N-Q 1 c54885nvq.htm FORM N-Q nvq
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: 10/31

 

 

Portfolio of Investments
RiverSource Disciplined Small and Mid Cap Equity Fund
Oct. 31, 2009 (Unaudited)
(Percentages represent value of investments compared to net assets)
Investments in Securities
Common Stocks (97.3%)
                 
Issuer   Shares     Value(a)  
Aerospace & Defense (0.9%)
                
Applied Signal Technology
     7,814     $ 160,109  
Ceradyne
     19,470  (b)     313,856  
Cubic
     4,849       168,309  
Goodrich
     4,067       221,041  
Spirit AeroSystems Holdings Cl A
     10,979  (b,e)     174,786  
Triumph Group
     1,990  (e)     93,152  
 
              
Total
             1,131,253  
 
              
 
                
Air Freight & Logistics (0.2%)
                
Air Transport Services Group
     35,833  (b)     92,807  
Atlas Air Worldwide Holdings
     5,151  (b,e)     135,420  
 
              
Total
             228,227  
 
              
 
                
Airlines (1.5%)
                
Alaska Air Group
     9,554  (b)     245,729  
Allegiant Travel
     6,025  (b,e)     227,203  
AMR
     31,889  (b)     171,882  
Continental Airlines Cl B
     14,261  (b,e)     164,002  
Delta Air Lines
     33,431  (b)     238,697  
Hawaiian Holdings
     36,341  (b,e)     257,658  
SkyWest
     41,803       583,987  
 
              
Total
             1,889,158  
 
              
 
                
Auto Components (1.7%)
                
ArvinMeritor
     18,188  (e)     142,048  
Autoliv
     13,331  (c,e)     447,655  
Cooper Tire & Rubber
     24,347  (e)     371,535  
Dana Holding
     32,398  (b)     183,373  
Exide Technologies
     23,722  (b,e)     145,179  
Goodyear Tire & Rubber
     22,962  (b)     295,751  
Spartan Motors
     29,436       146,886  
Tenneco
     17,173  (b,e)     233,896  
TRW Automotive Holdings
     8,193  (b)     128,220  
 
              
Total
             2,094,543  
 
              
 
                
Automobiles (0.2%)
                
Harley-Davidson
     9,417       234,672  
 
                
Beverages (0.7%)
                
Coca-Cola Enterprises
     21,014       400,737  
Pepsi Bottling Group
     11,653       436,288  
 
              
Total
             837,025  
 
              
 
                
Biotechnology (0.6%)
                
Dendreon
     5,351  (b)     135,220  
Isis Pharmaceuticals
     9,480  (b)     120,112  
Myriad Genetics
     9,712  (b)     235,807  
PDL BioPharma
     22,740  (e)     191,243  
 
              
Total
             682,382  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Building Products (0.2%)
                
Apogee Enterprises
     14,460  (e)     191,450  
Insteel Inds
     9,167  (e)     101,937  
 
              
Total
             293,387  
 
              
 
                
Capital Markets (1.4%)
                
BGC Partners Cl A
     29,180       140,939  
Broadpoint Gleacher Securities
     10,719  (b)     68,280  
GFI Group
     22,904       117,956  
Greenhill & Co
     1,938  (e)     167,114  
Intl Assets Holding
     4,703  (b)     84,607  
Knight Capital Group Cl A
     10,177  (b)     171,482  
Legg Mason
     3,844  (e)     111,899  
MF Global
     23,932  (b,c)     170,396  
MVC Capital
     7,749       71,136  
Oppenheimer Holdings Cl A
     4,537  (e)     115,694  
optionsXpress Holdings
     7,299       114,083  
Penson Worldwide
     12,635  (b,e)     123,191  
Prospect Capital
     7,615       75,617  
SWS Group
     13,292  (e)     177,847  
 
              
Total
             1,710,241  
 
              
 
                
Chemicals (3.5%)
                
Ashland
     6,296       217,464  
Celanese Series A
     4,900       134,505  
CF Inds Holdings
     4,778       397,769  
Eastman Chemical
     3,128       164,251  
Huntsman
     15,484       123,098  
Innophos Holdings
     9,079       175,679  
Lubrizol
     1,619       107,761  
NewMarket
     2,788       260,678  
Olin
     26,012  (e)     397,203  
OM Group
     27,238  (b,e)     735,971  
Solutia
     15,392  (b)     169,312  
Stepan
     1,710       97,880  
Terra Inds
     11,413       362,591  
WR Grace & Co
     45,356  (b,e)     992,842  
 
              
Total
             4,337,004  
 
              
 
                
Commercial Banks (1.3%)
                
BancFirst
     4,720       170,439  
Fifth Third Bancorp
     46,760       418,035  
First Horizon Natl
     20,275  (b)     239,853  
SVB Financial Group
     3,698  (b,e)     152,543  
TowneBank
     14,586  (e)     168,322  
Trico Bancshares
     10,072  (e)     147,253  
Trustmark
     10,092  (e)     191,243  
Zions Bancorporation
     9,533  (e)     134,987  
 
              
Total
             1,622,675  
 
              
 
                
Commercial Services & Supplies (1.6%)
                
Brink’s
     4,485       106,429  
GeoEye
     3,359  (b,e)     85,218  
Herman Miller
     10,765  (e)     166,319  
HNI
     9,412  (e)     247,724  
Kimball Intl Cl B
     24,290       182,175  
Rollins
     6,569  (e)     118,768  
RR Donnelley & Sons
     15,900       319,272  
Steelcase Cl A
     29,467  (e)     170,025  
United Stationers
     7,759  (b)     365,758  
Viad
     8,534  (e)     149,345  
 
              
Total
             1,911,033  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Communications Equipment (1.7%)
                
3Com
     193,517  (b)     994,677  
Loral Space & Communications
     1,922  (b,e)     50,779  
NETGEAR
     12,661  (b,e)     230,810  
Starent Networks
     12,977  (b)     437,844  
Tellabs
     69,679  (b)     419,468  
 
              
Total
             2,133,578  
 
              
 
                
Computers & Peripherals (2.6%)
                
Lexmark Intl Cl A
     18,055  (b,e)     460,403  
NCR
     18,125  (b)     183,969  
Novatel Wireless
     17,158  (b,e)     153,049  
SanDisk
     16,882  (b)     345,743  
Seagate Technology
     71,377  (c)     995,709  
Western Digital
     29,227  (b)     984,365  
 
              
Total
             3,123,238  
 
              
 
                
Construction & Engineering (2.3%)
                
Comfort Systems USA
     12,316  (e)     134,244  
EMCOR Group
     27,598  (b)     651,865  
Fluor
     10,631       472,229  
Granite Construction
     12,118  (e)     346,090  
KBR
     20,759       424,937  
Layne Christensen
     5,102  (b)     132,142  
Michael Baker
     5,342  (b)     190,709  
Shaw Group
     6,111  (b)     156,808  
Tutor Perini
     19,447  (b,e)     343,240  
 
              
Total
             2,852,264  
 
              
 
                
Consumer Finance (0.6%)
                
Advance America Cash Advance Centers
     28,231       139,461  
Discover Financial Services
     40,199       568,414  
EZCORP Cl A
     5,371  (b)     69,662  
 
              
Total
             777,537  
 
              
 
                
Containers & Packaging (0.1%)
                
Temple-Inland
     7,446       115,041  
 
                
Diversified Consumer Services (0.6%)
                
Career Education
     8,485  (b,e)     176,827  
Corinthian Colleges
     14,138  (b,e)     224,229  
ITT Educational Services
     1,951  (b,e)     176,273  
Regis
     9,104       147,849  
 
              
Total
             725,178  
 
              
 
                
Diversified Financial Services (0.2%)
                
IntercontinentalExchange
     2,483  (b)     248,772  
 
                
Diversified Telecommunication Services (1.5%)
                
CenturyTel
     29,423       955,070  
Neutral Tandem
     10,164  (b,e)     214,359  
Qwest Communications Intl
     199,800  (e)     717,282  
 
              
Total
             1,886,711  
 
              
 
                
Electric Utilities (0.7%)
                
Edison Intl
     15,307       487,068  
Northeast Utilities
     7,219       166,398  
Pinnacle West Capital
     5,630       176,332  
 
