-----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, UFSbS68F7kd+pqEtCmKSPWIvpC23PzKAnV1T8ArRy+PeWn+BJ0hRnXh9pFeNvTwn sEnlyMYmPAisx64FUmkXxg== 0001068800-06-001099.txt : 20060929 0001068800-06-001099.hdr.sgml : 20060929 20060929101207 ACCESSION NUMBER: 0001068800-06-001099 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20060731 FILED AS OF DATE: 20060929 DATE AS OF CHANGE: 20060929 EFFECTIVENESS DATE: 20060929 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: 061115747 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 C000008743 RiverSource Disciplined Equity Fund Class Y RQEYX C000008744 RiverSource Disciplined Equity Fund Class A AQEAX C000008745 RiverSource Disciplined Equity Fund Class I ALEIX 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 C000008750 RiverSource Growth Fund Class Y IGRYX 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 C000008755 RiverSource Large Cap Equity Fund Class Y ALEYX 0000049702 S000003290 RiverSource Large Cap Value Fund C000008756 RiverSource Large Cap Value Fund Class C C000008757 RiverSource Large Cap Value Fund Class Y 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 NSAR-B 1 answer.fil RIVERSOURCE LARGE CAP SERIES, INC. 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B000407 25-1471636 025 C000407 E 025 D000407 450 025 A000408 LEHMAN BROTHERS HOLDINGS 025 B000408 13-2518466 025 C000408 E 025 D000408 909 025 A000409 AMERICAN EXPRESS 025 B000409 134922250 025 C000409 E 025 D000409 361 025 D000410 0 025 D000411 0 025 D000412 0 025 D000413 0 025 D000414 0 025 D000415 0 PAGE 18 025 D000416 0 028 A010400 2188 028 A020400 0 028 A030400 0 028 A040400 3646 028 B010400 2018 028 B020400 1 028 B030400 0 028 B040400 4352 028 C010400 1236 028 C020400 0 028 C030400 0 028 C040400 19196 028 D010400 1785 028 D020400 0 028 D030400 0 028 D040400 2959 028 E010400 1275 028 E020400 0 028 E030400 0 028 E040400 3090 028 F010400 2624 028 F020400 0 028 F030400 0 028 F040400 16990 028 G010400 11126 028 G020400 1 028 G030400 0 028 G040400 50233 028 H000400 380 029 000400 Y 030 A000400 86 030 B000400 5.75 030 C000400 0.00 031 A000400 29 031 B000400 0 032 000400 0 033 000400 57 034 000400 Y 035 000400 37 036 A000400 N 036 B000400 0 037 000400 N 038 000400 0 039 000400 N 040 000400 Y 041 000400 Y 042 A000400 0 042 B000400 0 042 C000400 0 042 D000400 0 PAGE 19 042 E000400 0 042 F000400 0 042 G000400 0 042 H000400 100 043 000400 424 044 000400 0 045 000400 Y 046 000400 N 047 000400 N 048 000400 0.000 048 A010400 0 048 A020400 0.000 048 B010400 0 048 B020400 0.000 048 C010400 0 048 C020400 0.000 048 D010400 0 048 D020400 0.000 048 E010400 0 048 E020400 0.000 048 F010400 0 048 F020400 0.000 048 G010400 0 048 G020400 0.000 048 H010400 0 048 H020400 0.000 048 I010400 0 048 I020400 0.000 048 J010400 0 048 J020400 0.000 048 K010400 0 048 K020400 0.000 049 000400 N 050 000400 N 051 000400 Y 052 000400 N 053 A000400 N 054 A000400 Y 054 B000400 Y 054 C000400 Y 054 D000400 N 054 E000400 N 054 F000400 N 054 G000400 Y 054 H000400 Y 054 I000400 N 054 J000400 Y 054 K000400 N 054 L000400 Y 054 M000400 Y 054 N000400 N PAGE 20 054 O000400 Y 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 058 A000400 N 059 000400 Y 060 A000400 Y 060 B000400 Y 061 000400 2000 062 A000400 N 062 B000400 0.0 062 C000400 0.0 062 D000400 0.0 062 E000400 0.0 062 F000400 0.0 062 G000400 0.0 062 H000400 0.0 062 I000400 0.0 062 J000400 0.0 062 K000400 0.0 062 L000400 0.0 062 M000400 0.0 062 N000400 0.0 062 O000400 0.0 062 P000400 0.0 062 Q000400 0.0 062 R000400 0.0 063 A000400 0 063 B000400 0.0 066 A000400 Y 066 B000400 N 066 C000400 Y 066 D000400 N 066 E000400 N 066 F000400 N 066 G000400 N 067 000400 N 068 A000400 N 068 B000400 N 069 000400 N 070 A010400 Y 070 A020400 N 070 B010400 Y 070 B020400 N 070 C010400 N 070 C020400 N 070 D010400 Y 070 D020400 N 070 E010400 N 070 E020400 N PAGE 21 070 F010400 Y 070 F020400 N 070 G010400 N 070 G020400 N 070 H010400 Y 070 H020400 N 070 I010400 N 070 I020400 N 070 J010400 Y 070 J020400 N 070 K010400 Y 070 K020400 N 070 L010400 Y 070 L020400 Y 070 M010400 Y 070 M020400 Y 070 N010400 Y 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 Y 070 P020400 Y 070 