-----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, Czta3aa8FHPWCIuaeapR2S5GArRcVwyeRgT/bhpYW7HcYTfhdveWmMSNyk+OWP7B CxG3LWCayWABNJ66vJSTsA== 0000950123-09-018269.txt : 20090629 0000950123-09-018269.hdr.sgml : 20090629 20090629080032 ACCESSION NUMBER: 0000950123-09-018269 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 DIMENSIONS SERIES INC CENTRAL INDEX KEY: 0000049717 IRS NUMBER: 410940846 STATE OF INCORPORATION: MN FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-01629 FILM NUMBER: 09914405 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: RIVERSOURCE DIMENSIONS SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP DIMENSIONS SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP NEW DIMENSIONS FUND INC /MN/ DATE OF NAME CHANGE: 20000417 0000049717 S000003459 RiverSource Disciplined Small Cap Value Fund C000009585 RiverSource Disciplined Small Cap Value Fund Class A RDVAX C000009586 RiverSource Disciplined Small Cap Value Fund Class B C000009587 RiverSource Disciplined Small Cap Value Fund Class C RDVCX C000009588 RiverSource Disciplined Small Cap Value Fund Class I RCVIX C000042778 RiverSource Disciplined Small Cap Value Fund Class R2 C000042779 RiverSource Disciplined Small Cap Value Fund Class R3 C000042780 RiverSource Disciplined Small Cap Value Fund Class R4 RSDVX C000042781 RiverSource Disciplined Small Cap Value Fund Class R5 0000049717 S000011670 RiverSource Disciplined Small and Mid Cap Equity Fund C000032029 RiverSource Disciplined Small and Mid Cap Equity Fund Class A RDSAX C000032030 RiverSource Disciplined Small and Mid Cap Equity Fund Class B C000032031 RiverSource Disciplined Small and Mid Cap Equity Fund Class C RDSCX C000032032 RiverSource Disciplined Small and Mid Cap Equity Fund Class I RDSIX C000042782 RiverSource Disciplined Small and Mid Cap Equity Fund Class R4 C000042783 RiverSource Disciplined Small and Mid Cap Equity Fund Class W RSEWX N-Q 1 c51598nvq.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 811-1629 RIVERSOURCE DIMENSIONS 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 SMALL AND MID 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 (97.1%) ISSUER SHARES VALUE(a) AEROSPACE & DEFENSE (0.8%) AeroVironment 8,369(b) $198,011 American Science & Engineering 4,466 269,121 Applied Signal Technology 7,814(e) 154,405 Ceradyne 53,954(b) 930,166 --------------- Total 1,551,703 - ------------------------------------------------------------------------------------- AIR FREIGHT & LOGISTICS (0.5%) CH Robinson Worldwide 5,415(e) 287,861 Hub Group Cl A 12,844(b) 295,412 Pacer Intl 93,347 395,792 --------------- Total 979,065 - ------------------------------------------------------------------------------------- AIRLINES (2.2%) Alaska Air Group 39,760(b) 667,173 Allegiant Travel 8,932(b,e) 464,821 AMR 42,336(b) 201,519 Continental Airlines Cl B 25,949(b,e) 272,983 Delta Air Lines 87,115(b) 537,500 Hawaiian Holdings 95,858(b,e) 478,331 JetBlue Airways 61,139(b) 301,415 SkyWest 90,880 1,094,196 Southwest Airlines 14,919 104,135 --------------- Total 4,122,073 - ------------------------------------------------------------------------------------- AUTO COMPONENTS (1.3%) Autoliv 20,572(c,e) 507,511 Cooper Tire & Rubber 112,102(e) 927,083 Exide Technologies 52,790(b,e) 286,650 Goodyear Tire & Rubber 44,742(b) 491,715 Lear 234,276(b,e) 187,421 --------------- Total 2,400,380 - ------------------------------------------------------------------------------------- BEVERAGES (0.1%) Pepsi Bottling Group 5,593 174,893 - ------------------------------------------------------------------------------------- BIOTECHNOLOGY (2.1%) Alexion Pharmaceuticals 8,097(b) 270,602 Cephalon 5,853(b,e) 384,015 Emergent BioSolutions 18,800(b,e) 201,348 Isis Pharmaceuticals 27,998(b) 439,009 Myriad Genetics 54,253(b) 2,104,474 NPS Pharmaceuticals 43,419(b) 150,230 Vertex Pharmaceuticals 12,664(b,e) 390,304 --------------- Total 3,939,982 - ------------------------------------------------------------------------------------- BUILDING PRODUCTS (0.6%) American Woodmark 16,381 339,087 Apogee Enterprises 24,299(e) 325,607 Insteel Inds 47,347(e) 352,735 Owens Corning 10,618(b) 190,062 --------------- Total 1,207,491 - ------------------------------------------------------------------------------------- CAPITAL MARKETS (1.1%) GFI Group 43,117 175,917 Greenhill & Co 5,374(e) 416,646 Knight Capital Group Cl A 24,556(b) 380,372 Stifel Financial 9,322(b,e) 458,922 SWS Group 46,865(e) 599,404 --------------- Total 2,031,261 - ------------------------------------------------------------------------------------- CHEMICALS (2.8%) Balchem 12,708(e) 316,302 CF Inds Holdings 2,919 210,314 Eastman Chemical 4,522(e) 179,433 Innophos Holdings 24,096 357,344 Olin 16,852 212,335 OM Group 48,172(b,e) 1,342,072 PPG Inds 5,387(e) 237,297 Solutia 79,745(b) 299,841 Terra Inds 7,014 185,871 Valspar 6,521(e) 156,504 Westlake Chemical 12,362(e) 231,169 WR Grace & Co 168,714(b) 1,489,745 --------------- Total 5,218,227 - ------------------------------------------------------------------------------------- COMMERCIAL BANKS (2.1%) BancFirst 6,427(e) 274,433 First Citizens BancShares Cl A 1,205 144,202 First Financial 9,065 336,312 First Financial Bankshares 11,222(e) 553,021 First Horizon Natl 11,014(e) 126,771 Intl Bancshares 39,172(e) 529,214 Republic Bancorp Cl A 11,577 257,472 TowneBank 14,586 251,317 Trico Bancshares 15,002(e) 240,032 Trustmark 21,942 477,019 UMB Financial 11,155(e) 510,564 Wilshire Bancorp 34,347(e) 138,762 Zions Bancorporation 14,281 156,091 --------------- Total 3,995,210 - ------------------------------------------------------------------------------------- COMMERCIAL SERVICES & SUPPLIES (1.6%) Herman Miller 36,183 538,041 HNI 41,048 636,244 Kimball Intl Cl B 37,006 203,163 Rollins 12,900 232,200 Sykes Enterprises 18,468(b) 363,081 United Stationers 20,549(b,e) 672,569 Viad 16,400 312,912 --------------- Total 2,958,210 - ------------------------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (1.9%) 3Com 217,162(b) 879,506 ARRIS Group 58,345(b,e) 622,541 InterDigital 28,717(b,e) 755,831 NETGEAR 