              
Total
             829,798  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Electrical Equipment (0.8%)
                
EnerSys
     9,188  (b)     203,055  
General Cable
     8,078  (b,e)     251,549  
GrafTech Intl
     36,967  (b)     499,054  
 
              
Total
             953,658  
 
              
 
                
Electronic Equipment, Instruments & Components (3.2%)
                
Anixter Intl
     18,598  (b,e)     778,325  
Arrow Electronics
     15,615  (b)     395,684  
Avnet
     17,888  (b)     443,265  
Benchmark Electronics
     26,958  (b)     452,894  
Ingram Micro Cl A
     21,138  (b)     373,086  
Insight Enterprises
     24,367  (b)     256,341  
Jabil Circuit
     19,183       256,669  
Methode Electronics
     19,678       142,666  
Plexus
     7,141  (b,e)     180,667  
SYNNEX
     9,983  (b,e)     256,863  
Tech Data
     5,462  (b)     209,905  
Vishay Intertechnology
     16,826  (b)     104,826  
 
              
Total
             3,851,191  
 
              
 
                
Energy Equipment & Services (5.5%)
                
BJ Services
     25,149       482,861  
Bristow Group
     3,455  (b)     100,713  
Cal Dive Intl
     12,100  (b)     92,928  
Complete Production Services
     17,022  (b,e)     162,220  
Diamond Offshore Drilling
     3,826  (e)     364,427  
ENSCO Intl
     19,425       889,471  
GulfMark Offshore
     7,779  (b)     215,245  
Helmerich & Payne
     10,370  (e)     394,267  
Key Energy Services
     54,947  (b,e)     402,212  
Lufkin Inds
     6,165       351,713  
Nabors Inds
     17,624  (b,c)     367,108  
Oil States Intl
     5,908  (b,e)     203,472  
Parker Drilling
     67,009  (b,e)     348,447  
Patterson-UTI Energy
     17,797  (e)     277,277  
Pride Intl
     18,158  (b,e)     536,750  
Rowan Companies
     20,868       485,181  
SEACOR Holdings
     1,884  (b)     153,113  
TETRA Technologies
     23,066  (b,e)     218,204  
Tidewater
     7,954       331,443  
Unit
     4,876  (b,e)     190,554  
Willbros Group
     13,829  (b,e)     181,713  
 
              
Total
             6,749,319  
 
              
 
                
Food & Staples Retailing (2.2%)
                
Andersons
     3,961       122,910  
Casey’s General Stores
     7,567       238,588  
Ingles Markets Cl A
     10,711  (e)     164,735  
Pantry
     8,606  (b)     121,431  
Ruddick
     5,196  (e)     138,837  
Safeway
     37,160       829,783  
SUPERVALU
     32,758       519,869  
Whole Foods Market
     9,954  (b,e)     319,125  
Winn-Dixie Stores
     21,954  (b,e)     243,470  
 
              
Total
             2,698,748  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Food Products (1.9%)
                
Bunge
     11,743  (e)     670,055  
Cal-Maine Foods
     10,217  (e)     277,392  
Darling Intl
     20,958  (b)     145,658  
Dean Foods
     7,090  (b)     129,251  
Diamond Foods
     4,445  (e)     134,017  
Fresh Del Monte Produce
     19,703  (b,c)     427,752  
Green Mountain Coffee Roasters
     6,027  (b,e)     401,097  
Lancaster Colony
     4,052       196,846  
 
              
Total
             2,382,068  
 
              
 
                
Gas Utilities (0.5%)
                
Laclede Group
     5,366       164,790  
New Jersey Resources
     5,274  (e)     185,645  
Questar
     6,310       251,390  
 
              
Total
             601,825  
 
              
 
                
Health Care Equipment & Supplies (0.6%)
                
Abaxis
     4,671  (b,e)     106,592  
ev3
     12,831  (b,e)     151,149  
ICU Medical
     4,691  (b,e)     164,186  
Orthofix Intl
     3,602  (b,c,e)     115,264  
Thoratec
     5,343  (b,e)     140,307  
 
              
Total
             677,498  
 
              
 
                
Health Care Providers & Services (5.7%)
                
AMERIGROUP
     32,852  (b)     724,387  
Bio-Reference Laboratories
     5,287  (b,e)     170,929  
Centene
     5,202  (b)     92,752  
CIGNA
     37,634       1,047,731  
Coventry Health Care
     27,609  (b,e)     547,486  
Health Net
     18,020  (b,e)     268,678  
HealthSpring
     31,256  (b,e)     447,898  
HMS Holdings
     6,775  (b,e)     290,851  
Humana
     24,326  (b)     914,171  
Kindred Healthcare
     27,824  (b)     409,013  
Magellan Health Services
     24,069  (b)     773,337  
Molina Healthcare
     11,081  (b,e)     207,436  
RehabCare Group
     6,256  (b)     117,300  
Triple-S Management Cl B
     14,760  (b,c,e)     246,492  
Universal American Financial
     18,692  (b,e)     186,920  
WellCare Health Plans
     18,962  (b)     495,477  
 
              
Total
             6,940,858  
 
              
 
                
Health Care Technology (0.5%)
                
Allscripts-Misys Healthcare Solutions
     9,946  (b,e)     193,947  
Cerner
     4,190  (b,e)     318,608  
Eclipsys
     7,843  (b)     147,056  
 
              
Total
             659,611  
 
              
 
                
Hotels, Restaurants & Leisure (0.8%)
                
Bally Technologies
     7,604  (b,e)     299,521  
BJ’s Restaurants
     6,642  (b,e)     106,006  
California Pizza Kitchen
     11,637  (b,e)     151,165  
Starbucks
     13,548  (b)     257,141  
Wyndham Worldwide
     6,498       110,791  
 
              
Total
             924,624  
 
              
 
                
Household Durables (2.1%)
                
American Greetings Cl A
     16,259  (e)     330,708  
Garmin
     15,672  (c,e)     474,235  

 

 

                 
Issuer   Shares     Value(a)  
NVR
     343  (b)     227,159  
Pulte Homes
     15,510       139,745  
Tupperware Brands
     9,705       436,919  
Whirlpool
     13,887       994,170  
 
              
Total
             2,602,936  
 
              
 
                
Independent Power Producers & Energy Traders (0.8%)
                
AES
     16,168  (b)     211,316  
Constellation Energy Group
     14,417       445,773  
Mirant
     14,274  (b)     199,551  
NRG Energy
     7,601  (b)     174,747  
 
              
Total
             1,031,387  
 
              
 
                
Industrial Conglomerates (0.6%)
                
McDermott Intl
     17,637  (b)     392,071  
Seaboard
     222  (e)     299,922  
 
              
Total
             691,993  
 
              
 
                
Insurance (9.4%)
                
Allied World Assurance Holdings
     3,977  (c)     178,011  
American Financial Group
     13,050       321,030  
American Physicians Capital
     5,376  (e)     152,033  
Amerisafe
     11,109  (b,e)     205,961  
AmTrust Financial Services
     8,859       99,930  
Arch Capital Group
     3,096  (b,c)     208,578  
Argo Group Intl Holdings
     3,653  (b,c)     124,056  
Assurant
     11,099       332,193  
Axis Capital Holdings
     10,396  (c)     300,340  
CNA Surety
     8,227  (b)     118,962  
Conseco
     45,936  (b)     239,327  
eHealth
     6,815  (b,e)     96,977  
Employers Holdings
     27,963  (e)     414,412  
Endurance Specialty Holdings
     8,747  (c)     314,805  
Flagstone Reinsurance Holdings
     6,794  (c)     74,394  
Genworth Financial Cl A
     66,881  (b)     710,276  
Hartford Financial Services Group
     40,950       1,004,094  
HCC Insurance Holdings
     12,211       322,248  
Horace Mann Educators
     28,153       349,942  
Lincoln Natl
     25,909       617,411  
Max Capital Group
     9,339  (c)     192,850  
Meadowbrook Insurance Group
     17,729       119,316  
Montpelier Re Holdings
     15,112  (c)     244,210  
Natl Financial Partners
     15,255  (b)     124,328  
PartnerRe
     4,160  (c)     318,157  
Platinum Underwriters Holdings
     28,618  (c)     1,023,666  
Principal Financial Group
     24,808       621,192  
ProAssurance
     7,100  (b,e)     356,988  
Protective Life
     10,872       209,286  
RenaissanceRe Holdings
     3,653  (c)     191,783  
RLI
     2,177  (e)     108,850  
Safety Insurance Group
     7,026  (e)     235,160  
SeaBright Insurance Holdings
     15,885  (b,e)     177,594  
Tower Group
     8,246       202,687  
Validus Holdings
     7,029  (c)     177,834  
XL Capital Cl A
     37,453  (c)     614,604  
Zenith Natl Insurance
     10,259  (e)     292,689  
 
