-----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, C4D70+HSD4XoK8Z+GubLZrUwL05cCJsMlukD5+DNspTafl3UrtHyuU0C5Mavvtyx InBSdHtl7/hnqNCoDEO8ZA== 0000950123-10-116631.txt : 20101228 0000950123-10-116631.hdr.sgml : 20101228 20101228104037 ACCESSION NUMBER: 0000950123-10-116631 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20101031 FILED AS OF DATE: 20101228 DATE AS OF CHANGE: 20101228 EFFECTIVENESS DATE: 20101228 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: 101275161 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-4321 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 R C000042779 RiverSource Disciplined Small Cap Value Fund Class R3 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 c61598nvq.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: July 31
Date of reporting period: October 31, 2010
 
 
Item 1. Schedule of Investments

 

 

Item 1. Schedule of Investments
Portfolio of Investments
RiverSource Disciplined Small and Mid Cap Equity Fund
Oct. 31, 2010 (Unaudited)
(Percentages represent value of investments compared to net assets)
Investments in Securities
Common Stocks (98.7%)
                 
Issuer   Shares     Value(a)  
Aerospace & Defense (0.5%)
                
Astronics Corp.
     4,400  (b,d)   $ 91,740  
Ceradyne, Inc.
     12,801  (b)     304,792  
Esterline Technologies Corp.
     2,894  (b)     174,913  
LMI Aerospace, Inc.
     12,900  (b)     210,657  
 
              
Total
             782,102  
 
              
 
                
Air Freight & Logistics (0.4%)
                
Atlas Air Worldwide Holdings, Inc.
     10,010  (b.d)     523,123  
 
                
Airlines (1.4%)
                
Alaska Air Group, Inc.
     12,304  (b)     649,652  
Allegiant Travel Co.
     4,661  (d)     219,486  
Hawaiian Holdings, Inc.
     36,341  (b,d)     266,016  
Skywest, Inc.
     14,978  (d)     227,066  
United Continental Holdings, Inc.
     24,760  (b,d)     719,031  
 
              
Total
             2,081,251  
 
              
 
                
Auto Components (3.0%)
                
Autoliv, Inc.
     13,331  (c,d)     950,500  
Cooper Tire & Rubber Co.
     16,254  (d)     318,741  
Fuel Systems Solutions, Inc.
     10,200  (b,d)     417,996  
Lear Corp.
     20,500  (b)     1,812,200  
Tenneco, Inc.
     13,857  (b,d)     452,015  
TRW Automotive Holdings Corp.
     10,859  (b,d)     496,148  
 
              
Total
             4,447,600  
 
              
 
                
Beverages (0.2%)
                
Boston Beer Co., Inc., Class A
     3,600  (b,d)     257,724  
 
                
Biotechnology (0.6%)
                
Cephalon, Inc.
     3,516  (b,d)     233,603  
Cubist Pharmaceuticals, Inc.
     10,413  (b,d)     242,415  
Incyte Corp., Ltd.
     11,841  (b,d)     197,271  
Nabi Biopharmaceuticals
     22,000  (b)     108,020  
PDL BioPharma, Inc.
     30,900  (d)     161,607  
 
              
Total
             942,916  
 
              
 
                
Building Products (0.4%)
                
AAON, Inc.
     15,100  (d)     370,705  
Quanex Building Products Corp.
     11,796  (d)     212,564  
 
              
Total
             583,269  
 
              
 
                
Capital Markets (2.1%)
                
Ares Capital Corp.
     36,786  (d)     615,798  
Gladstone Capital Corp.
     17,600  (d)     201,872  
Investment Technology Group, Inc.
     5,931  (b,d)     84,457  

 

 

                 
Issuer   Shares     Value(a)  
LaBranche & Co., Inc.
     45,600  (b,d)     148,200  
MVC Capital, Inc.
     7,749  (d)     103,449  
Raymond James Financial, Inc.
     15,054  (d)     424,824  
TICC Capital Corp.
     143,700  (d)     1,485,858  
 
              
Total
             3,064,458  
 
              
 
                
Chemicals (3.5%)
                
