145 16,621,741 DIRECTV Group 209,156(b,d) 5,172,427 DreamWorks Animation SKG Cl A 3,854(b) 92,535 Gannett 501,357(d) 1,960,306 Marvel Entertainment 14,171(b,d) 422,863 Meredith 46,849(d) 1,174,973 New York Times Cl A 233,512(d) 1,256,295 News Corp Cl A 283,178 2,339,050 WorldSpace Cl A 263,942(b,d) 818 --------------- Total 31,859,402 - ------------------------------------------------------------------------------------- METALS & MINING (1.4%) AK Steel Holding 137,071 1,783,294 Alcoa 422,699(d) 3,833,880 Allegheny Technologies 67,633(d) 2,213,628 AM Castle & Co 26,449(d) 256,291 Cliffs Natural Resources 8,998 207,494 Commercial Metals 15,756(d) 234,449 Compass Minerals Intl 5,450 262,799 Freeport-McMoRan Copper & Gold 168,263 7,176,417 Horsehead Holding 46,388(b,d) 331,210 Kaiser Aluminum 8,262 244,059 Nucor 223,364(d) 9,088,681 Olympic Steel 15,484 283,977 Reliance Steel & Aluminum 11,960 421,351 Royal Gold 7,173 259,376 RTI Intl Metals 16,677(b) 216,968 Timminco 510,164(b,c,d) 748,606 United States Steel 76,849(d) 2,040,341 Worthington Inds 32,120 478,588 --------------- Total 30,081,409 - ------------------------------------------------------------------------------------- MULTILINE RETAIL (0.9%) Big Lots 70,655(b) 1,952,904 Dillard's Cl A 75,054 578,666 Dollar Tree 8,846(b) 374,540 Family Dollar Stores 175,923(d) 5,838,883 Fred's Cl A 33,104 452,201 JC Penney 59,453 1,824,613 Kohl's 109,888(b,d) 4,983,421 Macy's 81,721 1,117,943 Nordstrom 82,493(d) 1,866,817 Sears Holdings 5,951(b,d) 371,759 --------------- Total 19,361,747 - ------------------------------------------------------------------------------------- MULTI-UTILITIES (0.9%) CH Energy Group 5,431 241,354 Consolidated Edison 111,241(d) 4,130,377 MDU Resources Group 7,345 129,052 PG&E 231,205(d) 8,582,329 SCANA 46,751 1,412,815 Vectren 5,645(d) 125,150 Wisconsin Energy 51,986(d) 2,077,361 Xcel Energy 88,229 1,626,943 --------------- Total 18,325,381 - ------------------------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (12.4%) Apache 162,893 11,868,384 Chesapeake Energy 233,326 4,598,855 Chevron 1,385,499 91,581,485 Cimarex Energy 10,389(d) 279,464 Clayton Williams Energy 5,179(b) 155,525 Comstock Resources 13,722(b,d) 472,860 ConocoPhillips 584,206 23,952,446 CONSOL Energy 82,570 2,582,790 EOG Resources 93,188(d) 5,915,574 Exxon Mobil 625,884 41,727,686 Frontier Oil 14,907 189,468 Frontline 4,642(c,d) 93,443 Hess 127,604 6,991,423 Marathon Oil 412,818 12,260,695 Massey Energy 92,601(d) 1,473,282 McMoRan Exploration 30,874(b) 169,498 Murphy Oil 115,540 5,512,413 Noble Energy 80,295(d) 4,556,741 Occidental Petroleum 481,190(d) 27,086,185 Peabody Energy 136,760(d) 3,609,096 Pioneer Natural Resources 78,650(d) 1,818,388 Plains Exploration & Production 5,949(b) 112,258 Rosetta Resources 43,026(b) 303,333 Southwestern Energy 72,525(b,d) 2,600,747 Spectra Energy 119,141 1,727,545 St. Mary Land & Exploration 7,659(d) 136,866 Sunoco 42,251(d) 1,120,074 Swift Energy 45,994(b) 497,655 Tesoro 77,808(d) 1,186,572 USEC 94,136(b) 582,702 VAALCO Energy 46,283(b) 220,770 Valero Energy 204,530(d) 4,057,875 Western Refining 23,140(d) 291,333 Williams Companies 202,174 2,850,653 World Fuel Services 13,605(d) 518,759 --------------- Total 263,102,843 - ------------------------------------------------------------------------------------- PAPER & FOREST PRODUCTS (--%) Intl Paper 16,822 212,967 Wausau Paper 39,145(d) 341,735 --------------- Total 554,702 - ------------------------------------------------------------------------------------- PERSONAL PRODUCTS (0.1%) Estee Lauder Companies Cl A 42,864(d) 1,281,634 - ------------------------------------------------------------------------------------- PHARMACEUTICALS (12.0%) Abbott Laboratories 102,899 4,306,323 Bristol-Myers Squibb 544,140 10,447,488 Eli Lilly & Co 283,187(d) 