42,754(b) 684,492 Palm 17,402(b,e) 182,547 Starent Networks 9,227(b,e) 182,049 Tellabs 42,860(b) 224,586 --------------- Total 3,531,552 - ------------------------------------------------------------------------------------- COMPUTERS & PERIPHERALS (1.9%) Adaptec 111,318(b,e) 318,369 Electronics for Imaging 36,290(b) 356,368 Lexmark Intl Cl A 23,874(b) 468,408 NCR 18,125(b) 183,969 Novatel Wireless 46,176(b) 316,306 Seagate Technology 117,862(c) 961,754 Western Digital 37,212(b) 875,226 --------------- Total 3,480,400 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 1 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) CONSTRUCTION & ENGINEERING (2.4%) EMCOR Group 30,291(b) $629,750 Fluor 5,285 200,143 Granite Construction 39,290(e) 1,549,991 KBR 20,759 324,256 Michael Baker 5,684(b,e) 190,982 Perini 92,058(b,e) 1,592,603 --------------- Total 4,487,725 - ------------------------------------------------------------------------------------- CONSTRUCTION MATERIALS (0.1%) Vulcan Materials 4,584 217,969 - ------------------------------------------------------------------------------------- CONSUMER FINANCE (0.6%) Advanta Cl B 122,086(e) 142,841 Discover Financial Services 119,762 973,665 --------------- Total 1,116,506 - ------------------------------------------------------------------------------------- CONTAINERS & PACKAGING (0.4%) Pactiv 7,742(b) 169,240 Rock-Tenn Cl A 14,214(e) 536,721 --------------- Total 705,961 - ------------------------------------------------------------------------------------- DIVERSIFIED CONSUMER SERVICES (0.9%) Corinthian Colleges 52,852(b,e) 813,921 H&R Block 17,879 270,688 Regis 19,104 365,651 Universal Technical Institute 18,301(b,e) 260,606 --------------- Total 1,710,866 - ------------------------------------------------------------------------------------- DIVERSIFIED FINANCIAL SERVICES (0.1%) Moody's 8,092 238,876 - ------------------------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (0.8%) CenturyTel 7,855(e) 213,263 Embarq 15,324 560,246 Qwest Communications Intl 141,488(e) 550,388 Shenandoah Telecommunications 12,379 243,000 --------------- Total 1,566,897 - ------------------------------------------------------------------------------------- ELECTRIC UTILITIES (0.3%) Hawaiian Electric Inds 7,733 120,171 Portland General Electric 20,163(e) 368,378 Progress Energy 3,431 117,066 --------------- Total 605,615 - ------------------------------------------------------------------------------------- ELECTRICAL EQUIPMENT (0.5%) Encore Wire 8,693 189,855 GrafTech Intl 89,394(b,e) 785,773 --------------- Total 975,628 - ------------------------------------------------------------------------------------- ELECTRONIC EQUIPMENT, INSTRUMENTS & COMPONENTS (3.8%) Anixter Intl 32,004(b,e) 1,273,119 Arrow Electronics 25,739(b) 585,305 Avnet 26,651(b) 583,390 Benchmark Electronics 137,068(b,e) 1,662,635 Ingram Micro Cl A 51,041(b) 741,115 Insight Enterprises 84,430(b) 482,940 Jabil Circuit 41,031 332,351 Methode Electronics 53,446 321,745 Plexus 18,024(b,e) 399,232 SYNNEX 28,248(b,e) 608,179 Vishay Intertechnology 35,939(b) 210,962 --------------- Total 7,200,973 - ------------------------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (4.0%) BASiC Energy Services 71,215(b,e) 726,392 BJ Services 35,836 497,762 Bronco Drilling 34,636(b,e) 190,152 Complete Production Services 53,348(b) 356,365 ENSCO Intl 26,035 736,269 GulfMark Offshore 22,339(b,e) 600,472 Helmerich & Payne 8,851(e) 272,788 Lufkin Inds 12,694(e) 443,021 Nabors Inds 40,777(b,c,e) 620,218 Noble 24,114 659,036 Parker Drilling 245,141(b,e) 676,589 Patterson-UTI Energy 25,763(e) 327,448 Pioneer Drilling 64,578(b,e) 322,890 Rowan Companies 20,868(e) 325,749 SEACOR Holdings 2,489(b) 163,577 Tidewater 7,954(e) 344,011 Unit 10,896(b,e) 297,352 --------------- Total 7,560,091 - ------------------------------------------------------------------------------------- FOOD & STAPLES RETAILING (1.7%) Casey's General Stores 17,023(e) 452,982 Great Atlantic & Pacific Tea 25,683(b,e) 188,513 Ingles Markets Cl A 19,931 311,123 Nash Finch 9,177 268,794 Pantry 18,116(b) 427,900 Safeway 14,965 295,559 SUPERVALU 32,758(e) 535,593 Winn-Dixie Stores 67,431(b,e) 772,760 --------------- Total 3,253,224 - ------------------------------------------------------------------------------------- FOOD PRODUCTS (3.4%) Bunge 14,984 719,382 Cal-Maine Foods 21,040(e) 556,929 Campbell Soup 5,424 139,505 Darling Intl 56,882(b) 325,365 Dean Foods 7,090(b) 146,763 Diamond Foods 11,374 297,885 Flowers Foods 23,718(e) 547,886 Fresh Del Monte Produce 16,557(b,c) 240,408 Hershey 7,821(e) 282,651 J&J Snack Foods 10,744 416,437 JM Smucker 6,854 270,048 Lancaster Colony 4,116(e) 180,281 Lance 16,186 374,868 Ralcorp Holdings 17,165(b) 981,150 Sanderson Farms 10,830(e) 432,117 TreeHouse Foods 19,596(b,e) 521,058 --------------- Total 6,432,733 - ------------------------------------------------------------------------------------- GAS UTILITIES (1.3%) Laclede Group 15,643 542,499 New Jersey Resources 33,261 1,094,952 Piedmont Natural Gas 35,076(e) 856,556 --------------- Total 2,494,007 - ------------------------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (1.3%) Edwards Lifesciences 2,131(b) 135,063 Greatbatch 13,679(b,e) 287,806 STERIS 23,620(e) 569,242 Thoratec 34,455(b,e) 1,001,262 Vision-Sciences 17,885(b,e) 21,283 Volcano 26,861(b) 354,297 --------------- Total 2,368,953 - ------------------------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (5.5%) AMERIGROUP 35,699(b,e) 1,066,329 CIGNA 46,207 910,740 Coventry Health Care 27,609(b) 439,259 DaVita 4,019(b) 186,361 Emergency Medical Services Cl A 4,774(b) 166,326 Gentiva Health Services 13,776(b,e) 219,452 Health Net 13,954(b) 201,496 HealthSpring 80,890(b) 746,615 HMS Holdings 9,029(b,e) 270,689 Humana 28,151(b) 810,186 Kindred Healthcare 69,147(b) 900,294 Landauer 6,687 354,277 LHC Group 5,286(b) 120,627 Magellan Health Services 53,165(b,e) 1,571,557 Molina Healthcare 33,904(b) 734,022 Omnicare 14,323 368,244 Quest Diagnostics 10,174 522,231 Triple-S Management Cl B 22,573(b,c,e) 289,386 Universal American Financial 37,258(b) 384,875 --------------- Total 10,262,966 - ------------------------------------------------------------------------------------- HEALTH CARE TECHNOLOGY (0.4%) Allscripts-Misys Healthcare Solutions 45,272(e) 562,278 Computer Programs & Systems 5,732(e) 200,563 --------------- Total 762,841 - ------------------------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (0.4%) Bob Evans Farms 10,658 258,457 California Pizza Kitchen 16,606(b,e) 260,880 Panera Bread Cl A 3,401(b,e) 190,490 --------------- Total 709,827 - ------------------------------------------------------------------------------------- HOUSEHOLD DURABLES (1.8%) American Greetings Cl A 53,655(e) 421,192 DR Horton 8,547 111,538 Garmin 15,672(c) 394,778 Leggett & Platt 8,257 118,571 Natl Presto Inds 6,438 458,772 NVR 475(b) 240,051 Pulte Homes 15,369(e) 176,897 Ryland Group 17,230(e) 356,833