Ashland, Inc.
     9,848       508,452  
Cabot Corp.
     5,038       171,393  
Cytec Industries, Inc.
     8,176       404,876  
Eastman Chemical Co.
     3,128       245,767  
Hawkins, Inc.
     6,800  (d)     244,120  
Innophos Holdings, Inc.
     11,922  (d)     437,776  
Lubrizol Corp.
     3,245       332,580  
Minerals Technologies, Inc.
     21,000       1,232,069  
NewMarket Corp.
     3,761  (d)     445,754  
OM Group, Inc.
     10,630  (b)     353,660  
PolyOne Corp.
     24,288  (b,d)     313,801  
Stepan Co.
     5,549  (d)     374,225  
 
              
Total
             5,064,473  
 
              
 
                
Commercial Banks (1.9%)
                
First Financial Bancorp
     58,284  (d)     981,503  
International Bancshares Corp.
     75,598  (d)     1,294,993  
Republic Bancorp, Inc., Class A
     2,700  (d)     55,188  
TowneBank
     14,586  (d)     211,497  
Zions Bancorporation
     9,533       196,952  
 
              
Total
             2,740,133  
 
              
 
                
Commercial Services & Supplies (1.6%)
                
Consolidated Graphics, Inc.
     12,620  (b)     587,461  
Deluxe Corp.
     3,500  (d)     71,540  
Kimball International, Inc., Class B
     24,290  (d)     147,683  
RR Donnelley & Sons Co.
     27,390       505,346  
Standard Parking Corp.
     5,200  (b,d)     88,868  
Steelcase, Inc., Class A
     29,467  (d)     247,817  
The Brink’s Co.
     22,478       530,481  
U.S. Ecology, Inc.
     13,200  (d)     214,104  
 
              
Total
             2,393,300  
 
              
 
                
Communications Equipment (2.0%)
                
F5 Networks, Inc.
     16,095  (b)     1,894,381  
JDS Uniphase Corp.
     19,442  (b)     204,335  
Plantronics, Inc.
     13,793  (d)     494,893  
Tellabs, Inc.
     47,291       322,525  
 
              
Total
             2,916,134  
 
              
 
                
Computers & Peripherals (1.1%)
                
Hutchinson Technology, Inc.
     27,100  (b,d)     92,411  
Lexmark International, Inc., Class A
     22,384  (b)     851,264  
NCR Corp.
     26,010  (b)     356,857  
Synaptics, Inc.
     12,000  (b,d)     323,160  
 
              
Total
             1,623,692  
 
              
 
                
Construction & Engineering (0.9%)
                
Comfort Systems USA, Inc.
     10,870  (d)     124,462  
EMCOR Group, Inc.
     8,176  (b)     211,350  
KBR, Inc.
     30,645       778,382  
Layne Christensen Co.
     8,275  (b,d)     231,204  
 
              
Total
             1,345,398  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Consumer Finance (1.6%)
                
Cash America International, Inc.
     2,828  (d)     99,630  
Discover Financial Services
     31,881       562,700  
Ezcorp, Inc., Class A
     13,220  (b)     283,966  
Nelnet, Inc., Class A
     63,400       1,424,598  
 
              
Total
             2,370,894  
 
              
 
                
Containers & Packaging (0.3%)
                
Rock-Tenn Co., Class A
     7,350  (d)     417,848  
 
                
Diversified Consumer Services (1.0%)
                
Corinthian Colleges, Inc.
     14,138  (b,d)     73,800  
Lincoln Educational Services Corp.
     10,100  (b,d)     125,846  
Pre-Paid Legal Services, Inc.
     15,019  (b,d)     903,844  
Sotheby’s
     9,217  (d)     404,073  
 
              
Total
             1,507,563  
 
              
 
                
Diversified Financial Services (0.1%)
                
Life Partners Holdings, Inc.
     7,000  (d)     129,920  
 
                
Diversified Telecommunication Services (0.6%)
                
Qwest Communications International, Inc.
     128,046       845,104  
 
                
Electric Utilities (2.7%)
                
DPL, Inc.
     57,500       1,500,750  
Edison International
     33,227       1,226,076  
El Paso Electric Co.
     49,900  (b)     1,227,540  
 
              
Total
             3,954,366  
 
              
 
                
Electrical Equipment (0.5%)
                