9,322,516 Forest Laboratories 428,566(b) 9,295,597 Johnson & Johnson 1,636,996 85,713,110 King Pharmaceuticals 594,589(b) 4,685,361 Merck & Co 542,121 13,141,012 Mylan 44,427(b,d) 588,658 Par Pharmaceutical Companies 19,731(b) 211,714 Pfizer 6,754,920(d) 90,245,730 Questcor Pharmaceuticals 21,229(b) 95,531 Schering-Plough 532,992 12,269,476 Valeant Pharmaceuticals Intl 36,414(b) 610,299 ViroPharma 92,903(b) 523,044 Watson Pharmaceuticals 46,739(b) 1,446,105 Wyeth 266,933 11,317,959 --------------- Total 254,219,923 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 4 RIVERSOURCE LARGE CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) PROFESSIONAL SERVICES (0.1%) Administaff 15,452 $411,950 Heidrick & Struggles Intl 15,205(d) 256,965 Huron Consulting Group 4,487(b,d) 215,152 ICF Intl 5,224(b,d) 143,712 Kelly Services Cl A 32,477 368,939 Korn/Ferry Intl 30,868(b,d) 326,892 Manpower 7,508 323,520 TrueBlue 49,670(b,d) 482,295 --------------- Total 2,529,425 - ------------------------------------------------------------------------------------- REAL ESTATE INVESTMENT TRUSTS (REITS) (0.1%) Capstead Mtge 18,396 209,530 Digital Realty Trust 3,469(d) 124,919 Equity Residential 61,054(d) 1,397,526 Health Care REIT 3,868(d) 131,783 Investors Real Estate Trust 22,612(d) 209,161 Liberty Property Trust 7,850 191,069 UDR 9,138(d) 92,020 --------------- Total 2,356,008 - ------------------------------------------------------------------------------------- REAL ESTATE MANAGEMENT & DEVELOPMENT (--%) Avatar Holdings 8,745(b) 162,482 St. Joe 6,506(b,d) 161,869 --------------- Total 324,351 - ------------------------------------------------------------------------------------- ROAD & RAIL (1.5%) Arkansas Best 33,461(d) 772,280 Burlington Northern Santa Fe 103,127 6,959,010 Con-way 3,857(d) 95,576 CSX 147,945 4,377,693 Genesee & Wyoming Cl A 10,684(b,d) 320,520 Norfolk Southern 204,721(d) 7,304,445 Old Dominion Freight Line 10,109(b,d) 284,568 Ryder System 44,802 1,240,567 Saia 26,543(b) 346,652 Union Pacific 186,461(d) 9,162,694 Werner Enterprises 18,060(d) 295,281 --------------- Total 31,159,286 - ------------------------------------------------------------------------------------- SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (2.0%) Altera 176,226(d) 2,874,246 Amkor Technology 141,788(b) 611,106 Atmel 32,711(b,d) 125,610 Infineon Technologies 806,777(b,c,d) 2,151,309 Infineon Technologies ADR 614,065(b,c,d) 1,568,936 Intel 1,283,714 20,257,006 Lam Research 20,084(b,d) 559,942 Linear Technology 89,514(d) 1,949,615 LSI 406,802(b) 1,562,120 MEMC Electronic Materials 156,783(b,d) 2,539,885 Microchip Technology 67,521(d) 1,552,983 MKS Instruments 29,302(b) 458,576 Natl Semiconductor 114,937(d) 1,421,771 NVIDIA 21,718(b,d) 249,323 OmniVision Technologies 40,728(b) 387,323 Sigma Designs 26,295(b,d) 339,731 Silicon Image 79,753(b,d) 216,928 Teradyne 33,804(b) 200,796 Xilinx 111,568(d) 2,280,450 Zoran 33,505(b) 299,535 --------------- Total 41,607,191 - ------------------------------------------------------------------------------------- SOFTWARE (2.9%) Ariba 28,138(b,d) 270,406 Compuware 240,368(b) 1,797,953 EPIQ Systems 8,672(b,d) 134,156 Intuit 54,265(b) 1,255,149 Macrovision Solutions 13,309(b) 269,108 Microsoft 2,175,020 44,065,906 Oracle 659,566 12,756,007 Pegasystems 7,084 123,757 Quality Systems 8,208(d) 440,113 Take-Two Interactive Software 35,806(d) 325,118 TeleCommunication Systems Cl A 31,053(b) 304,630 --------------- Total 61,742,303 - ------------------------------------------------------------------------------------- SPECIALTY RETAIL (5.6%) Aaron Rents 14,425(d) 484,103 Abercrombie & Fitch Cl A 121,228(d) 3,280,430 Aeropostale 9,520(b,d) 323,394 American Eagle Outfitters 12,985 192,438 Asbury Automotive Group 38,005 367,508 AutoNation 123,439(b,d) 2,186,105 