Q010400 N 070 Q020400 N 070 R010400 N 070 R020400 N 071 A000400 58372 071 B000400 105789 071 C000400 125840 071 D000400 46 072 A000400 12 072 B000400 98 072 C000400 3237 072 D000400 0 072 E000400 0 072 F000400 715 072 G000400 78 072 H000400 0 072 I000400 185 072 J000400 53 072 K000400 54 072 L000400 0 072 M000400 9 072 N000400 53 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 21 072 S000400 0 072 T000400 424 072 U000400 0 PAGE 22 072 V000400 0 072 W000400 5 072 X000400 1597 072 Y000400 8 072 Z000400 1746 072AA000400 12601 072BB000400 0 072CC010400 0 072CC020400 5202 072DD010400 879 072DD020400 925 072EE000400 6945 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 308 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 95520 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 315 074 K000400 0 074 L000400 157 074 M000400 0 074 N000400 96300 074 O000400 48 074 P000400 9 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 52 074 S000400 0 074 T000400 96191 074 U010400 10692 074 U020400 5693 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 8048 074 Y000400 0 075 A000400 0 075 B000400 128652 076 000400 0.00 015 A000501 AMERIPRISE TRUST COMPANY 015 B000501 C PAGE 23 015 C010501 MINNEAPOLIS 015 C020501 MN 015 C030501 55474 015 E010501 X 024 000500 Y 025 A000501 E*TRADE FINANCIAL 025 B000501 77-0116489 025 C000501 E 025 D000501 7228 025 A000502 CITIGROUP 025 B000502 11-2418191 025 C000502 E 025 D000502 47237 025 A000503 LEHMAN BROTHERS HOLDINGS 025 B000503 13-2518466 025 C000503 E 025 D000503 21340 025 A000504 GOLDMAN SACHS GROUP 025 B000504 13-5108880 025 C000504 E 025 D000504 23908 025 A000505 FRANKLIN RESOURCES 025 B000505 13-2670991 025 C000505 E 025 D000505 11104 025 A000506 MORGAN STANLEY 025 B000506 13-2655998 025 C000506 E 025 D000506 12346 025 A000507 PNC FINANCIAL SERVICES GROUP 025 B000507 25-1471636 025 C000507 E 025 D000507 8408 025 A000508 CHRALES SCHWAB 025 B000508 94-1737782 025 C000508 E 025 D000508 3637 025 A000509 BEAR STEARNS COMPANIES 025 B000509 13-3299429 025 C000509 E 025 D000509 8408 025 A000510 MERRILL LYNCH & CO. 025 B000510 13-5674085 025 C000510 E 025 D000510 31054 025 A000511 JPMORGAN CHASE & CO. 025 B000511 13-3224016 025 C000511 E 025 D000511 9134 025 D000512 0 025 D000513 0 PAGE 24 025 D000514 0 025 D000515 0 025 D000516 0 028 A010500 7809 028 A020500 0 028 A030500 0 028 A040500 1164 028 B010500 1809022 028 B020500 3045 028 B030500 0 028 B040500 26277 028 C010500 16776 028 C020500 0 028 C030500 0 028 C040500 29083 028 D010500 25593 028 D020500 0 028 D030500 0 028 D040500 30203 028 E010500 12839 028 E020500 0 028 E030500 0 028 E040500 27147 028 F010500 46398 028 F020500 0 028 F030500 0 028 F040500 80142 028 G010500 1918437 028 G020500 3045 028 G030500 0 028 G040500 194016 028 H000500 1876 029 000500 Y 030 A000500 294 030 B000500 5.75 030 C000500 0.00 031 A000500 100 031 B000500 0 032 000500 0 033 000500 194 034 000500 Y 035 000500 29 036 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 PAGE 25 042 C000500 0 042 D000500 0 042 E000500 0 042 F000500 0 042 G000500 0 042 H000500 100 043 000500 1866 044 000500 0 045 000500 Y 046 000500 N 047 000500 N 048 000500 0.000 048 A010500 0 048 A020500 0.000 048 B010500 0 048 B020500 0.000 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 0 048 K020500 0.000 049 000500 N 050 000500 N 051 000500 Y 052 000500 N 053 A000500 Y 053 B000500 Y 053 C000500 N 054 A000500 Y 054 B000500 Y 054 C000500 Y 054 D000500 N 054 E000500 N 054 F000500 N 054 G000500 Y 054 H000500 Y 054 I000500 N 054 J000500 Y PAGE 26 054 K000500 N 054 L000500 Y 054 M000500 Y 054 N000500 N 054 O000500 Y 055 A000500 N 055 B000500 N 056 000500 Y 057 000500 N 058 A000500 N 059 000500 Y 060 A000500 Y 060 B000500 Y 061 000500 2000 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 063 A000500 0 063 B000500 0.0 066 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 PAGE 27 070 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 070 N020500 Y 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 N 070 Q010500 N 070 Q020500 N 070 R010500 N 070 R020500 N 071 A000500 2776607 071 B000500 1151292 071 C000500 840470 071 D000500 137 072 A000500 12 072 B000500 871 