              
Total
             11,396,174  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Internet & Catalog Retail (0.9%)
                
Expedia
     12,506  (b)     283,511  
Liberty Media — Interactive Cl A
     28,531  (b,d)     323,542  
NetFlix
     4,447  (b,e)     237,692  
NutriSystem
     11,217  (e)     241,390  
 
              
Total
             1,086,135  
 
              
 
                
Internet Software & Services (1.0%)
                
EarthLink
     65,986  (e)     534,487  
ModusLink Global Solutions
     16,987  (b)     139,633  
ValueClick
     12,142  (b)     119,477  
Vistaprint
     7,625  (b,c,e)     389,256  
 
              
Total
             1,182,853  
 
              
 
                
IT Services (2.0%)
                
Ciber
     33,810  (b)     108,868  
Computer Sciences
     19,087  (b)     967,901  
CSG Systems Intl
     11,159  (b)     182,338  
Euronet Worldwide
     9,815  (b,e)     232,125  
Heartland Payment Systems
     8,578  (e)     105,424  
Ness Technologies
     12,754  (b,c)     84,049  
SAIC
     16,467  (b)     291,631  
TeleTech Holdings
     5,825  (b)     104,209  
VeriFone Holdings
     6,279  (b,e)     83,511  
Wright Express
     10,527  (b,e)     293,808  
 
              
Total
             2,453,864  
 
              
 
                
Leisure Equipment & Products (0.5%)
                
Brunswick
     9,676  (e)     91,728  
JAKKS Pacific
     19,935  (b,e)     283,676  
Polaris Inds
     4,548       191,334  
 
              
Total
             566,738  
 
              
 
                
Machinery (2.8%)
                
AGCO
     9,667  (b,e)     271,739  
Chart Inds
     13,584  (b)     268,556  
Cummins
     14,317       616,491  
EnPro Inds
     5,393  (b,e)     121,774  
Force Protection
     35,930  (b)     158,092  
FreightCar America
     6,680  (e)     157,514  
Mueller Inds
     16,953       401,108  
NACCO Inds Cl A
     1,292       77,003  
Navistar Intl
     3,143  (b)     104,159  
Nordson
     3,529  (e)     186,225  
Oshkosh
     14,100       440,766  
Terex
     13,561  (b,e)     274,203  
Timken
     17,020       374,951  
 
              
Total
             3,452,581  
 
              
 
                
Media (0.8%)
                
DISH Network Cl A
     16,409  (b)     285,517  
Interpublic Group of Companies
     28,976  (b)     174,436  
Liberty Media — Capital Series A
     5,612  (b,d)     116,112  
Natl CineMedia
     11,601       185,616  
Virgin Media
     17,851  (f)     249,378  
 
              
Total
             1,011,059  
 
              
 
                
Metals & Mining (2.9%)
                
AK Steel Holding
     9,681       153,637  
Allegheny Technologies
     14,206  (e)     438,398  
AM Castle & Co
     7,999  (e)     90,149  
Brush Engineered Materials
     5,807  (b,e)     107,139  

 

 

                 
Issuer   Shares     Value(a)  
Century Aluminum
     14,864  (b,e)     128,871  
Cliffs Natural Resources
     10,985       390,736  
Commercial Metals
     17,661       262,089  
Horsehead Holding
     20,299  (b,e)     193,449  
Kaiser Aluminum
     4,120  (e)     164,594  
Olympic Steel
     4,291  (e)     108,562  
Reliance Steel & Aluminum
     9,132       333,135  
Royal Gold
     1,694       74,824  
RTI Intl Metals
     9,210  (b,e)     190,739  
United States Steel
     15,577  (e)     537,252  
Walter Energy
     3,680       215,280  
Worthington Inds
     12,909       142,644  
 
              
Total
             3,531,498  
 
              
 
                
Multiline Retail (2.5%)
                
Dillard’s Cl A
     19,300  (e)     262,866  
Family Dollar Stores
     10,814       306,036  
JC Penney
     30,083  (g)     996,651  
Kohl’s
     6,445  (b)     368,783  
Macy’s
     21,065       370,112  
Nordstrom
     11,517       366,010  
Sears Holdings
     5,740  (b,e)     389,516  
 
              
Total
             3,059,974  
 
              
 
                
Multi-Utilities (0.1%)
                
CH Energy Group
     4,297       177,939  
 
                
Oil, Gas & Consumable Fuels (4.8%)
                
ATP Oil & Gas
     13,672  (b,e)     236,662  
Bill Barrett
     5,952  (b)     184,393  
Cimarex Energy
     3,889       152,293  
CVR Energy
     8,223  (b,e)     86,506  
Frontier Oil
     20,108  (e)     278,697  
Frontline
     7,726  (c,e)     180,248  
Knightsbridge Tankers
     10,267  (c)     129,775  
McMoRan Exploration
     21,618  (b)     166,242  
Murphy Oil
     18,606       1,137,571  
Newfield Exploration
     6,148  (b)     252,191  
Patriot Coal
     16,874  (b)     190,676  
Penn Virginia
     6,496       131,544  
Petroleum Development
     6,350  (b,e)     106,045  
Rosetta Resources
     9,754  (b)     131,972  
St. Mary Land & Exploration
     9,404  (e)     320,676  
Stone Energy
     10,998  (b,e)     168,599  
Sunoco
     12,303       378,932  
Swift Energy
     11,482  (b,e)     243,189  
Tesoro
     22,944       324,428  
USEC
     40,179  (b)     155,091  
Western Refining
     24,057  (b,e)     134,960  
World Fuel Services
     15,075  (e)     766,564  
 
              
Total
             5,857,254  
 
              
 
                
Paper & Forest Products (0.8%)
                
Clearwater Paper
     2,355  (b)     106,611  
Intl Paper
     22,610       504,429  
MeadWestvaco
     8,701       198,644  
Schweitzer-Mauduit Intl
     4,211  (e)     217,498  
 
              
Total
             1,027,182  
 
              
 
                
Personal Products (0.1%)
                
Nu Skin Enterprises Cl A
     7,661       174,364  

 

 

                 
Issuer   Shares     Value(a)  
Pharmaceuticals (1.5%)
                
Allergan
     5,310       298,688  
Auxilium Pharmaceuticals
     6,683  (b,e)     210,247  
Endo Pharmaceuticals Holdings
     6,232  (b)     139,597  
Forest Laboratories
     22,869  (b)     632,785  
Mylan
     16,945  (b,e)     275,187  
Par Pharmaceutical Companies
     8,790  (b)     184,326  
ViroPharma
     15,989  (b)     120,557  
 
              
Total
             1,861,387  
 
              
 
                
Professional Services (1.0%)
                
Administaff
     12,253  (e)     304,119  
Heidrick & Struggles Intl
     5,020  (e)     137,347  
ICF Intl
     4,621  (b,e)     132,392  
Kelly Services Cl A
     7,693  (e)     85,238  
Korn/Ferry Intl
     7,132  (b,e)     113,827  
Manpower
     5,270  (e)     249,851  
Spherion
     23,273  (b)     115,201  
TrueBlue
     8,205  (b,e)     99,281  
 
              
Total
             1,237,256  
 
              
 
                
Real Estate Investment Trusts (REITs) (1.4%)
                
Anworth Mtge Asset
     22,953  (e)     163,655  
Capstead Mtge
     41,049       540,204  
Getty Realty
     7,705  (e)     188,850  
Hospitality Properties Trust
     12,368       238,826  
MFA Financial
     59,781  (e)     443,575  
SL Green Realty
     2,985  (e)     115,699  
 
              
Total
             1,690,809  
 
              
 