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 2 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) HOUSEHOLD DURABLES (CONT.) Toll Brothers 8,202(b,e) $166,173 Whirlpool 21,101(e) 952,920 --------------- Total 3,397,725 - ------------------------------------------------------------------------------------- HOUSEHOLD PRODUCTS (0.4%) Central Garden & Pet Cl A 20,025(b) 181,627 Clorox 9,126(e) 511,512 --------------- Total 693,139 - ------------------------------------------------------------------------------------- INDEPENDENT POWER PRODUCERS & ENERGY TRADERS (0.3%) Calpine 18,684(b) 151,527 Constellation Energy Group 14,417 347,162 --------------- Total 498,689 - ------------------------------------------------------------------------------------- INDUSTRIAL CONGLOMERATES (0.5%) McDermott Intl 15,149(b) 244,505 Seaboard 496 463,760 Tredegar 18,015 316,704 --------------- Total 1,024,969 - ------------------------------------------------------------------------------------- INSURANCE (8.2%) Allied World Assurance Holdings 8,958(c) 332,700 American Financial Group 13,050 229,419 Amerisafe 31,651(b) 486,159 Arch Capital Group 7,502(b,c) 433,466 Aspen Insurance Holdings 84,994(c,e) 2,004,158 Axis Capital Holdings 17,645(c,e) 434,773 Cincinnati Financial 13,887 332,594 Endurance Specialty Holdings 8,747(c) 228,822 Everest Re Group 6,673(c) 498,073 HCC Insurance Holdings 19,420 464,526 IPC Holdings 43,098(c) 1,122,272 Marsh & McLennan Companies 22,618 477,014 Montpelier Re Holdings 45,927(c) 572,250 Odyssey Re Holdings 39,328(e) 1,505,869 PartnerRe 7,695(c) 524,722 Platinum Underwriters Holdings 63,714(c,e) 1,833,052 RenaissanceRe Holdings 9,358(c) 455,360 RLI 15,471(e) 743,072 Validus Holdings 62,812(c) 1,406,989 WR Berkley 21,910 523,868 Zenith Natl Insurance 32,899(e) 749,768 --------------- Total 15,358,926 - ------------------------------------------------------------------------------------- INTERNET & CATALOG RETAIL (0.5%) NetFlix 3,998(b,e) 181,149 NutriSystem 48,144(e) 661,499 --------------- Total 842,648 - ------------------------------------------------------------------------------------- INTERNET SOFTWARE & SERVICES (0.8%) EarthLink 140,346(b,e) 1,063,822 ModusLink Global Solutions 109,968(b) 406,882 --------------- Total 1,470,704 - ------------------------------------------------------------------------------------- IT SERVICES (1.9%) Affiliated Computer Services Cl A 1,229(b) 59,459 Ciber 70,141(b) 226,555 Computer Sciences 22,650(b,f) 837,143 CSG Systems Intl 30,572(b) 443,294 Integral Systems 29,868(b) 198,025 ManTech Intl Cl A 15,851(b) 573,648 Paychex 12,653(e) 341,758 Perot Systems Cl A 29,477(b) 414,447 SAIC 23,117(b) 418,418 --------------- Total 3,512,747 - ------------------------------------------------------------------------------------- LEISURE EQUIPMENT & PRODUCTS (0.7%) Brunswick 90,719(e) 542,500 JAKKS Pacific 62,307(b) 788,183 --------------- Total 1,330,683 - ------------------------------------------------------------------------------------- LIFE SCIENCES TOOLS & SERVICES (0.1%) Sequenom 28,098(b,e) 101,715 - ------------------------------------------------------------------------------------- MACHINERY (2.6%) AGCO 5,804(b) 141,037 Cummins 14,317 486,778 Force Protection 99,517(b) 758,320 FreightCar America 9,230 177,493 Mueller Inds 82,723 1,817,423 NACCO Inds Cl A 13,771 526,741 Terex 13,561(b,e) 187,142 Timken 17,020 273,682 Wabtec 15,106(e) 576,143 --------------- Total 4,944,759 - ------------------------------------------------------------------------------------- METALS & MINING (2.5%) Allegheny Technologies 14,206(e) 464,962 AM Castle & Co 27,163 263,209 Cliffs Natural Resources 10,985 253,314 Commercial Metals 34,536 513,896 Compass Minerals Intl 10,410(e) 501,970 Horsehead Holding 45,154(b) 322,400 Kaiser Aluminum 9,308 274,958 Olympic Steel 16,783(e) 307,800 Reliance Steel & Aluminum 10,284 362,305 Royal Gold 9,072 328,044 RTI Intl Metals 27,391(b) 356,357 Worthington Inds 44,059 656,480 --------------- Total 4,605,695 - ------------------------------------------------------------------------------------- MULTILINE RETAIL (2.9%) Dillard's Cl A 123,547(e) 952,547 Dollar Tree 10,690(b) 452,615 Family Dollar Stores 20,575 682,884 Fred's Cl A 29,073 397,137 JC Penney 38,815(f) 1,191,233 Kohl's 23,306(b,f) 1,056,927 Macy's 26,074(e) 356,692 Sears Holdings 4,042(b,e) 252,504 --------------- Total 5,342,539 - ------------------------------------------------------------------------------------- MULTI-UTILITIES (0.8%) CH Energy Group 5,790 257,308 Consolidated Edison 7,093 263,363 PG&E 23,847 885,200 --------------- Total 1,405,871 - ------------------------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (3.8%) Cimarex Energy 12,026(e) 323,499 Clayton Williams Energy 8,639(b) 259,429 Comstock Resources 13,756(b,e) 474,032 EXCO Resources 42,345(b) 498,824 Frontier Oil 20,108 255,573 Knightsbridge Tankers 10,267(c) 135,832 McMoRan Exploration 46,591(b) 255,785 Murphy Oil 17,153 818,370 Rosetta Resources 42,154(b,e) 297,186 St. Mary Land & Exploration 9,404(e) 168,049 Stone Energy 42,491(b) 183,136 Sunoco 15,218(e) 403,429 Swift Energy 57,912(b,e) 626,608 Tesoro 18,741 285,800 USEC 135,330(b,e) 