AutoZone 17,990(b,d) 2,993,356 Barnes & Noble 9,537(d) 249,106 Bed Bath & Beyond 193,604(b,d) 5,889,434 Best Buy 125,015 4,798,076 Blockbuster Cl A 261,540(b,d) 213,155 Brown Shoe 35,184(d) 226,233 Cato Cl A 27,254 523,822 Chico's FAS 96,855(b) 739,972 Children's Place Retail Stores 13,580(b,d) 386,215 Collective Brands 48,547(b,d) 704,902 Dress Barn 46,627(b,d) 705,933 Finish Line Cl A 51,549 438,167 Foot Locker 48,084 571,719 Gap 282,083(d) 4,383,570 Genesco 12,496(b) 284,659 Group 1 Automotive 34,272(d) 729,994 Home Depot 2,137,091 56,248,234 Hot Topic 59,577(b,d) 729,222 Jo-Ann Stores 18,977(b,d) 347,659 Jos A Bank Clothiers 19,777(b,d) 799,782 Limited Brands 133,601 1,525,723 Lowe's Companies 749,982 16,124,612 Men's Wearhouse 50,831 947,490 Monro Muffler Brake 6,976 174,191 Office Depot 499,362(b) 1,293,348 PetSmart 9,435(d) 215,873 RadioShack 161,303 2,271,146 Rent-A-Center 43,584(b) 838,992 Ross Stores 7,639(d) 289,824 Sherwin-Williams 48,115(d) 2,725,234 Stage Stores 34,037 416,953 Staples 100,397 2,070,186 Tiffany & Co 51,022(d) 1,476,577 Wet Seal Cl A 86,206(b) 328,445 --------------- Total 119,495,782 - ------------------------------------------------------------------------------------- TEXTILES, APPAREL & LUXURY GOODS (0.8%) Carter's 26,542(b) 567,468 Coach 178,276(b) 4,367,762 Jones Apparel Group 143,519 1,326,116 Liz Claiborne 253,530 1,201,732 Nike Cl B 79,319(d) 4,161,868 Polo Ralph Lauren 27,092(d) 1,458,633 Skechers USA Cl A 24,247(b) 283,690 Steven Madden 16,880(b) 496,610 VF 49,245(d) 2,918,751 --------------- Total 16,782,630 - ------------------------------------------------------------------------------------- THRIFTS & MORTGAGE FINANCE (0.4%) Capitol Federal Financial 2,312(d) 90,076 First Niagara Financial Group 42,786 579,322 Freddie Mac 112,515(d) 87,199 Hudson City Bancorp 17,047 214,110 NewAlliance Bancshares 12,085(d) 156,017 Ocwen Financial 34,121(b) 379,426 People's United Financial 368,372 5,753,971 Trustco Bank NY 23,917 143,502 United Financial Bancorp 17,441 231,442 --------------- Total 7,635,065 - ------------------------------------------------------------------------------------- TOBACCO (0.1%) Lorillard 32,647 2,061,005 Star Scientific 32,367(b,d) 159,246 --------------- Total 2,220,251 - ------------------------------------------------------------------------------------- TRADING COMPANIES & DISTRIBUTORS (0.4%) Beacon Roofing Supply 27,278(b) 433,720 Fastenal 74,300(d) 2,850,148 Rush Enterprises Cl A 27,585(b) 363,019 Watsco 12,534(d) 538,335 WESCO Intl 10,007(b) 260,182 WW Grainger 37,197(d) 3,120,084 --------------- Total 7,565,488 - ------------------------------------------------------------------------------------- WATER UTILITIES (--%) Aqua America 5,838(d) 107,127 California Water Service Group 6,437 251,236 --------------- Total 358,363 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 5 RIVERSOURCE LARGE CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) WIRELESS TELECOMMUNICATION SERVICES (0.3%) Sprint Nextel 1,283,585(b) $5,596,430 USA Mobility 37,213 413,809 --------------- Total 6,010,239 - ------------------------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $2,431,538,034) $2,091,958,390 - ------------------------------------------------------------------------------------- MONEY MARKET FUND (0.7%) SHARES VALUE(a) RiverSource Short-Term Cash Fund, 0.28% 15,456,233(f) $15,456,233 - ------------------------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $15,456,233) $15,456,233 - ------------------------------------------------------------------------------------- INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (19.6%) SHARES VALUE(a) CASH COLLATERAL REINVESTMENT FUND JPMorgan Prime Money Market Fund 414,008,436 $414,008,436 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (Cost: $414,008,436) $414,008,436 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $2,861,002,703)(g) $2,521,423,059 =====================================================================================
