-----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, Mgbl01zcd702chB7KaWH3Pfex/Po6+qta7aZuvlpWOKXzqGR6uHwvE0yA7C7IEHb gWBvP4x81CdMV7EfIrqtEQ== 0000950123-09-045811.txt : 20090925 0000950123-09-045811.hdr.sgml : 20090925 20090924174849 ACCESSION NUMBER: 0000950123-09-045811 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20090731 FILED AS OF DATE: 20090925 DATE AS OF CHANGE: 20090924 EFFECTIVENESS DATE: 20090925 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: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-02111 FILM NUMBER: 091085807 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

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9961 074 S000400 0 074 T000400 40822 074 U010400 6677 074 U020400 6088 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 4438 074 Y000400 0 075 A000400 0 075 B000400 40193 076 000400 0.00 024 000500 Y 025 A000501 CITIGROUP 025 B000501 11-2418191 025 C000501 E 025 D000501 13014 PAGE 20 025 A000502 MORGAN STANLEY 025 B000502 13-2655998 025 C000502 E 025 D000502 27557 025 A000503 E*TRADE FINANCIAL 025 B000503 77-0116489 025 C000503 E 025 D000503 384 025 A000504 GOLDMAN SACHS GROUP 025 B000504 13-5108880 025 C000504 E 025 D000504 7150 025 A000505 JPMORGAN CHASE & CO. 025 B000505 13-3224016 025 C000505 E 025 D000505 29287 025 A000506 PNC FINANCIAL SERVICES GROUP 025 B000506 25-1471636 025 C000506 E 025 D000506 12167 025 D000507 0 025 D000508 0 028 A010500 12788 028 A020500 0 028 A030500 0 028 A040500 107041 028 B010500 23268 028 B020500 -7 028 B030500 0 028 B040500 54314 028 C010500 15655 028 C020500 0 028 C030500 0 028 C040500 71646 028 D010500 14326 028 D020500 0 028 D030500 0 028 D040500 81966 028 E010500 19637 028 E020500 0 028 E030500 0 028 E040500 48390 028 F010500 12495 028 F020500 0 028 F030500 0 028 F040500 79683 028 G010500 98169 028 G020500 -7 028 G030500 0 028 G040500 443040 028 H000500 2305 PAGE 21 029 000500 Y 030 A000500 245 030 B000500 5.75 030 C000500 0.00 031 A000500 75 031 B000500 0 032 000500 12 033 000500 158 034 000500 Y 035 000500 16 036 A000500 N 036 B000500 0 037 000500 N 038 000500 0 039 000500 N 040 000500 Y 041 000500 Y 042 A000500 0 042 B000500 0 042 C000500 0 042 D000500 0 042 E000500 0 042 F000500 0 042 G000500 0 042 H000500 100 043 000500 4289 044 000500 0 045 000500 Y 046 000500 N 047 000500 N 048 000500 0.000 048 A010500 0 048 A020500 0.000 048 B010500 0 048 B020500 0.000 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 PAGE 22 048 K010500 0 048 K020500 0.000 049 000500 N 050 000500 N 051 000500 Y 052 000500 N 053 A000500 Y 053 B000500 Y 053 C000500 N 055 A000500 N 055 B000500 N 056 000500 Y 057 000500 N 066 A000500 Y 066 B000500 N 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 N 069 000500 N 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 N 070 C020500 N 070 D010500 Y 070 D020500 N 070 E010500 N 070 E020500 N 070 F010500 Y 070 F020500 Y 070 G010500 N 070 G020500 N 070 H010500 Y 070 H020500 N 070 I010500 N 070 I020500 N 070 J010500 Y 070 J020500 N 070 K010500 Y 070 K020500 Y 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 Y 070 N010500 Y PAGE 23 070 N020500 Y 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 N 070 Q010500 Y 070 Q020500 N 070 R010500 Y 070 R020500 N 071 A000500 1261156 071 B000500 1636186 071 C000500 2052268 071 D000500 61 072 A000500 12 072 B000500 4927 072 C000500 57725 072 D000500 0 072 E000500 0 072 F000500 9909 072 G000500 1095 072 H000500 0 072 I000500 2973 072 J000500 79 072 K000500 104 072 L000500 0 072 M000500 64 072 N000500 41 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 32 072 S000500 41 072 T000500 4289 072 U000500 0 072 V000500 0 072 W000500 293 072 X000500 18920 072 Y000500 160 072 Z000500 43892 072AA000500 0 072BB000500 711418 072CC010500 0 072CC020500 44531 072DD010500 9214 072DD020500 17070 072EE000500 69124 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 0 PAGE 24 074 B000500 0 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 1847250 074 G000500 0 074 H000500 0 074 I000500 423300 074 J000500 10821 074 K000500 0 074 L000500 9623 074 M000500 3 074 N000500 2290997 074 O000500 6 074 P000500 50 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 433940 074 S000500 0 074 T000500 1857001 074 U010500 160879 074 U020500 270666 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 596611 074 Y000500 1089 075 A000500 0 075 B000500 2084309 076 000500 0.00 SIGNATURE TITLE This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: September 21, 2009 Name of Registrant, Depositor, or Trustee: RiverSource Large Cap Series, Inc. /s/ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - --------------------------------------------------------------- By (Name and Title): /s/ Wade M. Voigt -- Assistant Treasurer - --------------------------------------------------------------- Witness (Name and Title): RIVERSOURCE LARGE CAP SERIES, INC. EX-99.77B ACCT LTTR 2 c53752a.txt Exhibit 77B Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of the RiverSource Large Cap Series, Inc. In planning and performing our audits of the financial statements of the funds listed in the accompanying Attachment A which comprise the RiverSource Large Cap Series, Inc. (the Funds) as of and for the year ended July 31, 2009, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds' internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund's internal control over financial reporting is a process designed 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 principles. A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds' internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds' internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2009. This report is intended solely for the information and use of management and the Board of Directors of the RiverSource Large Cap Series, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ Ernst & Young LLP Minneapolis, MN September 21, 2009 ATTACHMENT A FUNDS COMPRISING THE RIVERSOURCE LARGE CAP SERIES, INC.: RiverSource Disciplined Equity Fund RiverSource Growth Fund RiverSource Large Cap Equity Fund RiverSource Large Cap Value Fund EX-99.77C VOTES 3 c53752b.txt RIVERSOURCE LARGE CAP SERIES, INC. -- EXHIBIT 77C RESULTS OF MEETING OF SHAREHOLDERS RIVERSOURCE GROWTH FUND (THE FUND) SPECIAL MEETING OF SHAREHOLDERS HELD ON JUNE 2, 2009 (UNAUDITED) A brief description of the proposal voted upon at the meeting and the votes cast for, against or withheld, as well as the number of abstentions and broker non-votes as to the proposal is set forth below. A vote is based on total dollar interest in the Fund. To approve an Agreement and Plan of Reorganization between the Fund and Seligman Growth Fund, Inc.