837,693 VAALCO Energy 47,449(b) 226,332 Western Refining 33,947 427,393 World Fuel Services 16,387(e) 624,836 --------------- Total 7,101,806 - ------------------------------------------------------------------------------------- PAPER & FOREST PRODUCTS (0.4%) Intl Paper 30,290 383,471 Wausau Paper 47,864 417,853 --------------- Total 801,324 - ------------------------------------------------------------------------------------- PHARMACEUTICALS (1.2%) Forest Laboratories 12,518(b) 271,515 King Pharmaceuticals 20,796(b) 163,872 Par Pharmaceutical Companies 25,245(b) 270,879 Questcor Pharmaceuticals 27,523(b) 123,854 Valeant Pharmaceuticals Intl 42,729(b,e) 716,139 ViroPharma 113,123(b) 636,882 --------------- Total 2,183,141 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 3 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) PROFESSIONAL SERVICES (2.0%) Administaff 20,669(e) $551,036 Heidrick & Struggles Intl 38,521 651,005 Huron Consulting Group 6,814(b) 326,731 ICF Intl 6,799(b,e) 187,040 Kelly Services Cl A 33,722(e) 383,082 Korn/Ferry Intl 43,848(b) 464,350 Manpower 7,403(e) 318,995 TrueBlue 80,477(b) 781,432 --------------- Total 3,663,671 - ------------------------------------------------------------------------------------- REAL ESTATE INVESTMENT TRUSTS (REITS) (1.1%) American Campus Communities 13,122(e) 284,485 Annaly Capital Management 20,082 282,554 Capstead Mtge 28,482 324,409 Digital Realty Trust 3,528(e) 127,043 Equity Residential 13,807(e) 316,042 Liberty Property Trust 9,302 226,411 Public Storage 4,725 315,914 UDR 13,268(e) 133,609 --------------- Total 2,010,467 - ------------------------------------------------------------------------------------- REAL ESTATE MANAGEMENT & DEVELOPMENT (0.1%) Avatar Holdings 10,137(b) 188,345 - ------------------------------------------------------------------------------------- ROAD & RAIL (1.4%) Arkansas Best 56,148(e) 1,295,896 Old Dominion Freight Line 11,074(b,e) 311,733 Ryder System 5,423 150,163 Saia 33,051(b,e) 431,646 Werner Enterprises 17,827 291,471 YRC Worldwide 27,438(b,e) 83,137 --------------- Total 2,564,046 - ------------------------------------------------------------------------------------- SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (2.3%) Altera 13,538 220,805 Amkor Technology 228,011(b) 982,728 Atmel 55,129(b) 211,695 Lam Research 13,452(b,e) 375,042 Linear Technology 9,240(e) 201,247 MEMC Electronic Materials 11,522(b) 186,656 MKS Instruments 30,529(b,e) 477,779 OmniVision Technologies 55,872(b) 531,343 Sigma Designs 23,897(b,e) 308,749 Silicon Image 131,418(b) 357,457 Xilinx 3,453 70,579 Zoran 41,856(b) 374,193 --------------- Total 4,298,273 - ------------------------------------------------------------------------------------- SOFTWARE (1.4%) Ariba 29,928(b,e) 287,608 EPIQ Systems 10,968(b,e) 169,675 Intuit 10,454(b) 241,801 Macrovision Solutions 16,836(b,e) 340,424 Pegasystems 8,951(e) 156,374 Quality Systems 6,253(e) 335,286 Take-Two Interactive Software 74,384(e) 675,406 TeleCommunication Systems Cl A 36,697(b) 359,998 --------------- Total 2,566,572 - ------------------------------------------------------------------------------------- SPECIALTY RETAIL (9.0%) Aaron Rents 13,979(e) 469,135 Aeropostale 5,083(b,e) 172,670 American Eagle Outfitters 19,574 290,087 Asbury Automotive Group 72,484 700,920 AutoNation 21,969(b,e) 389,071 AutoZone 2,516(b) 418,637 Barnes & Noble 12,246(e) 319,866 Bed Bath & Beyond 11,824(b,e) 359,686 Blockbuster Cl A 266,610(b,e) 217,287 Brown Shoe 53,334(e) 342,938 Cato Cl A 25,510(e) 490,302 Chico's FAS 121,965(b) 931,813 Children's Place Retail Stores 16,835(b,e) 478,787 Collective Brands 48,343(b) 701,940 Dress Barn 58,454(b,e) 884,994 Finish Line Cl A 25,989 220,907 Foot Locker 38,751 460,749 Gap 45,741 710,815 Genesco 15,664(b) 356,826 Group 1 Automotive 34,728 739,706 Hot Topic 70,514(b,e) 863,091 Jo-Ann Stores 15,175(b) 278,006 Jos A Bank Clothiers 23,592(b,e) 954,060 Limited Brands 19,449 222,108 Men's Wearhouse 70,838 1,320,421 Monro Muffler Brake 10,106 252,347 O'Reilly Automotive 8,820(b) 342,657 PetSmart 17,604(e) 402,780 RadioShack 25,829 363,672 Rent-A-Center 42,173(b) 811,830 Ross Stores 5,290 200,703 Sherwin-Williams 7,425(e) 420,552 Stage Stores 41,072 503,132 Wet Seal Cl A 116,827(b) 445,111 --------------- Total 17,037,606 - ------------------------------------------------------------------------------------- TEXTILES, APPAREL & LUXURY GOODS (0.9%) Carter's 27,188(b) 581,279 Skechers USA Cl A 45,170(b,e) 528,489 Steven Madden 18,383(b) 540,828 --------------- Total 1,650,596 - ------------------------------------------------------------------------------------- THRIFTS & MORTGAGE FINANCE (1.1%) First Niagara Financial Group 64,195(e) 869,200 NewAlliance Bancshares 13,582 175,344 Ocwen Financial 40,323(b,e) 448,392 People's United Financial 22,860 357,073 Trustco Bank NY 27,877 167,262 --------------- Total 2,017,271 - ------------------------------------------------------------------------------------- TOBACCO (0.1%) Star Scientific 40,895(b,e) 201,203 - ------------------------------------------------------------------------------------- TRADING COMPANIES & DISTRIBUTORS (0.8%) Beacon Roofing Supply 30,466(b) 484,409 Rush Enterprises Cl A 34,796(b) 457,915 Watsco 5,207(e) 223,641 WESCO Intl 14,261(b) 370,786 --------------- Total 1,536,751 - ------------------------------------------------------------------------------------- WATER UTILITIES (0.3%) Aqua America 13,955(e) 256,074 California Water Service Group 9,340(e) 364,540 --------------- Total 620,614 - ------------------------------------------------------------------------------------- WIRELESS TELECOMMUNICATION SERVICES (0.3%) USA Mobility 43,861(e) 487,734 - ------------------------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $179,941,051) $181,722,334 - ------------------------------------------------------------------------------------- MONEY MARKET FUND (1.7%) SHARES VALUE(a) RiverSource Short-Term Cash Fund, 0.28% 3,222,169(d) $3,222,169 - ------------------------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $3,222,169) $3,222,169 - ------------------------------------------------------------------------------------- INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (24.8%) SHARES VALUE(a) CASH COLLATERAL REINVESTMENT FUND JPMorgan Prime Money Market Fund 46,316,872 $46,316,872 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (Cost: $46,316,872) $46,316,872 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $229,480,092)(g) $231,261,375 =====================================================================================