                
Real Estate Management & Development (0.3%)
                
CB Richard Ellis Group Cl A
     11,502  (b)     119,046  
Jones Lang LaSalle
     4,305  (e)     201,689  
 
              
Total
             320,735  
 
              
 
                
Road & Rail (0.6%)
                
Arkansas Best
     15,355  (e)     396,466  
Hertz Global Holdings
     18,921  (b)     176,155  
Saia
     7,629  (b,e)     111,841  
 
              
Total
             684,462  
 
              
 
                
Semiconductors & Semiconductor Equipment (2.4%)
                
Amkor Technology
     44,528  (b,e)     245,349  
Cree
     3,463  (b)     145,792  
Lam Research
     7,837  (b,e)     264,264  
Marvell Technology Group
     30,573  (b,c)     419,462  
MEMC Electronic Materials
     11,522  (b)     143,103  
Micron Technology
     53,864  (b)     365,737  
Monolithic Power Systems
     12,491  (b,e)     249,695  
NetLogic Microsystems
     4,369  (b)     166,066  
NVIDIA
     24,321  (b,e)     290,879  
OmniVision Technologies
     17,203  (b)     210,909  
Sigma Designs
     13,255  (b,e)     159,193  
Silicon Image
     33,604  (b,e)     70,904  
Teradyne
     12,884  (b)     107,839  
Zoran
     5,974  (b)     52,989  
 
              
Total
             2,892,181  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Software (1.8%)
                
EPIQ Systems
     4,850  (b,e)     61,159  
Informatica
     18,586  (b,e)     394,581  
Pegasystems
     5,729  (e)     164,250  
Red Hat
     4,322  (b)     111,551  
Rovi
     19,253  (b)     530,420  
Take-Two Interactive Software
     21,028  (b,e)     230,677  
Taleo Cl A
     8,657  (b)     188,203  
TIBCO Software
     27,204  (b)     238,035  
TiVo
     21,205  (b)     230,710  
 
              
Total
             2,149,586  
 
              
 
                
Specialty Retail (7.1%)
                
Abercrombie & Fitch Cl A
     6,301       206,799  
American Eagle Outfitters
     16,203       283,390  
AnnTaylor Stores
     17,022  (b,e)     220,775  
Asbury Automotive Group
     10,450  (b)     101,783  
AutoNation
     14,491  (b,e)     249,825  
Barnes & Noble
     10,336  (e)     171,681  
Big 5 Sporting Goods
     8,107  (e)     119,578  
Brown Shoe
     14,962  (e)     155,156  
CarMax
     10,222  (b,e)     201,067  
Cato Cl A
     10,990  (e)     216,613  
Chico’s FAS
     25,463  (b,e)     304,283  
Children’s Place Retail Stores
     8,374  (b,e)     263,362  
Collective Brands
     10,930  (b)     202,752  
Dress Barn
     12,306  (b,e)     222,123  
Foot Locker
     19,168       200,881  
Genesco
     11,899  (b)     310,207  
Group 1 Automotive
     17,340  (e)     440,783  
GUESS?
     4,486       163,963  
Gymboree
     3,680  (b)     156,658  
Hot Topic
     29,515  (b,e)     227,266  
Jo-Ann Stores
     6,288  (b,e)     167,387  
Jos A Bank Clothiers
     2,918  (b,e)     119,580  
Men’s Wearhouse
     25,590  (e)     592,919  
Monro Muffler Brake
     5,758       178,440  
Office Depot
     32,241  (b)     195,058  
OfficeMax
     27,014  (b)     308,770  
O’Reilly Automotive
     7,335  (b)     273,449  
Pacific Sunwear of California
     34,329  (b)     207,347  
PetSmart
     10,279  (e)     241,865  
RadioShack
     25,829       436,252  
Rent-A-Center
     17,486  (b)     321,043  
Signet Jewelers
     14,094  (c)     355,310  
Sonic Automotive Cl A
     12,410       110,945  
Stage Stores
     11,163       131,723  
Wet Seal Cl A
     56,235  (b,e)     179,390  
Williams-Sonoma
     18,010  (e)     338,228  
 
              
Total
             8,576,651  
 
              
 
                
Textiles, Apparel & Luxury Goods (1.7%)
                
Carter’s
     8,626  (b)     203,574  
Coach
     10,746       354,296  
Crocs
     31,391  (b)     190,857  
Deckers Outdoor
     2,031  (b,e)     182,120  
Fossil
     8,110  (b,e)     216,780  
Iconix Brand Group
     15,208  (b)     177,325  
Jones Apparel Group
     15,451       276,418  
Skechers USA Cl A
     7,880  (b,e)     171,942  

 

 

                 
Issuer   Shares     Value(a)  
Warnaco Group
     7,097  (b)     287,641  
 
              
Total
             2,060,953  
 
              
 
                
Thrifts & Mortgage Finance (0.2%)
                
Ocwen Financial
     21,552  (b,e)     235,563  
 
Tobacco (0.3%)
                
Alliance One Intl
     30,949  (b,e)     136,485  
Universal
     5,660  (e)     235,399  
 
              
Total
             371,884  
 
              
 
                
Trading Companies & Distributors (0.5%)
                
H&E Equipment Services
     20,609  (b,e)     218,455  
United Rentals
     14,496  (b)     137,567  
WESCO Intl
     10,524  (b,e)     268,994  
 
              
Total
             625,016  
 
              
 
                
Water Utilities (0.1%)
                
California Water Service Group
     3,665  (e)     134,029  
 
                
Wireless Telecommunication Services (0.5%)
                
Shenandoah Telecommunications
     8,157  (e)     136,140  
Syniverse Holdings
     23,270  (b)     398,615  
USA Mobility
     10,152       110,657  
 
              
Total
             645,412  
 
              
Total Common Stocks
 (Cost: $100,588,410)
           $ 118,892,972  
 
              
 
                
Money Market Fund (0.6%)
                
                 
    Shares     Value(a)  
RiverSource Short-Term Cash Fund, 0.25%
     774,159  (h)   $ 774,159  
 
              
Total Money Market Fund
 (Cost: $774,159)
           $ 774,159  
 
              
 
                
Investments of Cash Collateral Received for Securities on Loan (26.7%)
                
                 
    Shares     Value(a)  
Cash Collateral Reinvestment Fund
                
JPMorgan Prime Money Market Fund
     32,600,841     $ 32,600,841  
 
              
Total Investments of Cash Collateral Received for Securities on Loan
 (Cost: $32,600,841)
           $ 32,600,841  
 
              
 
                
Total Investments in Securities
 (Cost: $133,963,410)(i)
           $ 152,267,972  
 
              
Investments in Derivatives
Futures Contracts Outstanding at Oct. 31, 2009
                                 
    Number of                   Unrealized
    contracts   Notional   Expiration   appreciation
Contract description   long (short)   market value   date   (depreciation)
 
E-Mini S&P MidCap 400 Index
     23     $ 1,512,020     Dec. 2009   $ (27,897 )
Russell 2000 Mini Index
     25       1,404,500     Dec. 2009     (38,821 )
 
Total
                           $ (66,718 )
 
Notes to Portfolio of Investments
(a)   Securities are valued by using policies described in Note 2 to the financial statements in the most recent Annual Report dated July 31, 2009.
 
(b)   Non-income producing.
 
(c)   Foreign security values are stated in U.S. dollars. At Oct. 31, 2009, the value of foreign securities, excluding short-term securities, represented 7.2% of net assets.
 
(d)   Shareholders of tracking stocks have a financial interest only in a unit or division of the company. Unlike the common stock of the company itself, a tracking stock usually has limited or no voting rights. In the event of a company’s liquidation, tracking stock shareholders typically do not have a legal claim on the company’s assets.

 

 

(e)   At Oct. 31, 2009, security was partially or fully on loan.
 
(f)   Identifies issues considered to be illiquid as to their marketability. The aggregate value of such securities at Oct. 31, 2009 was $249,378, representing 0.2% of net assets. Information concerning such security holdings at Oct. 31, 2009 is as follows:
                 
    Acquisition    
Security   dates   Cost
 
Virgin Media
   10-02-09 thru 10-30-09   $ 233,532  
(g)   At Oct. 31, 2009, investments in securities included securities valued at $164,656 that were partially pledged as collateral to cover initial margin deposits on open stock index futures contracts.
 