RIVERSOURCE LARGE CAP EQUITY FUND (THE FUND) SPECIAL MEETING OF SHAREHOLDERS HELD ON JUNE 2, 2009 (UNAUDITED) A brief description of the proposal voted upon at the meeting and the votes cast for, against or withheld, as well as the number of abstentions and broker non-votes as to the proposal is set forth below. A vote is based on total dollar interest in the Fund. To approve an Agreement and Plan of Reorganization between the Fund and RiverSource Disciplined Equity Fund, a series of RiverSource Large Cap Series, Inc.

RIVERSOURCE LARGE CAP VALUE FUND (THE FUND) SPECIAL MEETING OF SHAREHOLDERS HELD ON JUNE 2, 2009 (UNAUDITED) A brief description of the proposal voted upon at the meeting and the votes cast for, against or withheld, as well as the number of abstentions and broker non-votes as to the proposal is set forth below. A vote is based on total dollar interest in the Fund. To approve an Agreement and Plan of Reorganization between the Fund and RiverSource Equity Value Fund, a series of RiverSource Strategy Series, Inc.

EX-99.77E LEGAL 4 c53752c.txt RIVERSOURCE LARGE CAP SERIES, INC. -- EXHIBIT 77E LEGAL PROCEEDINGS. Ameriprise Financial and certain of its affiliates have historically been involved in a number of legal, arbitration and regulatory proceedings, including routine litigation, class actions, and governmental actions, concerning matters arising in connection with the conduct of their business activities. Ameriprise Financial believes that the fund is not currently the subject of, and that neither Ameriprise Financial nor any of its affiliates are the subject of, any pending legal, arbitration or regulatory proceedings that are likely to have a material adverse effect on the fund or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the fund. Information regarding certain pending and settled legal proceedings may be found in the Fund's shareholder reports and in the SAI. Additionally, Ameriprise Financial is required to make 10-Q, 10-K and, as necessary, 8-K filings with the Securities and Exchange Commission on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. EX-99.77H CHNG CNTRL 5 c53752d.txt RIVERSOURCE LARGE CAP SERIES, INC. -- EXHIBIT 77H For RiverSource Large Cap Value Fund: During the six-month period ended July 31, 2009, the Fund served as an underlying investment of affiliated funds-of-funds. The RiverSource Portfolio Builder funds and RiverSource Investments, LLC, through its initial capital investment, were owners of record of more than 25% of the outstanding shares of the Fund. -----END PRIVACY-ENHANCED MESSAGE-----