072 C000500 16282 072 D000500 0 072 E000500 0 072 F000500 5175 072 G000500 497 072 H000500 0 072 I000500 887 072 J000500 44 072 K000500 69 072 L000500 0 072 M000500 12 072 N000500 81 072 O000500 0 072 P000500 0 072 Q000500 0 PAGE 28 072 R000500 29 072 S000500 0 072 T000500 1866 072 U000500 0 072 V000500 0 072 W000500 109 072 X000500 8769 072 Y000500 325 072 Z000500 8709 072AA000500 122200 072BB000500 0 072CC010500 0 072CC020500 121609 072DD010500 354 072DD020500 1350 072EE000500 7647 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 74 074 B000500 0 074 C000500 19297 074 D000500 0 074 E000500 0 074 F000500 1912335 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 6028 074 K000500 0 074 L000500 3026 074 M000500 0 074 N000500 1940760 074 O000500 7415 074 P000500 141 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 12738 074 S000500 0 074 T000500 1920466 074 U010500 203068 074 U020500 81839 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 91241 074 Y000500 813 075 A000500 0 PAGE 29 075 B000500 853863 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 22, 2006 Name of Registrant, Depositor, or Trustee: - -------------------------------------------------------------------------------- By (Name and Title): /s/ Jeffrey P. Fox ------------------ Jeffrey P. Fox -- Treasurer and Chief Financial Officer - -------------------------------------------------------------------------------- Witness (Name and Title): /s/ Paul Bernard ---------------- Paul Bernard -- Assistant Treasurer - -------------------------------------------------------------------------------- RIVERSOURCE LARGE CAP SERIES, INC. EX-99.77B ACCT LTTR 2 ex99-77b.txt REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM The Board of Directors and Shareholders RiverSource Large Cap Series, Inc.: In planning and performing our audits of the financial statements of RiverSource Growth Fund, RiverSource Large Cap Equity Fund, RiverSource Large Cap Value Fund, and RiverSource Disciplined Equity Fund (funds within RiverSource Large Cap Series, Inc.) for the year ended July 31, 2006, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered their internal control over financial reporting, including control activities for 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 RiverSource Large Cap Series, Inc. 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 company'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 U.S. generally accepted accounting principles. Such internal control includes policies and procedures that provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of 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 control deficiency 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 significant deficiency is a control deficiency, or combination of control deficiencies, that adversely affects the company's ability to initiate, authorize, record, process or report external financial data reliably in accordance with U.S. generally accepted accounting principles such that there is more than a remote likelihood that a misstatement of the company's annual or interim financial statements that is more than inconsequential will not be prevented or detected. A material weakness is a significant deficiency, or combination of significant deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. Our consideration of the RiverSource Large Cap Series, Inc. 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 significant deficiencies or material weaknesses under the standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the RiverSource Large Cap Series, Inc. internal control over financial reporting and its operation, including controls for safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2006. This report is intended solely for the information and use of management and the Board of Directors of 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/ KPMG LLP ------------ KPMG LLP Minneapolis, Minnesota September 20, 2006 EX-99.77E LEGAL 3 ex99-77e.txt LEGAL PROCEEDINGS 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. 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. -----END PRIVACY-ENHANCED MESSAGE-----