(h)   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 Oct. 31, 2009.
 
(i)   At Oct. 31, 2009, the cost of securities for federal income tax purposes was approximately $133,963,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was:
         
Unrealized appreciation
   $ 23,289,000  
Unrealized depreciation
     (4,984,000 )
 
Net unrealized appreciation
   $ 18,305,000  
 
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
Generally accepted accounting principles (GAAP) require disclosure regarding the inputs and valuation techniques used to measure fair value and any changes in valuation inputs or techniques. In addition, investments shall be disclosed by major category.
The Fund categorizes its fair value measurements according to a three-level hierarchy that maximizes the use of observable inputs and minimizes the use of unobservable inputs by prioritizing that the most observable input be used when available. Observable inputs are those that market participants would use in pricing an investment based on market data obtained from sources independent of the reporting entity. Unobservable inputs are those that reflect the Fund’s assumptions about the information market participants would use in pricing an investment. An investment’s level within the fair value hierarchy is based on the lowest level of any input that is deemed significant to the asset or liability’s fair value measurement. The input levels are not necessarily an indication of the risk or liquidity associated with investments at that level. For example, certain U.S. government securities are generally high quality and liquid, however, they are reflected as Level 2 because the inputs used to determine fair value may not always be quoted prices in an active market.
Fair value inputs are summarized in the three broad levels listed below:
  •   Level 1 — Valuations based on quoted prices for investments in active markets that the Fund has the ability to access at the measurement date. Valuation adjustments are not applied to Level 1 investments.
 
  •   Level 2 — Valuations based on other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.).
 
  •   Level 3 — Valuations based on significant unobservable inputs (including the Fund’s own assumptions and judgment in determining the fair value of investments).
Inputs that are used in determining fair value of an investment may include price information, credit data, volatility statistics, and other factors. These inputs can be either observable or unobservable. The availability of observable inputs can vary between investments, and is affected by various factors such as the type of investment, and the volume and level of activity for that investment or similar investments in the marketplace. The inputs will be considered by the Fund Administrator, along with any other relevant factors in the calculation of an investment’s fair value. The Fund uses prices and inputs that are current as of the measurement date, which may include periods of market dislocations. During these periods, the availability of prices and inputs may be reduced for many investments. This condition could cause an investment to be reclassified between the various levels within the hierarchy.
Non-U.S. equity securities actively traded in foreign markets may be reflected in Level 2 despite the availability of closing prices, because the Fund evaluates and determines whether those closing prices reflect fair value at the close of the New York Stock Exchange (NYSE) or require adjustment, as described in Note 2 to the financial statements — Valuation of securities.
Investments falling into the Level 3 category are primarily supported by quoted prices from brokers and dealers participating in the market for those investments. However, these may be classified as Level 3 investments due to lack of market transparency and corroboration to support these quoted prices. Additionally, valuation models may be used as the pricing source for any remaining investments classified as Level 3. These models rely on one or more significant unobservable inputs and/or significant assumptions by the Fund Administrator. Inputs used in a valuation model may include, but are not limited to, financial statement analysis, discount rates and estimated cash flows, and comparable company data.
The following table is a summary of the inputs used to value the Fund’s investments as of Oct. 31, 2009:
                                 
    Fair value at Oct. 31, 2009
    Level 1   Level 2        
    quoted prices   other   Level 3    
    in active   significant   significant    
    markets for   observable   unobservable    
Description   identical assets   inputs   inputs   Total
 
Equity Securities
                                
Common Stocks (a)
   $ 118,892,972     $ —     $ —     $ 118,892,972  
 
Total Equity Securities
     118,892,972       —       —       118,892,972  
 
 
                                
Other
                                
Affiliated Money Market Fund (b)
     774,159       —       —       774,159  
Investments of Cash Collateral Received for Securities on Loan
     32,600,841       —       —       32,600,841  
 
Total Other
     33,375,000       —       —       33,375,000  
 
 
                                
Investments in Securities
     152,267,972       —       —       152,267,972  
Other Financial Instruments (c)
     (66,718 )     —       —       (66,718 )
 
 
                                
Total
   $ 152,201,254     $ —     $ —     $ 152,201,254  
 
(a)   All industry classifications are identified in the Portfolio of Investments.
 
(b)   Money market fund that is a sweep investment for cash balances in the Fund at Oct. 31, 2009.
 
(c)   Other Financial Instruments are derivative instruments, which are valued at the unrealized appreciation (depreciation) on the instrument. Derivative descriptions are located in the Investments in Derivatives section of the Portfolio of Investments.

 

 

Portfolio of Investments
RiverSource Disciplined Small Cap Value Fund
Oct. 31, 2009 (Unaudited)
(Percentages represent value of investments compared to net assets)
Investments in Securities
Common Stocks (97.9%)
                 
Issuer   Shares     Value(a)  
Aerospace & Defense (0.9%)
                
Applied Signal Technology
     550     $ 11,270  
Ceradyne
     13,478  (b)     217,264  
Triumph Group
     3,595       168,282  
 
              
Total
             396,816  
 
              
 
                
Air Freight & Logistics (0.5%)
                
Atlas Air Worldwide Holdings
     6,546  (b,d)     172,094  
Pacer Intl
     15,103  (d)     43,195  
 
              
Total
             215,289  
 
              
 
                
Airlines (1.8%)
                
Alaska Air Group
     4,529  (b)     116,486  
Allegiant Travel
     3,457  (b,d)     130,363  
SkyWest
     38,846       542,679  
 
              
Total
             789,528  
 
              
 
                
Auto Components (1.9%)
                
ArvinMeritor
     16,242       126,850  
Dana Holding
     33,912  (b)     191,942  
Exide Technologies
     21,735  (b,d)     133,018  
Spartan Motors
     17,782       88,732  
Superior Inds Intl
     5,644       74,952  
Tenneco
     16,649  (b)     226,760  
 
              
Total
             842,254  
 
              
 
                
Building Products (0.7%)
                
Apogee Enterprises
     10,126  (d)     134,068  
Insteel Inds
     4,823  (d)     53,632  
Universal Forest Products
     3,047       108,717  
 
              
Total
             296,417  
 
              
 
                
Capital Markets (3.6%)
                
BGC Partners Cl A
     28,776       138,988  
Evercore Partners Cl A
     2,504  (d)     81,731  
GAMCO Investors Cl A
     842       35,524  
Intl Assets Holding
     4,814  (b)     86,598  
Knight Capital Group Cl A
     21,436  (b)     361,197  
MF Global
     15,758  (b,c)     112,197  
MVC Capital
     7,424       68,152  
Oppenheimer Holdings Cl A
     3,153       80,402  
PennantPark Investment
     4,473       34,576  
Penson Worldwide
     11,425  (b,d)     111,394  
Prospect Capital
     12,641  (d)     125,525  
Stifel Financial
     2,092  (b,d)     108,700  
SWS Group
     10,848       145,146  
Westwood Holdings Group
     2,887  (d)     101,882  
 
              
Total
             1,592,012  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Chemicals (4.6%)
                
Innophos Holdings
     6,933       134,154  
Innospec
     6,984  (c,d)     82,551  
Olin
     23,314       356,005  
OM Group
     19,303  (b,d)     521,567  
Solutia
     14,312  (b)     157,432  
WR Grace & Co
     34,011  (b)     744,500  
 
              
Total
             1,996,209  
 
              
 
                
Commercial Banks (6.4%)
                
