-----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, TGsDLNV3Daw/IZ32XdfTC26ImRDGyrv5NaplyQKAdXWpMisdR/4/Rsgw/jv2AkO7 rOe2wMJjJicq4HIfAfiDRg== 0000820027-02-000611.txt : 20020927 0000820027-02-000611.hdr.sgml : 20020927 20020927150810 ACCESSION NUMBER: 0000820027-02-000611 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020731 FILED AS OF DATE: 20020927 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AXP NEW DIMENSIONS FUND INC /MN/ CENTRAL INDEX KEY: 0000049717 IRS NUMBER: 410940846 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-01629 FILM NUMBER: 02774641 BUSINESS ADDRESS: STREET 1: 80 SOUTH 8TH STREET STREET 2: T33/52 CITY: MINNEAPOLIS STATE: MN ZIP: 55440 BUSINESS PHONE: 6123722772 FORMER COMPANY: FORMER CONFORMED NAME: IDS NEW DIMENSIONS FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: AXP NEW DIMENSIONS FUND INC/ DATE OF NAME CHANGE: 20000404 NSAR-B 1 answer.fil AXP NEW DIMENSIONS FUND, INC. PAGE 1 000 B000000 07/31/2002 000 C000000 0000049717 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 AXP NEW DIMENSIONS FUND, INC. 001 B000000 811-1629 001 C000000 6126713800 002 A000000 200 AXP FINANCIAL CENTER 002 B000000 MINNEAPOLIS 002 C000000 MN 002 D010000 55474 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 AXP NEW DIMENSIONS FUND 007 C030100 N 007 C010200 2 007 C020200 AXP GROWTH DIMENSIONS FUND 007 C030200 N 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 011 A00AA01 AMERICAN EXPRESS FINANCIAL ADVISORS INC. 011 B00AA01 8-16791 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 012 A00AA01 AMERICAN EXPRESS CLIENT SERVICE CORPORATION 012 B00AA01 84-5685 012 C01AA01 MINNEAPOLIS 012 C02AA01 MN 012 C03AA01 55474 013 A00AA01 KPMG LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 013 B04AA01 3900 PAGE 2 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 78 019 C00AA00 AMEXPFUNDS 020 A000001 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 020 B000001 41-1667086 020 C000001 37 020 A000002 CAPITAL INSTITUTIONAL SERVICES, INC. 020 B000002 75-1565705 020 C000002 30 020 A000003 SALOMON SMITH BARNEY INC. 020 B000003 11-2418191 020 C000003 25 020 A000004 CREDIT SUISSE FIRST BOSTON CORP. 020 B000004 13-5959485 020 C000004 24 020 A000005 LEHMAN BROTHERS INC. 020 B000005 13-2518466 020 C000005 23 020 A000006 GOLDMAN, SACHS & CO. 020 B000006 13-5108880 020 C000006 22 020 A000007 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 020 B000007 13-5674085 020 C000007 21 020 A000008 STANDARD & POOR'S SECURITIES, INC. 020 B000008 13-2671951 020 C000008 15 020 A000009 MORGAN STANLEY, DEAN WITTER & CO. 020 B000009 13-2655998 020 C000009 13 020 A000010 CIBC WORLD MARKETS CORP. 020 B000010 13-2798343 020 C000010 12 021 000000 305 022 A000001 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000001 13-5674085 022 C000001 31950 022 D000001 4682 022 A000002 SALOMON SMITH BARNEY INC. 022 B000002 11-2418191 022 C000002 18435 022 D000002 15299 022 A000003 J.P. MORGAN SECURITIES INC. 022 B000003 13-3224016 022 C000003 18530 022 D000003 14484 022 A000004 LEHMAN COMMERCIAL PAPER INC. 022 B000004 13-2501865 022 C000004 21178 022 D000004 0 PAGE 3 022 A000005 CREDIT SUISSE FIRST BOSTON CORP. 022 B000005 13-5659485 022 C000005 20165 022 D000005 100 022 A000006 MORGAN STANLEY DEAN WITTER & CO. 022 B000006 13-2655998 022 C000006 5000 022 D000006 4092 022 A000007 GOLDMAN, SACHS & CO. 022 B000007 13-5108880 022 C000007 3692 022 D000007 4793 022 A000008 BANK OF AMERICA 022 B000008 94-1687655 022 C000008 5085 022 D000008 0 022 A000009 BANC ONE CAPITAL MARKETS, INC. 022 B000009 36-3595942 022 C000009 4690 022 D000009 0 022 A000010 BEAR, STEARNS & CO. INC. 022 B000010 13-3299429 022 C000010 0 022 D000010 2694 023 C000000 133116 023 D000000 51154 026 A000000 N 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 Y 026 F000000 Y 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 037 00AA00 N 038 00AA00 0 039 00AA00 N 040 00AA00 Y 041 00AA00 Y 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 100 062 A00AA00 N 062 B00AA00 0.0 062 C00AA00 0.0 062 D00AA00 0.0 062 E00AA00 0.0 PAGE 4 062 F00AA00 0.0 062 G00AA00 0.0 062 H00AA00 0.0 062 I00AA00 0.0 062 J00AA00 0.0 062 K00AA00 0.0 062 L00AA00 0.0 062 M00AA00 0.0 062 N00AA00 0.0 062 O00AA00 0.0 062 P00AA00 0.0 062 Q00AA00 0.0 062 R00AA00 0.0 063 A00AA00 0 063 B00AA00 0.0 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 Y 078 000000 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 015 A000101 AMERICAN EXPRESS TRUST COMPANY 015 