GrafTech International Ltd.
     32,855  (b,d)     541,122  
Powell Industries, Inc.
     5,200  (b,d)     160,472  
 
              
Total
             701,594  
 
              
 
                
Electronic Equipment, Instruments & Components (3.6%)
                
Anixter International, Inc.
     13,027  (d)     699,420  
Arrow Electronics, Inc.
     11,100  (b)     328,671  
Benchmark Electronics, Inc.
     14,414  (b,d)     236,822  
Electro Rent Corp.
     20,600       306,116  
Insight Enterprises, Inc.
     18,381  (b,d)     277,921  
Jabil Circuit, Inc.
     19,847       304,453  
Keithley Instruments, Inc.
     13,700  (d)     295,646  
Littelfuse, Inc.
     8,894  (b,d)     377,372  
Methode Electronics, Inc.
     19,678  (d)     182,809  
Power-One, Inc.
     114,500  (b,d)     1,191,944  
Richardson Electronics Ltd.
     29,500       319,190  
Vishay Intertechnology, Inc.
     60,000  (b,d)     678,000  
 
              
Total
             5,198,364  
 
              
 
                
Energy Equipment & Services (2.7%)
                
Atwood Oceanics, Inc.
     11,487  (b,d)     373,442  
Helmerich & Payne, Inc.
     12,433       531,884  
Oceaneering International, Inc.
     21,800  (b)     1,348,766  
Oil States International, Inc.
     7,538  (b)     385,343  

 

 

                 
Issuer   Shares     Value(a)  
Rowan Companies, Inc.
     20,868  (b)     686,557  
SEACOR Holdings, Inc.
     2,858  (b)     270,796  
Superior Energy Services, Inc.
     4,547  (b)     125,588  
Unit Corp.
     4,876  (b)     191,285  
 
              
Total
             3,913,661  
 
              
 
                
Food & Staples Retailing (0.9%)
                
BJ’s Wholesale Club, Inc.
     12,523  (b)     522,585  
Nash Finch Co.
     5,099  (d)     213,648  
Ruddick Corp.
     12,569  (d)     438,658  
Spartan Stores, Inc.
     12,197  (d)     182,345  
 
              
Total
             1,357,236  
 
              
 
                
Food Products (0.6%)
                
Cal-Maine Foods, Inc.
     8,223  (d)     238,220  
Chiquita Brands International, Inc.
     15,968  (b,d)     211,895  
Fresh Del Monte Produce, Inc.
     19,703  (b,c)     436,028  
 
              
Total
             886,143  
 
              
 
                
Gas Utilities (0.8%)
                
Chesapeake Utilities Corp.
     6,700  (d)     245,823  
Energen Corp.
     3,212       143,384  
Oneok, Inc.
     2,747       136,856  
Questar Corp.
     6,310       107,081  
The Laclede Group, Inc.
     5,366       188,400  
UGI Corp.
     13,200       397,187  
 
              
Total
             1,218,731  
 
              
 
                
Health Care Equipment & Supplies (1.9%)
                
Hill-Rom Holdings, Inc.
     42,653  (d)     1,652,803  
Intuitive Surgical, Inc.
     1,751  (b)     460,425  
Medical Action Industries, Inc.
     7,400  (b,d)     73,408  
ResMed, Inc.
     5,232  (b,d)     166,744  
Sirona Dental Systems, Inc.
     6,081  (b)     228,950  
STERIS Corp.
     6,849  (d)     234,373  
 
              
Total
             2,816,703  
 
              
 
                
Health Care Providers & Services (4.4%)
                
America Service Group, Inc.
     2,000  (d)     30,600  
AMERIGROUP Corp.
     18,284  (b,d)     762,991  
Assisted Living Concepts, Inc., Class A
     8,600  (b,d)     277,350  
Bio-Reference Labs, Inc.
     20,000  (b,d)     431,200  
CIGNA Corp.
     4,563       160,572  
Corvel Corp.
     6,000  (b)     268,800  
Health Net, Inc.
     15,514  (b)     417,171  
Humana, Inc.
     26,566  (b)     1,548,533  
Landauer, Inc.
     2,900  (d)     177,161  
Lincare Holdings, Inc.
     13,450  (d)     352,659  
Magellan Health Services, Inc.
     22,468  (b,d)     1,078,464  
The Providence Service Corp.
     23,400  (b)     384,462  
Triple-S Management Corp., Series B
     3,460  (b,c,d)     58,370  
Universal American Corp.
     33,692  (d)     541,767  
 