Arrow Financial
     3,240  (d)     82,393  
BancFirst
     3,023       109,161  
Bancorp
     6,947  (b)     35,430  
Bank of Kentucky Financial
     1,074  (d)     23,241  
Bank of the Ozarks
     2,302  (d)     52,371  
Bridge Bancorp
     824       17,485  
Camden Natl
     3,298  (d)     101,348  
Community Trust Bancorp
     4,027  (d)     99,145  
CVB Financial
     3,154       25,264  
First Financial
     3,837  (d)     106,400  
First Financial Bankshares
     2,493  (d)     120,786  
First of Long Island
     2,118  (d)     51,192  
German American Bancorp
     3,296  (d)     49,572  
Great Southern Bancorp
     1,185  (d)     27,160  
Heritage Financial
     2,188  (d)     27,372  
Home BancShares
     4,396  (d)     95,085  
MainSource Financial Group
     12,728  (d)     74,204  
Natl Bankshares
     2,590  (d)     70,215  
NBT Bancorp
     5,565  (d)     121,317  
Northrim BanCorp
     5,577  (d)     83,878  
Peoples Bancorp
     1,278  (d)     13,726  
PrivateBancorp
     2,051  (d)     18,726  
Republic Bancorp Cl A
     4,228  (d)     77,753  
S.Y. Bancorp
     4,644  (d)     103,793  
Sandy Spring Bancorp
     8,093  (d)     93,555  
Sierra Bancorp
     2,143  (d)     18,708  
Signature Bank
     3,267  (b)     103,107  
Southside Bancshares
     1,555  (d)     32,328  
SVB Financial Group
     4,062  (b)     167,557  
Tompkins Financial
     2,106  (d)     91,337  
TowneBank
     8,264  (d)     95,367  
Trico Bancshares
     3,366  (d)     49,211  
Trustmark
     8,569  (d)     162,383  
UMB Financial
     4,313       171,527  
Wilshire Bancorp
     16,066  (d)     113,105  
Wintrust Financial
     3,020  (d)     85,194  
Yadkin Valley Financial
     10,049       36,980  
 
              
Total
             2,807,376  
 
              
 
                
Commercial Services & Supplies (1.5%)
                
Consolidated Graphics
     4,129  (b,d)     82,828  
GeoEye
     3,664  (b,d)     92,956  
HNI
     791  (d)     20,819  
Kimball Intl Cl B
     15,437       115,778  
United Stationers
     4,328  (b)     204,021  
Viad
     7,413  (d)     129,728  
 
              
Total
             646,130  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Communications Equipment (2.1%)
                
3Com
     107,923  (b)     554,724  
EMS Technologies
     3,472  (b,d)     60,517  
Harmonic
     19,448  (b,d)     102,102  
NETGEAR
     5,377  (b,d)     98,023  
Polycom
     4,447  (b)     95,477  
 
              
Total
             910,843  
 
              
 
                
Construction & Engineering (3.1%)
                
Comfort Systems USA
     14,140  (d)     154,126  
EMCOR Group
     17,403  (b)     411,058  
Granite Construction
     8,278  (d)     236,420  
Layne Christensen
     4,385  (b)     113,572  
Michael Baker
     2,921  (b)     104,280  
Tutor Perini
     19,868  (b,d)     350,670  
 
              
Total
             1,370,126  
 
              
 
                
Consumer Finance (0.3%)
                
Advance America Cash Advance Centers
     11,858  (d)     58,578  
First Cash Financial Services
     2,737  (b,d)     47,022  
World Acceptance
     1,190  (b)     29,857  
 
              
Total
             135,457  
 
              
 
                
Diversified Consumer Services (0.3%)
                
Regis
     9,327       151,470  
 
                
Diversified Financial Services (0.5%)
                
Life Partners Holdings
     6,441  (d)     109,433  
PHH
     5,782  (b,d)     93,437  
 
              
Total
             202,870  
 
              
 
                
Electrical Equipment (1.2%)
                
EnerSys
     6,410  (b)     141,661  
GrafTech Intl
     27,190  (b)     367,065  
 
              
Total
             508,726  
 
              
 
                
Electronic Equipment, Instruments & Components (3.0%)
                
Anixter Intl
     8,200  (b,d)     343,170  
Benchmark Electronics
     14,159  (b)     237,871  
CTS
     6,872       61,573  
Insight Enterprises
     16,519  (b)     173,780  
Methode Electronics
     11,717       84,948  
Plexus
     2,456  (b)     62,137  
SMART Modular Technologies WWH
     24,157  (b)     98,077  
SYNNEX
     7,872  (b,d)     202,547  
TTM Technologies
     5,846  (b)     59,454  
 
              
Total
             1,323,557  
 
              
 
                
Energy Equipment & Services (3.3%)
                
Bristow Group
     2,609  (b,d)     76,052  
Bronco Drilling
     6,146  (b,d)     38,843  
Cal Dive Intl
     11,558  (b)     88,765  
Complete Production Services
     7,909  (b)     75,373  
Dawson Geophysical
     3,031  (b)     73,199  
GulfMark Offshore
     4,134  (b,d)     114,388  
Key Energy Services
     43,237  (b)     316,495  
Lufkin Inds
     2,115       120,661  
Matrix Service
     5,662  (b)     50,222  

 

 

                 
Issuer   Shares     Value(a)  
Parker Drilling
     75,948  (b,d)     394,929  
Pioneer Drilling
     3,912  (b)     26,171  
TETRA Technologies
     8,787  (b)     83,125  
 
              
Total
             1,458,223  
 
              
 
                
Food & Staples Retailing (2.4%)
                
Andersons
     4,664       144,724  
Casey’s General Stores
     8,491  (d)     267,722  
Ingles Markets Cl A
     7,659       117,795  
Nash Finch
     4,156  (d)     120,441  
Pantry
     7,276  (b)     102,664  
Spartan Stores
     4,762  (d)     67,430  
Winn-Dixie Stores
     22,601  (b,d)     250,645  
 
              
Total
             1,071,421  
 
              
 
                
Food Products (2.2%)
                
American Italian Pasta Cl A
     5,741  (b)     155,983  
Cal-Maine Foods
     4,601  (d)     124,917  
Chiquita Brands Intl
     16,431  (b,d)     266,018  
Diamond Foods
     2,485  (d)     74,923  
Fresh Del Monte Produce
     15,736  (b,c)     341,628  
J&J Snack Foods
     600       23,502  
 
              
Total
             986,971  
 
              
 
                
Gas Utilities (0.5%)
                
Chesapeake Utilities
     1,331  (d)     42,166  
Laclede Group
     3,480       106,871  
New Jersey Resources
     1,820  (d)     64,064  
 
              
Total
             213,101  
 
              
 
                
Health Care Equipment & Supplies (0.3%)
                
ev3
     11,826  (b,d)     139,310  
 
Health Care Providers & Services (6.5%)
                
AMERIGROUP
     5,574  (b,d)     122,907  
Emergency Medical Services Cl A
     865  (b)     41,537  
Gentiva Health Services
     5,449  (b)     130,776  
HealthSpring
     25,981  (b)     372,308  
Kindred Healthcare
     23,596  (b)     346,861  
Magellan Health Services
     25,357  (b)     814,721  
Molina Healthcare
     11,756  (b)     220,072  
RehabCare Group
     4,115  (b)     77,156  
Triple-S Management Cl B
     12,776  (b,c,d)     213,359  
Universal American Financial
     13,174  (b)     131,740  
WellCare Health Plans
     15,162  (b)     396,183  
 
              
Total
             2,867,620  
 
              
 
                
Household Durables (0.6%)
                
American Greetings Cl A
     9,899       201,345  
Blyth
     2,027  (d)     71,817  
 
              
Total
             273,162  
 
              
 
                
Industrial Conglomerates (0.7%)
                
Seaboard
     222  (d)     299,922  
 
                
Insurance (10.6%)
                
American Physicians Capital
     3,042  (d)     86,028  
American Physicians Service Group
     4,299       103,477  

 

 

                 
Issuer   Shares     Value(a)  
American Safety Insurance Holdings
     2,130  (b,c)     31,567  
Amerisafe
     11,193  (b)     207,518  
AmTrust Financial Services
     6,875       77,550  
Argo Group Intl Holdings
     3,406  (b,c)     115,668  
CNA Surety
     11,014  (b)     159,262  
Conseco
     57,745  (b)     300,851  
Employers Holdings
     27,323       404,927  
FPIC Insurance Group
     2,454  (b,d)     83,019  
Horace Mann Educators
     25,702       319,476  
Max Capital Group
     7,363  (c)     152,046  
Meadowbrook Insurance Group
     18,820       126,659  
Montpelier Re Holdings
     8,775  (c)     141,804  
Natl Financial Partners
     17,978       146,521  
Navigators Group
     1,086  (b,d)     57,634  
Platinum Underwriters Holdings
     23,121  (c)     827,038  
ProAssurance
     9,760  (b,d)     490,733  
RLI
     2,315  (d)     115,750  
Safety Insurance Group
     5,353  (d)     179,165  
SeaBright Insurance Holdings
     9,679  (b,d)     108,211  
Tower Group
     9,908       243,539  
Zenith Natl Insurance
     6,166  (d)     175,916  
 