B000101 C 015 C010101 MINNEAPOLIS 015 C020101 MN PAGE 5 015 C030101 55474 015 E010101 X 024 000100 N 025 D000101 0 025 D000102 0 025 D000103 0 025 D000104 0 025 D000105 0 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 314725 028 A020100 0 028 A030100 0 028 A040100 410849 028 B010100 411239 028 B020100 -1 028 B030100 0 028 B040100 432934 028 C010100 410447 028 C020100 0 028 C030100 0 028 C040100 736461 028 D010100 321085 028 D020100 0 028 D030100 0 028 D040100 474665 028 E010100 234402 028 E020100 -6 028 E030100 0 028 E040100 530668 028 F010100 279761 028 F020100 1 028 F030100 0 028 F040100 806514 028 G010100 1971659 028 G020100 -6 028 G030100 0 028 G040100 3392091 028 H000100 674207 029 000100 Y 030 A000100 23220 030 B000100 5.75 030 C000100 0.00 031 A000100 11837 031 B000100 0 032 000100 0 033 000100 11383 034 000100 Y 035 000100 5102 036 A000100 N PAGE 6 036 B000100 0 042 A000100 0 042 B000100 0 042 C000100 0 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 100 043 000100 77625 044 000100 0 045 000100 N 048 000100 0.000 048 A010100 0 048 A020100 0.000 048 B010100 0 048 B020100 0.000 048 C010100 0 048 C020100 0.000 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 0 048 K020100 0.000 055 A000100 N 055 B000100 N 056 000100 N 057 000100 N 066 A000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 N 070 A020100 N 070 B010100 N 070 B020100 N 070 C010100 N 070 C020100 N 070 D010100 N PAGE 7 070 D020100 N 070 E010100 N 070 E020100 N 070 F010100 N 070 F020100 N 070 G010100 N 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 N 070 J020100 N 070 K010100 N 070 K020100 N 070 L010100 N 070 L020100 N 070 M010100 N 070 M020100 N 070 N010100 N 070 N020100 N 070 O010100 N 070 O020100 N 070 P010100 N 070 P020100 N 070 Q010100 N 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 0 071 B000100 0 071 C000100 0 071 D000100 0 072 A000100 12 072 B000100 18417 072 C000100 115577 072 D000100 0 072 E000100 0 072 F000100 0 072 G000100 6562 072 H000100 0 072 I000100 32336 072 J000100 0 072 K000100 2095 072 L000100 0 072 M000100 149 072 N000100 382 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 12 PAGE 8 072 S000100 0 072 T000100 77625 072 U000100 0 072 V000100 0 072 W000100 4152 072 X000100 123313 072 Y000100 407 072 Z000100 11088 072AA000100 0 072BB000100 78717 072CC010100 0 072CC020100 4792258 072DD010100 0 072DD020100 0 072EE000100 14966 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 0 074 B000100 0 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 0 074 K000100 0 074 L000100 0 074 M000100 16858922 074 N000100 16858922 074 O000100 0 074 P000100 259 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 712 074 S000100 0 074 T000100 16857951 074 U010100 492114 074 U020100 357380 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 1732497 074 Y000100 0 075 A000100 0 075 B000100 19638397 PAGE 9 076 000100 0.00 080 A000100 N/A 080 C000100 0 081 A000100 N 081 B000100 0 082 A000100 N 082 B000100 0 083 A000100 N 083 B000100 0 084 A000100 N 084 B000100 0 085 A000100 N 085 B000100 N 008 A000201 AMERICAN EXPRESS FINANCIAL CORPORATION 008 B000201 A 008 C000201 801-14721 008 D010201 MINNEAPOLIS 008 D020201 MN 008 D030201 55474 015 A000201 AMERICAN EXPRESS TRUST COMPANY 015 B000201 C 015 C010201 MINNEAPOLIS 015 C020201 MN 015 C030201 55474 015 E010201 X 024 000200 Y 025 A000201 GOLDMAN SACHS GROUP 025 B000201 13-5108880 025 C000201 E 025 D000201 2195 025 A000202 BANK OF AMERICA 025 B000202 94-1687655 025 C000202 E 025 D000202 5320 025 A000203 LEHMAN BROTHERS HOLDINGS 025 B000203 13-2518466 025 C000203 E 025 D000203 1701 025 A000204 CITIGROUP 025 B000204 11-2418191 025 C000204 E 025 D000204 6708 025 D000205 0 025 D000206 0 025 D000207 0 025 D000208 0 028 A010200 4843 028 A020200 0 028 A030200 0 028 A040200 7489 028 B010200 4907 PAGE 10 028 B020200 0 028 B030200 0 028 B040200 9448 028 C010200 4608 028 C020200 0 028 C030200 0 028 C040200 11299 028 D010200 3473 028 D020200 0 028 D030200 0 028 D040200 8893 028 E010200 2471 028 E020200 0 028 E030200 0 028 E040200 10509 028 F010200 4706 028 F020200 0 028 F030200 0 028 F040200 15083 028 G010200 25008 028 G020200 0 028 G030200 0 028 G040200 62721 028 H000200 6222 029 000200 Y 030 A000200 747 030 B000200 5.75 030 C000200 0.00 031 A000200 450 031 B000200 0 032 000200 0 033 000200 297 034 000200 Y 035 000200 195 036 A000200 N 036 B000200 0 042 A000200 0 042 B000200 0 042 C000200 0 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 043 000200 1470 044 000200 