              
Total
             6,490,100  
 
              
 
                
Health Care Technology (0.4%)
                
Computer Programs & Systems, Inc.
     7,400       337,958  
Medidata Solutions, Inc.
     11,400  (b,d)     212,382  
 
              
Total
             550,340  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Hotels, Restaurants & Leisure (1.4%)
                
Brinker International, Inc.
     5,124       94,999  
Domino’s Pizza, Inc.
     101,300  (b,d)     1,503,292  
Wyndham Worldwide Corp.
     15,669       450,484  
 
              
Total
             2,048,775  
 
              
 
                
Household Durables (0.5%)
                
American Greetings Corp., Class A
     3,383  (d)     65,529  
Garmin Ltd.
     16,586  (c,d)     544,684  
National Presto Industries, Inc.
     1,045  (d)     116,967  
 
              
Total
             727,180  
 
              
 
                
Household Products (0.2%)
                
Central Garden and Pet Co., Class A
     23,200  (b,d)     242,440  
 
                
Independent Power Producers & Energy Traders (0.8%)
                
Constellation Energy Group, Inc.
     25,016       756,484  
NRG Energy, Inc.
     22,078  (b)     439,573  
 
              
Total
             1,196,057  
 
              
 
                
Industrial Conglomerates (0.5%)
                
Raven Industries, Inc.
     9,000  (d)     370,080  
Seaboard Corp.
     222       411,599  
 
              
Total
             781,679  
 
              
 
                
Insurance (5.1%)
                
Allied World Assurance Co. Holdings Ltd.
     7,393  (c,d)     422,954  
American Equity Investment Life Holding Co.
     43,800  (d)     475,230  
American Financial Group, Inc.
     15,861       485,029  
Arch Capital Group Ltd.
     1,793  (b,c)     154,897  
Aspen Insurance Holdings Ltd.
     8,687  (c)     246,450  
CNA Surety Corp.
     8,227  (b,d)     158,370  
Endurance Specialty Holdings Ltd.
     2,708  (c)     112,111  
FBL Financial Group, Inc., Class A
     16,300  (d)     426,408  
First Mercury Financial Corp.
     7,800       127,140  
Horace Mann Educators Corp.
     27,760       518,834  
Meadowbrook Insurance Group, Inc.
     33,000  (d)     284,790  
Montpelier Re Holdings Ltd.
     15,112  (c,d)     276,852  
National Financial Partners Corp.
     22,382  (b)     308,872  
ProAssurance Corp.
     13,219  (b,d)     759,960  
Protective Life Corp.
     56,847       1,362,623  
Reinsurance Group of America, Inc.
     13,200       660,924  
RenaissanceRe Holdings Ltd.
     6,430  (c)     387,472  
Validus Holdings Ltd.
     7,180  (c,d)     203,625  
 
              
Total
             7,372,541  
 
              
 
                
Internet & Catalog Retail (—%)
                
Overstock.com, Inc.
     2,400  (b,d)     32,184  
 
                
Internet Software & Services (1.0%)
                
Earthlink, Inc.
     65,986  (d)     593,214  
Internet Capital Group, Inc.
     14,700  (b,d)     183,603  
NIC, Inc.
     19,200       166,656  
Travelzoo, Inc.
     13,100  (b,d)     449,985  
 
              
Total
             1,393,458  
 
              

 

 

                 
Issuer   Shares     Value(a)  
IT Services (4.8%)
                
Acxiom Corp.
     62,753  (b,d)     1,101,315  
Cognizant Technology Solutions Corp., Class A
     7,055  (b)     459,915  
Convergys Corp.
     27,350  (b,d)     309,602  
CSG Systems International, Inc.
     48,059  (b)     934,267  
DST Systems, Inc.
     39,200       1,696,184  
SAIC, Inc.
     50,307  (b)     781,771  
TeleTech Holdings, Inc.
     45,100  (b,d)     684,618  
Total System Services, Inc.
     60,100       938,161  
 