INVESTMENTS IN DERIVATIVES FUTURES CONTRACTS OUTSTANDING AT APRIL 30, 2009
NUMBER OF UNREALIZED CONTRACTS NOTIONAL EXPIRATION APPRECIATION CONTRACT DESCRIPTION LONG (SHORT) MARKET VALUE DATE (DEPRECIATION) - ------------------------------------------------------------------------------------------------------------------ S&P 500 Index 86 $18,705,000 June 2009 $1,288,438
NOTES TO PORTFOLIO OF INVESTMENTS (a) Securities are valued by using policies described in Note 1 to the financial statements in the most recent Semiannual Report dated Jan. 31, 2009. (b) Non-income producing. (c) Foreign security values are stated in U.S. dollars. At April 30, 2009, the value of foreign securities represented 1.8% of net assets. (d) At April 30, 2009, security was partially or fully on loan. (e) At April 30, 2009, investments in securities included securities valued at $4,118,079 that were partially pledged as collateral to cover initial margin deposits on open stock index futures contracts. (f) Affiliated Money Market Fund -- The Fund may invest its daily cash balance in RiverSource Short-Term Cash Fund, a money market fund established for the exclusive use of the RiverSource funds and other institutional clients of RiverSource Investments. The rate shown is the seven-day current annualized yield at April 30, 2009. (g) At April 30, 2009, the cost of securities for federal income tax purposes was approximately $2,861,003,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $106,356,000 Unrealized depreciation (445,936,000) ---------------------------------------------------------------------------------------- Net unrealized depreciation $(339,580,000) ----------------------------------------------------------------------------------------
The industries identified above are based on the Global Industry Classification Standard (GICS), which was developed by and is the exclusive property of Morgan Stanley Capital International Inc. and Standard & Poor's, a division of The McGraw-Hill Companies, Inc. - -------------------------------------------------------------------------------- 6 RIVERSOURCE LARGE CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) ------------------------------------------- FAIR VALUE MEASUREMENTS Statement of Financial Accounting Standards No. 157 (SFAS 157) seeks to implement more uniform reporting relating to the fair valuation of securities for financial statement purposes. Mutual funds are required to implement the requirements of this standard for fiscal years beginning after Nov. 15, 2007. While uniformity of presentation is the objective of the standard, it is likely that there may be a range of practices utilized and it may be some period of time before industry practices become more uniform. For this reason care should be exercised in interpreting this information and/or using it for comparison with other mutual funds. Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in the three broad levels listed below: - Level 1 -- quoted prices in active markets for identical securities - Level 2 -- other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.) - Level 3 -- significant unobservable inputs (including the Fund's own assumptions in determining the fair value of investments) Observable inputs are those based on market data obtained from sources independent of the Fund, and unobservable inputs reflect the Fund's own assumptions based on the best information available. The input levels are not necessarily an indication of the risk or liquidity associated with investments at that level. The following table is a summary of the inputs used to value the Fund's investments as of April 30, 2009:
FAIR VALUE AT APRIL 30, 2009 ----------------------------------------------------------------- LEVEL 1 LEVEL 2 QUOTED PRICES OTHER LEVEL 3 IN ACTIVE SIGNIFICANT SIGNIFICANT MARKETS FOR OBSERVABLE UNOBSERVABLE DESCRIPTION IDENTICAL ASSETS INPUTS INPUTS TOTAL - ----------------------------------------------------------------------------------------------------------------- Investments in securities $2,521,423,059 $-- $-- $2,521,423,059 Other financial instruments* 1,288,438 -- -- 1,288,438 - ----------------------------------------------------------------------------------------------------------------- Total $2,522,711,497 $-- $-- $2,522,711,497 - -----------------------------------------------------------------------------------------------------------------
* Other financial instruments are derivative instruments, such as futures, which are valued at the unrealized appreciation (depreciation) on the instrument. 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 riversource.com/funds. - -------------------------------------------------------------------------------- 7 RIVERSOURCE LARGE CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS FOR RIVERSOURCE LARGE CAP VALUE FUND AT APRIL 30, 2009 APRIL 30, 2009 (UNAUDITED) (Percentages represent value of investments compared to net assets) INVESTMENTS IN SECURITIES
COMMON STOCKS (97.4%) ISSUER SHARES VALUE(a) AEROSPACE & DEFENSE (3.4%) Boeing 6,660(d) $266,733 Honeywell Intl 13,660 426,329 United Technologies 11,071 540,707 --------------- Total 1,233,769 - ------------------------------------------------------------------------------------- AIR FREIGHT & LOGISTICS (1.5%) United Parcel Service Cl B 10,417(d) 545,226 - ------------------------------------------------------------------------------------- AIRLINES (1.1%) AMR 14,735(b) 70,139 Continental Airlines Cl B 6,731(b,d) 70,810 Delta Air Lines 20,525(b) 126,638 UAL 8,489(b,d) 41,766 US Airways Group 22,840(b) 86,564 --------------- Total 395,917 - ------------------------------------------------------------------------------------- BIOTECHNOLOGY (0.4%) Amgen 3,116(b) 151,033 - ------------------------------------------------------------------------------------- CAPITAL MARKETS (2.2%) Bank of New York Mellon 9,607 244,786 Goldman Sachs Group 3,484(d) 447,694 Morgan Stanley 5,203(d) 122,999 --------------- Total 815,479 - ------------------------------------------------------------------------------------- CHEMICALS (5.2%) Air Products & Chemicals 8,639 569,310 Dow Chemical 19,175(d) 306,800 EI du Pont de Nemours & Co 28,906 806,477 Praxair 2,775 207,043 --------------- Total 1,889,630 - ------------------------------------------------------------------------------------- COMMERCIAL BANKS (0.2%) US Bancorp 4,160(d) 75,795 - ------------------------------------------------------------------------------------- COMMERCIAL SERVICES & SUPPLIES (0.8%) Waste Management 11,454 305,478 - ------------------------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (1.3%) Cisco Systems 23,730(b) 458,464 - ------------------------------------------------------------------------------------- COMPUTERS & PERIPHERALS (4.3%) Hewlett-Packard 30,324(d) 1,091,057 IBM 4,580 472,702 --------------- Total 1,563,759 - ------------------------------------------------------------------------------------- CONSTRUCTION & ENGINEERING (0.2%) Insituform Technologies Cl A 3,949(b) 60,538 - ------------------------------------------------------------------------------------- DIVERSIFIED FINANCIAL SERVICES (3.5%) Bank of America 57,387(d) 512,466 CIT Group 58,072 128,920 JPMorgan Chase & Co 19,570(d) 645,810 --------------- Total 1,287,196 - ------------------------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (4.1%) AT&T 30,404(d) 778,950 Deutsche Telekom 