0 045 000200 Y 046 000200 N 047 000200 N 048 000200 0.000 048 A010200 0 PAGE 11 048 A020200 0.000 048 B010200 0 048 B020200 0.000 048 C010200 0 048 C020200 0.000 048 D010200 0 048 D020200 0.000 048 E010200 0 048 E020200 0.000 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 0 048 K020200 0.000 049 000200 N 050 000200 N 051 000200 Y 052 000200 N 053 A000200 N 054 A000200 N 054 B000200 Y 054 C000200 Y 054 D000200 N 054 E000200 N 054 F000200 N 054 G000200 N 054 H000200 N 054 I000200 N 054 J000200 N 054 K000200 N 054 L000200 Y 054 M000200 Y 054 N000200 N 054 O000200 Y 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 066 A000200 Y 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N PAGE 12 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 N 070 B010200 Y 070 B020200 N 070 C010200 N 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 N 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 N 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 N 070 N010200 Y 070 N020200 Y 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 Y 070 Q010200 N 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 187858 071 B000200 235159 071 C000200 271146 071 D000200 69 072 A000200 12 072 B000200 451 072 C000200 2197 072 D000200 0 072 E000200 0 072 F000200 1360 PAGE 13 072 G000200 91 072 H000200 0 072 I000200 862 072 J000200 30 072 K000200 60 072 L000200 0 072 M000200 12 072 N000200 85 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 15 072 S000200 0 072 T000200 1470 072 U000200 0 072 V000200 0 072 W000200 4 072 X000200 3989 072 Y000200 8 072 Z000200 -1333 072AA000200 0 072BB000200 115630 072CC010200 30046 072CC020200 0 072DD010200 0 072DD020200 0 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 318 074 B000200 0 074 C000200 26663 074 D000200 0 074 E000200 0 074 F000200 191094 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 0 074 K000200 0 074 L000200 94 074 M000200 0 074 N000200 218169 074 O000200 3179 074 P000200 390 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 PAGE 14 074 R040200 97 074 S000200 0 074 T000200 214503 074 U010200 70056 074 U020200 36332 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 41019 074 Y000200 0 075 A000200 0 075 B000200 290787 076 000200 0.00 080 A000200 TRAVELERS CASUALTY & SURETY CO. OF AMERICA 080 B000200 CONTINENTAL CASUALTY COMPANY 080 C000200 750 081 A000200 N 081 B000200 0 082 A000200 N 082 B000200 0 083 A000200 N 083 B000200 0 084 A000200 N 084 B000200 0 085 A000200 Y 085 B000200 N SIGNATURE LESLIE L. OGG TITLE GENERAL COUNSEL Independent Auditors' Report on Internal Accounting Control The Board of Directors and Shareholders AXP New Dimensions Fund, Inc.: In planning and performing our audits of the financial statements of AXP New Dimensions Fund, and AXP Growth Dimensions Fund (a series of AXP New Dimensions Fund, Inc.) for the year ended July 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on the internal control. The management of AXP New Dimensions Fund, Inc. is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of the internal control would not necessarily disclose all matters in the internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving the internal control and its operation, including controls for safeguarding securities, that we consider to be a material weakness as defined above as of July 31, 2002. This report is intended solely for the information and use of management, the Board of Directors of AXP New Dimensions Fund, Inc., and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ KPMG LLP - --------------------- KPMG LLP Minneapolis, Minnesota September 6, 2002 EX-99.77Q3 CERT 3 ex99-77q3_cert.txt CERTIFICATION PURSUANT TO 270.30A-2 OF THE INVESTMENT COMPANY ACT OF 1940 Certification Pursuant to 270.30a-2 of the Investment Company Act of 1940 I, Paula R. Meyer, certify that: 1. I have reviewed this report on Form N-SAR of AXP New Dimensions Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report. Date: September 27, 2002 /s/ Paula R. Meyer ------------------- Name: Paula R. Meyer Title: President and Chief Executive Officer Certification Pursuant to 270.30a-2 of the Investment Company Act of 1940 I, Jeffrey P. Fox, certify that: 1. I have reviewed this report on Form N-SAR of AXP New Dimensions Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report. Date: September 27, 2002 /s/ Jeffrey P. Fox ------------------- Name: Jeffrey P. Fox Title: Treasurer and Chief Financial Officer -----END PRIVACY-ENHANCED MESSAGE-----