              
Total
             4,654,359  
 
              
 
                
Internet Software & Services (1.2%)
                
EarthLink
     48,305  (d)     391,270  
ModusLink Global Solutions
     10,108  (b)     83,088  
United Online
     9,169       73,352  
 
              
Total
             547,710  
 
              
 
                
IT Services (1.3%)
                
Ciber
     15,518  (b)     49,968  
CSG Systems Intl
     6,619  (b)     108,154  
Euronet Worldwide
     7,630  (b)     180,449  
ManTech Intl Cl A
     3,296  (b)     144,563  
MAXIMUS
     1,702       78,735  
 
              
Total
             561,869  
 
              
 
                
Leisure Equipment & Products (0.7%)
                
Brunswick
     5,209  (d)     49,381  
JAKKS Pacific
     18,193  (b,d)     258,887  
 
              
Total
             308,268  
 
              
 
                
Machinery (2.8%)
                
EnPro Inds
     4,721  (b,d)     106,600  
FreightCar America
     4,993  (d)     117,735  
Hurco Companies
     2,252  (b,d)     35,807  
John Bean Technologies
     5,114       83,972  
LB Foster Cl A
     4,033  (b)     113,247  
Mueller Inds
     17,019       402,669  
NACCO Inds Cl A
     936       55,786  
Nordson
     3,571  (d)     188,441  
Robbins & Myers
     4,395  (d)     101,964  
 
              
Total
             1,206,221  
 
              
 
                
Marine (0.2%)
                
Genco Shipping & Trading
     4,188       83,299  
 
                
Media (0.4%)
                
Natl CineMedia
     10,747       171,952  

 

 

                 
Issuer   Shares     Value(a)  
Metals & Mining (3.2%)
                
AM Castle & Co
     5,975  (d)     67,338  
Brush Engineered Materials
     4,166  (b,d)     76,863  
Century Aluminum
     12,558  (b,d)     108,878  
Coeur d’Alene Mines
     20,151  (b,d)     404,633  
Haynes Intl
     3,425  (b,d)     96,996  
Horsehead Holding
     16,357  (b,d)     155,882  
Kaiser Aluminum
     4,071       162,636  
Olympic Steel
     3,611  (d)     91,358  
Royal Gold
     1,530       67,580  
RTI Intl Metals
     8,147  (b,d)     168,724  
 
              
Total
             1,400,888  
 
              
 
                
Multiline Retail (0.7%)
                
Dillard’s Cl A
     16,223  (d)     220,957  
Retail Ventures
     11,349  (b,d)     72,747  
 
              
Total
             293,704  
 
              
 
                
Multi-Utilities (0.4%)
                
CH Energy Group
     3,064       126,880  
NorthWestern
     1,279       30,888  
 
              
Total
             157,768  
 
              
 
                
Oil, Gas & Consumable Fuels (4.5%)
                
ATP Oil & Gas
     11,516  (b,d)     199,342  
Berry Petroleum Cl A
     6,255  (d)     158,627  
Bill Barrett
     4,004  (b)     124,044  
CVR Energy
     13,087  (b,d)     137,675  
Gran Tierra Energy
     32,365  (b,c,d)     154,057  
Knightsbridge Tankers
     8,155  (c)     103,079  
Nordic American Tanker Shipping
     6,296  (c,d)     178,177  
Penn Virginia
     8,389       169,877  
Petroleum Development
     6,875  (b)     114,813  
Rosetta Resources
     9,092  (b)     123,015  
Stone Energy
     8,790  (b,d)     134,751  
Swift Energy
     10,012  (b,d)     212,054  
USEC
     17,929  (b)     69,206  
Western Refining
     13,394  (b,d)     75,140  
 
              
Total
             1,953,857  
 
              
 
                
Paper & Forest Products (0.8%)
                
Glatfelter
     8,099       85,606  
Schweitzer-Mauduit Intl
     4,734       244,512  
 
              
Total
             330,118  
 
              
 
                
Personal Products (0.3%)
                
Chattem
     1,862  (b,d)     117,995  
 
                
Pharmaceuticals (0.5%)
                
Par Pharmaceutical Companies
     7,385  (b)     154,863  
ViroPharma
     8,377  (b)     63,163  
 
              
Total
             218,026  
 
              
 
                
Professional Services (1.1%)
                
CDI
     3,259       39,695  
Heidrick & Struggles Intl
     4,074  (d)     111,464  

 

 

                 
Issuer   Shares     Value(a)  
ICF Intl
     767  (b,d)     21,975  
Kelly Services Cl A
     3,566  (d)     39,511  
Korn/Ferry Intl
     5,095  (b)     81,316  
Spherion
     15,184  (b)     75,161  
TrueBlue
     6,422  (b)     77,706  
Volt Information Sciences
     4,298  (b,d)     34,857  
 
              
Total
             481,685  
 
              
 
                
Real Estate Investment Trusts (REITs) (5.9%)
                
American Capital Agency
     1,013       26,338  
Anworth Mtge Asset
     22,738  (d)     162,122  
Capstead Mtge
     45,098       593,490  
Franklin Street Properties
     10,041       108,242  
Getty Realty
     4,712  (d)     115,491  
Investors Real Estate Trust
     3,536       29,596  
MFA Financial
     86,774  (d)     643,862  
Natl Health Investors
     3,764       112,920  
Natl Retail Properties
     5,397  (d)     104,594  
NorthStar Realty Finance
     32,784       115,728  
Omega Healthcare Investors
     14,307  (d)     216,894  
Realty Income
     4,793  (d)     111,102  
Universal Health Realty Income Trust
     3,998  (d)     126,937  
Urstadt Biddle Properties Cl A
     7,638  (d)     112,813  
 
              
Total
             2,580,129  
 
              
 
                
Real Estate Management & Development (0.2%)
                
Altisource Portfolio Solutions
     4,736  (b,c)     72,224  
China Housing & Land Development
     8,507  (b,c,d)     26,202  
 
              
Total
             98,426  
 
              
 
                
Road & Rail (0.9%)
                
Arkansas Best
     9,465  (d)     244,387  
Old Dominion Freight Line
     2,957  (b)     76,852  
Saia
     4,349  (b,d)     63,756  
 
              
Total
             384,995  
 
              
 
                
Semiconductors & Semiconductor Equipment (0.6%)
                
OmniVision Technologies
     14,051  (b)     172,265  
Sigma Designs
     4,864  (b,d)     58,417  
Trident Microsystems
     21,634  (b,d)     40,672  
 
              
Total
             271,354  
 
              
 
                
Software (0.6%)
                
EPIQ Systems
     2,818  (b,d)     35,535  
TIBCO Software
     27,886  (b)     244,002  
 
              
Total
             279,537  
 
              
 
                
Specialty Retail (7.2%)
                
AnnTaylor Stores
     13,516  (b,d)     175,303  
Asbury Automotive Group
     9,832  (b)     95,764  
Brown Shoe
     5,981  (d)     62,023  
Buckle
     5,731  (d)     171,987  
Build-A-Bear Workshop
     9,576  (b)     49,604  
Collective Brands
     3,468  (b)     64,331  
Conn’s
     8,722  (b,d)     55,036  
Dress Barn
     7,179  (b,d)     129,581  
DSW Cl A
     4,838  (b)     92,890  
Genesco
     10,550  (b)     275,039  

 

 

                 
Issuer   Shares     Value(a)  
Group 1 Automotive
     14,180  (d)     360,455  
Gymboree
     3,101  (b)     132,010  
Hot Topic
     15,180  (b)     116,886  
Jo-Ann Stores
     6,026  (b)     160,412  
Men’s Wearhouse
     13,067       302,761  
Monro Muffler Brake
     707       21,910  
OfficeMax
     7,204  (b)     82,342  
Pacific Sunwear of California
     29,303  (b)     176,990  
Rent-A-Center
     14,011  (b)     257,242  
Shoe Carnival
     5,418  (b,d)     81,324  
Sonic Automotive Cl A
     7,176       64,153  
Stage Stores
     9,037       106,637  
Tween Brands
     12,196  (b)     103,422  
 