9,183(c,d) 111,072 FairPoint Communications 363(d) 378 Verizon Communications 19,827(d) 601,551 --------------- Total 1,491,951 - ------------------------------------------------------------------------------------- ELECTRICAL EQUIPMENT (0.8%) ABB ADR 21,591(c) 307,024 - ------------------------------------------------------------------------------------- ELECTRONIC EQUIPMENT, INSTRUMENTS & COMPONENTS (0.2%) Tyco Electronics 4,215(c,d) 73,510 - ------------------------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (6.1%) Baker Hughes 7,897(d) 280,975 Halliburton 18,501 374,090 Schlumberger 6,238 305,600 Transocean 13,744(b,c) 927,445 Weatherford Intl 21,352(b,d) 355,084 --------------- Total 2,243,194 - ------------------------------------------------------------------------------------- FOOD & STAPLES RETAILING (3.7%) CVS Caremark 9,085 288,721 Wal-Mart Stores 20,821 1,049,379 --------------- Total 1,338,100 - ------------------------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (0.4%) Covidien 4,861(c) 160,316 - ------------------------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (1.0%) Cardinal Health 3,472 117,319 UnitedHealth Group 10,236 240,751 --------------- Total 358,070 - ------------------------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (1.6%) Carnival Unit 21,062 566,147 - ------------------------------------------------------------------------------------- HOUSEHOLD DURABLES (0.8%) Centex 9,600 105,024 DR Horton 3,252(d) 42,439 KB Home 6,438 116,334 Pulte Homes 3,962(d) 45,603 --------------- Total 309,400 - ------------------------------------------------------------------------------------- INDUSTRIAL CONGLOMERATES (0.7%) Tyco Intl 11,382(c) 270,436 - ------------------------------------------------------------------------------------- INSURANCE (7.8%) ACE 12,049(c) 558,110 Allstate 3,295 76,872 Chubb 3,700 144,115 Everest Re Group 8,425(c) 628,842 Lincoln Natl 2,978 33,473 Marsh & McLennan Companies 14,107 297,517 RenaissanceRe Holdings 1,874(c) 91,189 Travelers Companies 8,927 367,257 XL Capital Cl A 68,879(c) 655,038 --------------- Total 2,852,413 - ------------------------------------------------------------------------------------- LIFE SCIENCES TOOLS & SERVICES (0.4%) Thermo Fisher Scientific 4,261(b,d) 149,476 - ------------------------------------------------------------------------------------- MACHINERY (6.3%) Caterpillar 20,698(d) 736,435 Deere & Co 2,243 92,546 Eaton 9,579 419,560 Illinois Tool Works 19,101(d) 626,513 Ingersoll-Rand Cl A 8,675(c) 188,855 Parker Hannifin 5,124 232,373 --------------- Total 2,296,282 - ------------------------------------------------------------------------------------- MEDIA (0.1%) Sirius XM Radio 101,498(b) 39,523 - ------------------------------------------------------------------------------------- METALS & MINING (1.7%) Alcoa 21,569(d) 195,631 Freeport-McMoRan Copper & Gold 3,873 165,183 Nucor 6,629(d) 269,734 --------------- Total 630,548 - ------------------------------------------------------------------------------------- MULTILINE RETAIL (1.3%) Kohl's 3,301(b,d) 149,700 Macy's 10,079(d) 137,881 Target 4,266 176,015 --------------- Total 463,596 - ------------------------------------------------------------------------------------- MULTI-UTILITIES (0.5%) Dominion Resources 6,169 186,057 - ------------------------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (13.5%) Anadarko Petroleum 9,245(d) 398,090 Apache 4,725 344,264