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 4 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) ------------------------------------------- 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) - ------------------------------------------------------------------------------------------------------------------- E-Mini S&P MidCap 400 Index 31 $1,736,000 June 2009 $168,824 Russell 2000 Mini Index 56 2,725,520 June 2009 221,656 - ------------------------------------------------------------------------------------------------------------------- Total $390,480 - -------------------------------------------------------------------------------------------------------------------
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 6.9% of net assets. (d) 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. (e) At April 30, 2009, security was partially or fully on loan. (f) At April 30, 2009, investments in securities included securities valued at $703,876 that were partially pledged as collateral to cover initial margin deposits on open stock index futures contracts. (g) At April 30, 2009, the cost of securities for federal income tax purposes was approximately $229,480,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $20,583,000 Unrealized depreciation (18,802,000) --------------------------------------------------------------------------------------- Net unrealized appreciation $1,781,000 ---------------------------------------------------------------------------------------
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 $231,261,375 $-- $-- $231,261,375 Other financial instruments* 390,480 -- -- 390,480 - ---------------------------------------------------------------------------------------------------------------- Total $231,651,855 $-- $-- $231,651,855 - ----------------------------------------------------------------------------------------------------------------
* Other financial instruments are derivative instruments, such as futures, which are valued at the unrealized appreciation (depreciation) on the instrument. - -------------------------------------------------------------------------------- 5 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) ------------------------------------------- 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. - -------------------------------------------------------------------------------- 6 RIVERSOURCE DISCIPLINED SMALL AND MID CAP EQUITY FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS FOR RIVERSOURCE DISCIPLINED SMALL 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 (100.1%) ISSUER SHARES VALUE(a) AEROSPACE & DEFENSE (1.1%) Applied Signal Technology 3,081(d) $60,881 Ceradyne 19,518(b) 336,490 Curtiss-Wright 4,027 128,743 Esterline Technologies 1,523(b) 40,131 --------------- Total 566,245 - ------------------------------------------------------------------------------------- AIR FREIGHT & LOGISTICS (0.6%) Atlas Air Worldwide Holdings 2,977(b,d) 79,039 Hub Group Cl A 7,388(b) 169,924 Pacer Intl 15,103 64,037 --------------- Total 313,000 - ------------------------------------------------------------------------------------- AIRLINES (2.1%) Alaska Air Group 18,536(b) 311,034 Allegiant Travel 3,331(b,d) 173,345 Hawaiian Holdings 20,171(b) 100,653 SkyWest 36,747 442,434 UAL 9,225(b) 45,387 --------------- Total 1,072,853 - ------------------------------------------------------------------------------------- AUTO COMPONENTS (1.4%) ArvinMeritor 26,548 32,920 Cooper Tire & Rubber 33,918(d) 280,501 Dana Holding 107,191(b,d) 84,681 Lear 49,834(b) 39,867 Spartan Motors 13,239 106,839 Superior Inds Intl 7,929(d) 119,569 Tenneco 19,116(b,d) 58,495 --------------- Total 722,872 - ------------------------------------------------------------------------------------- BIOTECHNOLOGY (0.1%) Emergent BioSolutions 3,886(b,d) 41,619 - ------------------------------------------------------------------------------------- BUILDING PRODUCTS (0.4%) Apogee Enterprises 5,234(d) 70,136 Insteel Inds 10,139(d) 75,535 Trex 4,159(b,d) 45,541 --------------- Total 191,212 - ------------------------------------------------------------------------------------- CAPITAL MARKETS (3.4%) BGC Partners Cl A 41,705(d) 108,016 Knight Capital Group Cl A 22,872(b) 354,287 MVC Capital 19,485 166,792 Penson Worldwide 22,311(b,d) 226,234 Stifel Financial 10,331(b,d) 508,595 SWS Group 22,970 293,786 Westwood Holdings Group 2,887(d) 113,950 --------------- Total 1,771,660 - ------------------------------------------------------------------------------------- CHEMICALS (2.3%) Innophos Holdings 6,933 102,816 Koppers Holdings 3,527 66,872 LSB Inds 8,367(b) 100,237 Olin 12,061 151,969 OM Group 16,634(b) 463,423 Stepan 1,916 75,816 Westlake Chemical 4,435(d) 82,935 WR Grace & Co 18,876(b) 166,675 --------------- Total 1,210,743 - ------------------------------------------------------------------------------------- COMMERCIAL BANKS (7.1%) Arrow Financial 3,146(d) 83,306 BancFirst 3,626 154,830 Camden Natl 4,738(d) 137,402 Capitol Bancorp 12,800(d) 46,848 Community Trust Bancorp 4,027(d) 121,857 First BanCorp 22,744(c,d) 125,319 First Financial 4,557 169,065 First Financial Bankshares 6,062(d) 298,735 Home BancShares 6,233 137,438 MainSource Financial Group 12,728(d) 110,224 Pacific Capital Bancorp 5,857 40,648 Republic Bancorp Cl A 4,228 94,031 S&T Bancorp 6,227(d) 111,276 S.Y. Bancorp 4,644 117,122 Sandy Spring Bancorp 9,631(d) 156,504 Sierra Bancorp 2,143(d) 25,737 Suffolk Bancorp 842(d) 21,555 SVB Financial Group 5,261(b,d) 109,218 Tompkins Financial 558(d) 23,520 