              
Total
             3,138,102  
 
              
 
                
Textiles, Apparel & Luxury Goods (1.6%)
                
Carter’s
     6,577  (b)     155,217  
Iconix Brand Group
     12,378  (b)     144,327  
Jones Apparel Group
     12,479       223,249  
Skechers USA Cl A
     7,902  (b,d)     172,422  
Weyco Group
     296  (d)     6,601  
 
              
Total
             701,816  
 
              
 
                
Thrifts & Mortgage Finance (0.8%)
                
ESB Financial
     4,204       49,019  
ESSA Bancorp
     3,487  (d)     41,739  
First Niagara Financial Group
     8,439       108,357  
Ocwen Financial
     13,769  (b)     150,495  
 
              
Total
             349,610  
 
              
 
                
Tobacco (0.5%)
                
Universal
     5,750  (d)     239,143  
 
                
Trading Companies & Distributors (0.5%)
                
Aceto
     9,376  (d)     51,943  
H&E Equipment Services
     16,943  (b,d)     179,596  
 
              
Total
             231,539  
 
              
 
                
Water Utilities (0.3%)
                
American States Water
     934  (d)     30,962  
California Water Service Group
     2,780  (d)     101,665  
 
              
Total
             132,627  
 
              
 
                
Wireless Telecommunication Services (1.2%)
                
Shenandoah Telecommunications
     2,058  (d)     34,348  
Syniverse Holdings
     21,950  (b)     376,003  
USA Mobility
     9,074       98,907  
 
              
Total
             509,258  
 
              
Total Common Stocks
(Cost: $39,497,547)
           $ 42,899,065  
 
              
 
                
Money Market Fund (0.7%)
                
                 
    Shares     Value(a)  
RiverSource Short-Term Cash Fund, 0.25%
     290,990  (e)   $ 290,990  
 
              
Total Money Market Fund
(Cost: $290,990)
           $ 290,990  
 
              
 
                

 

 

Investments of Cash Collateral Received for Securities on Loan (27.3%)
                 
    Shares     Value(a)  
Cash Collateral Reinvestment Fund
                
JPMorgan Prime Money Market Fund
     11,970,309     $ 11,970,309  
 
              
Total Investments of Cash Collateral Received for Securities on Loan
(Cost: $11,970,309)
           $ 11,970,309  
 
              
 
                
Total Investments in Securities
(Cost: $51,758,846)(f)
           $ 55,160,364  
 
              
At Oct. 31, 2009, $16,000 was held in a margin deposit account as collateral to cover initial margin deposits on open stock index futures contracts.
Investments in Derivatives
Futures Contracts Outstanding at Oct. 31, 2009
                                 
    Number of                   Unrealized
    contracts   Notional   Expiration   appreciation
Contract description   long (short)   market value   date   (depreciation)
 
Russell 2000 Mini Index
     14     $ 786,520     Dec. 2009   $ (23,164 )
Notes to Portfolio of Investments
(a)   Securities are valued by using policies described in Note 2 to the financial statements in the most recent Annual Report dated July 31, 2009.
 
(b)   Non-income producing.
 
(c)   Foreign security values are stated in U.S. dollars. At Oct. 31, 2009, the value of foreign securities, excluding short-term securities, represented 5.8% of net assets.
 
(d)   At Oct. 31, 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 Oct. 31, 2009.
 
(f)   At Oct. 31, 2009, the cost of securities for federal income tax purposes was approximately $51,759,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was:
         
Unrealized appreciation
   $ 6,664,000  
Unrealized depreciation
     (3,263,000 )
 
Net unrealized appreciation
   $ 3,401,000  
 
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
Generally accepted accounting principles (GAAP) require disclosure regarding the inputs and valuation techniques used to measure fair value and any changes in valuation inputs or techniques. In addition, investments shall be disclosed by major category.
The Fund categorizes its fair value measurements according to a three-level hierarchy that maximizes the use of observable inputs and minimizes the use of unobservable inputs by prioritizing that the most observable input be used when available. Observable inputs are those that market participants would use in pricing an investment based on market data obtained from sources independent of the reporting entity. Unobservable inputs are those that reflect the Fund’s assumptions about the information market participants would use in pricing an investment. An investment’s level within the fair value hierarchy is based on the lowest level of any input that is deemed significant to the asset or liability’s fair value measurement. The input levels are not necessarily an indication of the risk or liquidity associated with investments at that level. For example, certain U.S. government securities are generally high quality and liquid, however, they are reflected as Level 2 because the inputs used to determine fair value may not always be quoted prices in an active market.
Fair value inputs are summarized in the three broad levels listed below:
  •   Level 1 — Valuations based on quoted prices for investments in active markets that the Fund has the ability to access at the measurement date. Valuation adjustments are not applied to Level 1 investments.
 
  •   Level 2 — Valuations based on other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.).
 
  •   Level 3 — Valuations based on significant unobservable inputs (including the Fund’s own assumptions and judgment in determining the fair value of investments).
Inputs that are used in determining fair value of an investment may include price information, credit data, volatility statistics, and other factors. These inputs can be either observable or unobservable. The availability of observable inputs can vary between investments, and is affected by various factors such as the type of investment, and the volume and level of activity for that investment or similar investments in the marketplace. The inputs will be considered by the Fund Administrator, along with any other relevant factors in the calculation of an investment’s fair value. The Fund uses prices and inputs that are current as of the measurement date, which may include periods of market dislocations. During these periods, the availability of prices and inputs may be reduced for many investments. This condition could cause an investment to be reclassified between the various levels within the hierarchy.
Non-U.S. equity securities actively traded in foreign markets may be reflected in Level 2 despite the availability of closing prices, because the Fund evaluates and determines whether those closing prices reflect fair value at the close of the New York Stock Exchange (NYSE) or require adjustment, as described in Note 2 to the financial statements — Valuation of securities in the most recent Annual Report dated July 31, 2009.
Investments falling into the Level 3 category are primarily supported by quoted prices from brokers and dealers participating in the market for those investments. However, these may be classified as Level 3 investments due to lack of market transparency and corroboration to support these quoted prices. Additionally, valuation models may be used as the pricing source for any remaining investments classified as Level 3. These models rely on one or more significant unobservable inputs and/or significant assumptions by the Fund Administrator. Inputs used in a valuation model may include, but are not limited to, financial statement analysis, discount rates and estimated cash flows, and comparable company data.
The following table is a summary of the inputs used to value the Fund’s investments as of Oct. 31, 2009:
                                 
    Fair value at Oct. 31, 2009
    Level 1   Level 2        
    quoted prices   other   Level 3    
    in active   significant   significant    
    markets for   observable   unobservable    
Description   identical assets   inputs   inputs   Total
 
Equity Securities
                                
Common Stocks (a)
   $ 42,899,065     $ —     $ —     $ 42,899,065  
 
Total Equity Securities
     42,899,065       —       —       42,899,065  
 
 
                                
Other
                                
Affiliated Money Market Fund (b)
     290,990       —       —       290,990  
Investments of Cash Collateral Received for Securities on Loan
     11,970,309       —       —       11,970,309  
 
Total Other
     12,261,299       —       —       12,261,299  
 
 
                                
Investments in Securities
     55,160,364       —       —       55,160,364  
Other Financial Instruments (c)
     (23,164 )     —       —       (23,164 )
 
 
                                
Total
   $ 55,137,200     $ —     $ —     $ 55,137,200  
 
(a)   All industry classifications are identified in the Portfolio of Investments.
 
(b)   Money market fund that is a sweep investment for cash balances in the Fund at Oct. 31, 2009.
 
(c)   Other Financial Instruments are derivative instruments, which are valued at the unrealized appreciation (depreciation) on the instrument. Derivative descriptions are located in the Investments in Derivatives section of the Portfolio of Investments.

 

 

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
  December 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
  December 29, 2009    
         
By
  /s/ Jeffrey P. Fox    
 
 
 
    
 
  Jeffrey P. Fox    
 
  Treasurer and Principal Financial Officer    
 
        
Date
  December 29, 2009