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 1 RIVERSOURCE LARGE CAP VALUE FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) OIL, GAS & CONSUMABLE FUELS (CONT.) BP ADR 17,627(c) $748,442 Chevron 19,392 1,281,811 ConocoPhillips 21,245 871,045 Devon Energy 3,684 191,015 EnCana 3,409(c) 155,894 Exxon Mobil 6,022 401,487 Petroleo Brasileiro ADR 10,835(c,d) 363,731 Ultra Petroleum 2,533(b,d) 108,412 Valero Energy 3,273 64,936 --------------- Total 4,929,127 - ------------------------------------------------------------------------------------- PAPER & FOREST PRODUCTS (1.0%) Weyerhaeuser 10,468(d) 369,102 - ------------------------------------------------------------------------------------- PHARMACEUTICALS (7.1%) Abbott Laboratories 9,481 396,780 Bristol-Myers Squibb 22,853 438,777 Johnson & Johnson 7,533 394,428 Merck & Co 17,682(d) 428,612 Pfizer 21,136(d) 282,377 Schering-Plough 17,395 400,433 Wyeth 6,227(d) 264,025 --------------- Total 2,605,432 - ------------------------------------------------------------------------------------- ROAD & RAIL (0.2%) CSX 2,611 77,259 - ------------------------------------------------------------------------------------- SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (4.6%) Infineon Technologies 6,717(b,c) 17,911 Intel 78,290 1,235,417 Taiwan Semiconductor Mfg ADR 41,004(c,d) 433,412 --------------- Total 1,686,740 - ------------------------------------------------------------------------------------- SOFTWARE (3.9%) Microsoft 21,765 440,959 Oracle 26,849 519,259 Symantec 26,394(b) 455,297 --------------- Total 1,415,515 - ------------------------------------------------------------------------------------- SPECIALTY RETAIL (2.4%) Best Buy 4,418(d) 169,563 Home Depot 13,849(d) 364,506 Lowe's Companies 8,068 173,462 Staples 7,555(d) 155,784 --------------- Total 863,315 - ------------------------------------------------------------------------------------- TOBACCO (3.1%) Lorillard 13,836 873,466 Philip Morris Intl 7,013 253,871 --------------- Total 1,127,337 - ------------------------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $37,924,846) $35,592,154 - ------------------------------------------------------------------------------------- MONEY MARKET FUND (2.7%) SHARES VALUE(a) RiverSource Short-Term Cash Fund, 0.28% 973,504(e) $973,504 - ------------------------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $973,504) $973,504 - ------------------------------------------------------------------------------------- INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (22.7%) SHARES VALUE(a) CASH COLLATERAL REINVESTMENT FUND JPMorgan Prime Money Market Fund 8,279,403 $8,279,403 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (Cost: $8,279,403) $8,279,403 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $47,177,753)(f) $44,845,061 =====================================================================================
NOTES TO PORTFOLIO OF INVESTMENTS (a) Securities are valued by using policies described in Note 1 to the financial statements in the most recent Semiannual Report dated Jan. 31, 2009. (b) Non-income producing. (c) Foreign security values are stated in U.S. dollars. At April 30, 2009, the value of foreign securities represented 15.6% of net assets. (d) At April 30, 2009, security was partially or fully on loan. (e) Affiliated Money Market Fund -- The Fund may invest its daily cash balance in RiverSource Short-Term Cash Fund, a money market fund established for the exclusive use of the RiverSource funds and other institutional clients of RiverSource Investments. The rate shown is the seven-day current annualized yield at April 30, 2009. (f) At April 30, 2009, the cost of securities for federal income tax purposes was approximately $47,178,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $1,901,000 Unrealized depreciation (4,234,000) --------------------------------------------------------------------------------------- Net unrealized depreciation $(2,333,000) ---------------------------------------------------------------------------------------