TowneBank 8,264 142,389 Trico Bancshares 1,433(d) 22,928 Trustmark 13,736 298,621 UMB Financial 17,822 815,713 W Holding Company 3,205(c,d) 74,260 Wintrust Financial 8,824(d) 150,008 Yadkin Valley Financial 10,049(d) 82,402 --------------- Total 3,670,956 - ------------------------------------------------------------------------------------- COMMERCIAL SERVICES & SUPPLIES (2.4%) ABM Inds 9,537(d) 167,088 ATC Technology 6,630(b,d) 105,351 Comfort Systems USA 8,835 95,330 Consolidated Graphics 1,316(b,d) 25,557 Cornell Companies 2,910(b) 52,904 GeoEye 4,848(b,d) 120,667 Herman Miller 4,939 73,443 HNI 10,069 156,070 Kimball Intl Cl B 21,629 118,743 United Stationers 6,133(b,d) 200,732 Viad 7,413 141,440 --------------- Total 1,257,325 - ------------------------------------------------------------------------------------- COMMUNICATIONS EQUIPMENT (1.7%) 3Com 59,999(b) 242,995 ARRIS Group 17,724(b,d) 189,115 Loral Space & Communications 6,640(b) 155,044 NETGEAR 14,053(b) 224,989 Plantronics 5,513 70,236 --------------- Total 882,379 - ------------------------------------------------------------------------------------- COMPUTERS & PERIPHERALS (0.1%) Novatel Wireless 8,770(b) 60,075 - ------------------------------------------------------------------------------------- CONSTRUCTION & ENGINEERING (3.2%) Dycom Inds 10,663(b) 89,782 EMCOR Group 17,403(b) 361,808 Granite Construction 17,683(d) 697,595 Michael Baker 3,640(b) 122,304 Perini 22,246(b,d) 384,856 --------------- Total 1,656,345 - ------------------------------------------------------------------------------------- CONSUMER FINANCE (0.3%) Advance America Cash Advance Centers 11,858 47,432 Advanta Cl B 85,435 99,959 --------------- Total 147,391 - ------------------------------------------------------------------------------------- CONTAINERS & PACKAGING (0.6%) Rock-Tenn Cl A 7,714(d) 291,281 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 1 RIVERSOURCE DISCIPLINED SMALL CAP VALUE FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) DIVERSIFIED CONSUMER SERVICES (0.5%) Regis 9,327 $178,519 Universal Technical Institute 6,010(b,d) 85,582 --------------- Total 264,101 - ------------------------------------------------------------------------------------- DIVERSIFIED FINANCIAL SERVICES (0.4%) Life Partners Holdings 6,441(d) 120,576 PICO Holdings 2,126(b) 63,780 --------------- Total 184,356 - ------------------------------------------------------------------------------------- DIVERSIFIED TELECOMMUNICATION SERVICES (0.4%) Iowa Telecommunications Services 4,563(d) 60,140 Shenandoah Telecommunications 7,154 140,433 --------------- Total 200,573 - ------------------------------------------------------------------------------------- ELECTRIC UTILITIES (0.1%) Central Vermont Public Service 2,443 41,922 - ------------------------------------------------------------------------------------- ELECTRICAL EQUIPMENT (0.7%) AO Smith 1,036(d) 32,209 AZZ 2,493(b,d) 77,108 Encore Wire 2,755 60,169 GrafTech Intl 23,295(b,d) 204,764 --------------- Total 374,250 - ------------------------------------------------------------------------------------- ELECTRONIC EQUIPMENT, INSTRUMENTS & COMPONENTS (3.7%) Anixter Intl 11,197(b,d) 445,418 Benchmark Electronics 43,937(b) 532,957 Brightpoint 13,983(b) 72,851 CTS 6,872 41,713 Insight Enterprises 22,446(b) 128,391 L-1 Identity Solutions 3,492(b) 25,561 Methode Electronics 20,818 125,324 MTS Systems 3,133 66,200 Sanmina-SCI 76,278(b) 42,716 SMART Modular Technologies WWH 24,157(b,d) 59,426 SYNNEX 14,265(b,d) 307,125 TTM Technologies 10,467(b) 77,665 --------------- Total 1,925,347 - ------------------------------------------------------------------------------------- ENERGY EQUIPMENT & SERVICES (1.8%) Bristow Group 2,609(b,d) 59,381 Bronco Drilling 14,420(b,d) 79,166 Cal Dive Intl 11,558(b) 91,539 Complete Production Services 20,267(b) 135,384 GulfMark Offshore 4,134(b,d) 111,122 Lufkin Inds 3,643 127,141 Parker Drilling 75,829(b) 209,287 Pioneer Drilling 19,119(b) 95,595 --------------- Total 908,615 - ------------------------------------------------------------------------------------- FOOD & STAPLES RETAILING (2.1%) Andersons 6,339 101,868 Casey's General Stores 15,419(d) 410,299 Great Atlantic & Pacific Tea 7,699(b) 56,511 Ingles Markets Cl A 9,059 141,411 Nash Finch 4,156 121,729 Spartan Stores 4,762(d) 77,478 Winn-Dixie Stores 13,110(b,d) 150,241 --------------- Total 1,059,537 - ------------------------------------------------------------------------------------- FOOD PRODUCTS (4.1%) Cal-Maine Foods 5,396(d) 142,832 Flowers Foods 14,814(d) 342,203 Fresh Del Monte Produce 15,736(b,c) 228,487 Imperial Sugar 4,899 32,088 J&J Snack Foods 3,414 132,327 Lance 6,562 151,976 Ralcorp Holdings 13,556(b) 774,861 Sanderson Farms 8,174(d) 326,143 --------------- Total 2,130,917 - ------------------------------------------------------------------------------------- GAS UTILITIES (2.1%) Laclede Group 6,344 220,010 New Jersey Resources 8,514 280,280 Northwest Natural Gas 1,695 69,326 Piedmont Natural Gas 6,986(d) 170,598 South Jersey Inds 4,307(d) 149,496 WGL Holdings 5,592(d) 174,135 --------------- Total 1,063,845 - ------------------------------------------------------------------------------------- HEALTH CARE EQUIPMENT & SUPPLIES (0.4%) Conmed 6,204(b) 82,637 Greatbatch 5,973(b,d) 125,672 --------------- Total 208,309 - ------------------------------------------------------------------------------------- HEALTH CARE PROVIDERS & SERVICES (5.2%) Alliance HealthCare Services 4,066(b,d) 31,999 AMERIGROUP 14,730(b,d) 439,985 Emergency Medical Services Cl A 2,763(b) 96,263 Gentiva Health Services 6,533(b,d) 104,071 Hanger Orthopedic Group 5,900(b,d) 82,069 HealthSpring 25,981(b) 239,805 Kindred Healthcare 23,596(b) 307,220 Landauer 2,904 153,854 Magellan Health Services 25,357(b) 749,553 MedCath 3,318(b) 33,578 Molina Healthcare 11,756(b) 254,517 Triple-S Management Cl B 7,229(b,c,d) 92,676 Universal American Financial 11,604(b) 119,869 --------------- Total 2,705,459 - ------------------------------------------------------------------------------------- HOTELS, RESTAURANTS & LEISURE (0.4%) Ruby Tuesday 24,877(b,d) 191,055 - ------------------------------------------------------------------------------------- HOUSEHOLD DURABLES (0.9%) American Greetings Cl A 15,979(d) 125,435 Blyth 2,027 89,350 M/I Homes 4,227 64,546 Natl Presto Inds 2,426 172,877 --------------- Total 452,208 - ------------------------------------------------------------------------------------- INDUSTRIAL CONGLOMERATES (0.4%) Seaboard 222 207,570 - ------------------------------------------------------------------------------------- INSURANCE (11.4%) Aspen Insurance Holdings 42,255(c) 996,374 Employers Holdings 27,323 227,874 Horace Mann Educators 25,702 225,664 IPC Holdings 28,969(c) 754,353 Max Capital Group 6,366(c) 105,357 Montpelier Re Holdings 35,085(c) 437,159 Odyssey Re Holdings 17,805(d) 681,753 Platinum Underwriters Holdings 32,259(c) 928,091 Safety Insurance Group 9,304(d) 307,497 Validus Holdings 36,542(c) 818,541 Zenith Natl Insurance 19,160(d) 436,656 --------------- Total 5,919,319 - ------------------------------------------------------------------------------------- INTERNET SOFTWARE & SERVICES (0.5%) InfoSpace 7,236(b) 47,975 ModusLink Global Solutions 24,212(b) 89,584 RealNetworks 19,066(b) 46,902 United Online 14,112(d) 74,794 --------------- Total 259,255 - ------------------------------------------------------------------------------------- IT SERVICES (1.0%) Ciber 15,518(b) 50,123 CSG Systems Intl 2,918(b) 42,311 MAXIMUS 3,582(d) 144,462 Perot Systems Cl A 19,914(b) 279,991 --------------- Total 516,887 - ------------------------------------------------------------------------------------- LEISURE EQUIPMENT & PRODUCTS (0.8%) Brunswick 25,156(d) 150,433 JAKKS Pacific 21,298(b) 269,420 --------------- Total 419,853 - ------------------------------------------------------------------------------------- LIFE SCIENCES TOOLS & SERVICES (0.1%) Albany Molecular Research 4,944(b) 48,253 - ------------------------------------------------------------------------------------- MACHINERY (3.3%) CIRCOR Intl 3,056 78,631 EnPro Inds 1,916(b) 30,579 Force Protection 24,574(b) 187,254 FreightCar America 4,993 96,015 Hurco Companies 2,252(b,d) 34,523 LB Foster Cl A 3,027(b) 99,134 Lydall 14,395(b) 61,755 Mueller Inds 25,154 552,634 NACCO Inds Cl A 4,325 165,431 Wabtec 10,309(d) 393,185 --------------- Total 1,699,141 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 2 RIVERSOURCE DISCIPLINED SMALL CAP VALUE FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
COMMON STOCKS (CONTINUED) ISSUER SHARES VALUE(a) METALS & MINING (3.1%) AM Castle & Co 9,031 $87,510 Brush Engineered Materials 6,300(b,d) 106,596 Compass Minerals Intl 4,368 210,625 Haynes Intl 2,293(b,d) 51,776 Horsehead Holding 45,876(b,d) 327,554 Kaiser Aluminum 5,055 149,325 Olympic Steel 5,105(d) 93,626 Royal Gold 4,499 162,684 RTI Intl Metals 13,751(b) 178,901 Worthington Inds 14,301 213,085 --------------- Total 1,581,682 - ------------------------------------------------------------------------------------- MULTILINE RETAIL (1.1%) Dillard's Cl A 44,360(d) 342,016 Fred's Cl A 11,720 160,095 Retail Ventures 21,327(b,d) 55,450 --------------- Total 557,561 - ------------------------------------------------------------------------------------- MULTI-UTILITIES (0.3%) CH Energy Group 3,200 142,208 - ------------------------------------------------------------------------------------- OIL, GAS & CONSUMABLE FUELS (3.2%) Alon USA Energy 4,105(d) 52,134 Berry Petroleum Cl A 6,255(d) 103,082 Delek US Holdings 5,966(d) 61,271 Nordic American Tanker Shipping 7,100(c,d) 230,537 Rosetta Resources 31,326(b) 220,848 Stone Energy 10,323(b) 44,492 Swift Energy 20,952(b) 226,701 USEC 39,643(b,d) 245,390 VAALCO Energy 9,492(b) 45,277 Western Refining 13,394 168,630 World Fuel Services 6,996(d) 266,758 --------------- Total 1,665,120 - ------------------------------------------------------------------------------------- PAPER & FOREST PRODUCTS (0.3%) Wausau Paper 17,665 154,215 - ------------------------------------------------------------------------------------- PERSONAL PRODUCTS (0.5%) Chattem 4,995(b,d) 274,275 - ------------------------------------------------------------------------------------- PHARMACEUTICALS (1.3%) Par Pharmaceutical Companies 8,795(b) 94,370 Salix Pharmaceuticals 8,528(b) 93,808 Valeant Pharmaceuticals Intl 15,351(b,d) 257,283 ViroPharma 35,478(b) 199,741 --------------- Total 645,202 - ------------------------------------------------------------------------------------- PROFESSIONAL SERVICES (2.6%) CDI 5,579 66,669 Exponent 2,238(b,d) 62,440 Heidrick & Struggles Intl 9,412 159,063 ICF Intl 2,097(b,d) 57,688 Kelly Services Cl A 12,506 142,068 Kforce 10,809(b,d) 117,926 Korn/Ferry Intl 13,378(b) 141,673 MPS Group 10,710(b,d) 86,108 Spherion 45,258(b) 162,476 TrueBlue 30,778(b,d) 298,855 Volt Information Sciences 8,031(b,d) 57,663 --------------- Total 1,352,629 - ------------------------------------------------------------------------------------- REAL ESTATE INVESTMENT TRUSTS (REITS) (2.8%) Anworth Mtge Asset 26,056 167,540 Capstead Mtge 40,078 456,489 Getty Realty 8,070(d) 158,333 Investors Real Estate Trust 17,409 161,033 MFA Financial 46,305 272,737 Natl Health Investors 5,891 157,997 NorthStar Realty Finance 12,654(d) 40,113 Universal Health Realty Income Trust 808 25,872 --------------- Total 1,440,114 - ------------------------------------------------------------------------------------- REAL ESTATE MANAGEMENT & DEVELOPMENT (0.1%) Avatar Holdings 2,322(b) 43,143 - ------------------------------------------------------------------------------------- ROAD & RAIL (1.1%) Arkansas Best 17,604 406,301 Saia 10,458(b) 136,581 --------------- Total 542,882 - ------------------------------------------------------------------------------------- SEMICONDUCTORS & SEMICONDUCTOR EQUIPMENT (1.9%) Amkor Technology 74,250(b) 320,017 MKS Instruments 13,035(b) 203,998 OmniVision Technologies 16,917(b) 160,881 PMC-Sierra 23,595(b) 186,872 Trident Microsystems 21,634(b,d) 29,639 Zoran 9,980(b) 89,221 --------------- Total 990,628 - ------------------------------------------------------------------------------------- SOFTWARE (0.2%) EPIQ Systems 8,197(b,d) 126,808 - ------------------------------------------------------------------------------------- SPECIALTY RETAIL (10.5%) Aaron Rents 4,592(d) 154,108 Asbury Automotive Group 25,540 246,972 Big 5 Sporting Goods 11,478 94,464 Blockbuster Cl A 137,596(b,d) 112,141 Brown Shoe 30,753(d) 197,742 Build-A-Bear Workshop 9,576(b) 52,285 Cato Cl A 9,532 183,205 Charlotte Russe Holding 14,718(b,d) 184,711 Chico's FAS 49,777(b) 380,296 Children's Place Retail Stores 5,418(b,d) 154,088 Collective Brands 20,604(b) 299,170 Conn's 8,722(b,d) 143,390 Dress Barn 18,668(b,d) 282,634 Finish Line Cl A 8,775 74,588 Genesco 9,286(b) 211,535 Group 1 Automotive 18,031(d) 384,059 Hot Topic 24,792(b,d) 303,454 Jo-Ann Stores 9,523(b,d) 174,461 Jos A Bank Clothiers 6,853(b) 277,135 Men's Wearhouse 31,639 589,750 Monro Muffler Brake 2,547 63,599 Rent-A-Center 18,828(b) 362,439 Rex Stores 4,779(b,d) 56,870 Shoe Carnival 5,418(b,d) 63,174 Sonic Automotive Cl A 16,405(d) 84,650 Stage Stores 22,039 269,978 --------------- Total 5,400,898 - ------------------------------------------------------------------------------------- TEXTILES, APPAREL & LUXURY GOODS (0.6%) Skechers USA Cl A 12,268(b) 143,536 Steven Madden 4,610(b) 135,626 Weyco Group 1,161(d) 31,869 --------------- Total 311,031 - ------------------------------------------------------------------------------------- THRIFTS & MORTGAGE FINANCE (1.5%) ESSA Bancorp 3,487(d) 47,563 First Niagara Financial Group 35,033 474,346 Ocwen Financial 15,849(b) 176,241 United Financial Bancorp 1,713 22,732 Westfield Financial 4,794(d) 44,776 --------------- Total 765,658 - ------------------------------------------------------------------------------------- TOBACCO (0.2%) Star Scientific 18,522(b,d) 91,128 - ------------------------------------------------------------------------------------- TRADING COMPANIES & DISTRIBUTORS (0.9%) Aceto 5,160 36,894 Beacon Roofing Supply 7,296(b) 116,007 H&E Equipment Services 12,649(b) 95,247 Kaman 5,405 91,399 Rush Enterprises Cl A 6,301(b) 82,921 Watsco 1,131(d) 48,576 --------------- Total 471,044 - ------------------------------------------------------------------------------------- WATER UTILITIES (0.4%) California Water Service Group 3,980 155,339 Connecticut Water Service 1,347(d) 27,937 --------------- Total 183,276 - ------------------------------------------------------------------------------------- WIRELESS TELECOMMUNICATION SERVICES (0.4%) Centennial Communications 6,496(b) 53,722 USA Mobility 14,647 162,875 --------------- Total 216,597 - ------------------------------------------------------------------------------------- TOTAL COMMON STOCKS (Cost: $56,106,709) $51,592,827 - ------------------------------------------------------------------------------------- MONEY MARKET FUND (0.2%) SHARES VALUE(a) RiverSource Short-Term Cash Fund, 0.28% 112,180(e) $112,180 - ------------------------------------------------------------------------------------- TOTAL MONEY MARKET FUND (Cost: $112,180) $112,180 - -------------------------------------------------------------------------------------
See accompanying Notes to Portfolio of Investments. - -------------------------------------------------------------------------------- 3 RIVERSOURCE DISCIPLINED SMALL CAP VALUE FUND -- PORTFOLIO OF INVESTMENTS AT APRIL 30, 2009 PORTFOLIO OF INVESTMENTS (continued) -------------------------------------------
INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (25.0%) SHARES VALUE(a) CASH COLLATERAL REINVESTMENT FUND JPMorgan Prime Money Market Fund 12,905,865 $12,905,865 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS OF CASH COLLATERAL RECEIVED FOR SECURITIES ON LOAN (Cost: $12,905,865) $12,905,865 - ------------------------------------------------------------------------------------- TOTAL INVESTMENTS IN SECURITIES (Cost: $69,124,754)(f) $64,610,872 =====================================================================================
INVESTMENTS IN DERIVATIVES At April 30, 2009, $8,000 was held in a margin deposit account as collateral to cover initial margin deposits on open stock index futures contracts. FUTURES CONTRACTS OUTSTANDING AT APRIL 30, 2009
NUMBER OF UNREALIZED CONTRACTS NOTIONAL EXPIRATION APPRECIATION CONTRACT DESCRIPTION LONG (SHORT) MARKET VALUE DATE (DEPRECIATION) - ------------------------------------------------------------------------------------------------------------------- Russell 2000 Mini Index 2 $97,340 June 2009 $3,185
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 9.3% 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 $69,125,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was: Unrealized appreciation $4,527,000 Unrealized depreciation (9,041,000) --------------------------------------------------------------------------------------- Net unrealized depreciation $(4,514,000) ---------------------------------------------------------------------------------------
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. - -------------------------------------------------------------------------------- 4 RIVERSOURCE DISCIPLINED SMALL 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 $64,610,872 $-- $-- $64,610,872 Other financial instruments* 3,185 -- -- 3,185 - ---------------------------------------------------------------------------------------------------------------- Total $64,614,057 $-- $-- $64,614,057 - ----------------------------------------------------------------------------------------------------------------
* 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. - -------------------------------------------------------------------------------- 5 RIVERSOURCE DISCIPLINED SMALL 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 Dimensions 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 c51598exv99wcert.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 Dimensions 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 Dimensions 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-----