The industries identified above are based on the Global Industry Classification Standard (GICS), which was developed by and is the exclusive property of Morgan Stanley Capital International Inc. and Standard & Poor's, a division of The McGraw-Hill Companies, Inc. - -------------------------------------------------------------------------------- 2 RIVERSOURCE LARGE CAP VALUE FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) ------------------------------------------- FAIR VALUE MEASUREMENTS Statement of Financial Accounting Standards No. 157 (SFAS 157) seeks to implement more uniform reporting relating to the fair valuation of securities for financial statement purposes. Mutual funds are required to implement the requirements of this standard for fiscal years beginning after Nov. 15, 2007. While uniformity of presentation is the objective of the standard, it is likely that there may be a range of practices utilized and it may be some period of time before industry practices become more uniform. For this reason care should be exercised in interpreting this information and/or using it for comparison with other mutual funds. Various inputs are used in determining the value of the Fund's investments. These inputs are summarized in the three broad levels listed below: - Level 1 -- quoted prices in active markets for identical securities - Level 2 -- other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.) - Level 3 -- significant unobservable inputs (including the Fund's own assumptions in determining the fair value of investments) Observable inputs are those based on market data obtained from sources independent of the Fund, and unobservable inputs reflect the Fund's own assumptions based on the best information available. The input levels are not necessarily an indication of the risk or liquidity associated with investments at that level. The following table is a summary of the inputs used to value the Fund's investments as of April 30, 2009:
FAIR VALUE AT APRIL 30, 2009 -------------------------------------------------------------- LEVEL 1 LEVEL 2 QUOTED PRICES OTHER LEVEL 3 IN ACTIVE SIGNIFICANT SIGNIFICANT MARKETS FOR OBSERVABLE UNOBSERVABLE DESCRIPTION IDENTICAL ASSETS INPUTS INPUTS TOTAL - ---------------------------------------------------------------------------------------------------------------- Investments in securities $44,845,061 $-- $-- $44,845,061
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 riversource.com/funds. - -------------------------------------------------------------------------------- 3 RIVERSOURCE LARGE CAP VALUE FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 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 Large Cap Series, Inc. By /s/ Patrick T. Bannigan ---------------------------------- Patrick T. Bannigan President and Principal Executive Officer Date June 29, 2009 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/ Patrick T. Bannigan ---------------------------------- Patrick T. Bannigan President and Principal Executive Officer Date June 29, 2009 By /s/ Jeffrey P. Fox ---------------------------------- Jeffrey P. Fox Treasurer and Principal Financial Officer Date June 29, 2009 EX-99.CERT 2 c51599exv99wcert.txt EX-99.CERT Certification Pursuant to 270.30a-2 of the Investment Company Act of 1940 I, Patrick T. Bannigan, certify that: 1. I have reviewed this report on Form N-Q of RiverSource Large Cap 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 19, 2009 /s/ Patrick T. Bannigan - ------------------------------------- Name: Patrick T. Bannigan Title: President and Principal 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-Q of RiverSource Large Cap 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 19, 2009 /s/ Jeffrey P. Fox - ------------------------------------- Name: Jeffrey P. Fox Title: Treasurer and Principal Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----