              
Total
             6,905,833  
 
              
 
                
Leisure Equipment & Products (0.8%)
                
Jakks Pacific, Inc.
     19,935  (b,d)     375,775  
Polaris Industries, Inc.
     4,548  (d)     323,317  
Sturm Ruger & Co., Inc.
     34,300       537,138  
 
              
Total
             1,236,230  
 
              
 
                
Machinery (3.5%)
                
AGCO Corp.
     11,567  (b)     491,250  
Alamo Group, Inc.
     11,900  (d)     285,600  
Blount International, Inc.
     18,800  (b)     282,000  
Briggs & Stratton Corp.
     5,100       89,760  
Bucyrus International, Inc.
     8,488       578,542  
LB Foster Co., Class A
     5,957  (b,d)     196,700  
Mueller Industries, Inc.
     3,574       105,076  
Navistar International Corp.
     4,870  (b)     234,637  
Nordson Corp.
     11,671       910,570  
Oshkosh Corp.
     14,100  (b)     416,091  
Tennant Co.
     11,500       385,825  
The Manitowoc Co., Inc.
     16,561  (d)     184,490  
The Toro Co.
     2,000       113,520  
Timken Co.
     11,030       456,863  
WABCO Holdings, Inc.
     6,938  (b)     322,062  
 
              
Total
             5,052,986  
 
              
 
                
Media (1.1%)
                
DISH Network Corp., Class A
     31,258       620,784  
Gannett Co., Inc.
     19,777       234,357  
The Interpublic Group of Companies, Inc.
     31,285  (b)     323,800  
Valassis Communications, Inc.
     12,400  (b,d)     409,200  
 
              
Total
             1,588,141  
 
              
 
                
Metals & Mining (0.8%)
                
Carpenter Technology Corp.
     6,638       236,711  
Golden Star Resources Ltd.
     48,200  (b)     252,086  
Kaiser Aluminum Corp.
     4,120       185,359  
Walter Energy, Inc.
     5,448  (d)     479,206  
 
              
Total
             1,153,362  
 
              
 
                
Multiline Retail (0.3%)
                
Big Lots, Inc.
     4,249  (b,d)     133,291  
Dillard’s, Inc., Class A
     12,797  (d)     326,452  
 
              
Total
             459,743  
 
              
 
                
Multi-Utilities (1.1%)
                
Alliant Energy Corp.
     18,000       657,540  
Integrys Energy Group, Inc.
     17,914  (d)     952,846  
 
              
Total
             1,610,386  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Oil, Gas & Consumable Fuels (4.2%)
                
Cimarex Energy Co.
     6,484       497,647  
Cloud Peak Energy, Inc.
     18,200  (b)     316,134  
Forest Oil Corp.
     8,272  (b)     254,199  
Green Plains Renewable Energy, Inc.
     2,200  (b,d)     24,464  
James River Coal Co.
     11,800  (b,d)     204,258  
Massey Energy Co.
     8,931       375,727  
Murphy Oil Corp.
     24,009  (f)     1,564,426  
Patriot Coal Corp.
     9,274  (b,d)     125,106  
QEP Resources, Inc.
     6,310       208,419  
SM Energy Co.
     9,404  (d)     391,959  
Swift Energy Co.
     2,829  (b,d)     90,104  
Vaalco Energy, Inc.
     64,000  (b)     376,320  
W&T Offshore, Inc.
     7,000       76,160  
Whiting Petroleum Corp.
     5,986  (b,d)     601,234  
World Fuel Services Corp.
     35,363  (d)     998,297  
 
              
Total
             6,104,454  
 
              
 
                
Paper & Forest Products (2.7%)
                
Clearwater Paper Corp.
     6,603  (b)     533,192  
Domtar Corp.
     24,274  (c)     1,926,386  
International Paper Co.
     20,758       524,762  
KapStone Paper and Packaging Corp.
     10,878  (b,d)     139,238  
Neenah Paper, Inc.
     21,000       322,350  
Schweitzer-Mauduit International, Inc.
     6,946       445,794  
 
              
Total
             3,891,722  
 
              
 
                
Personal Products (0.8%)
                
Herbalife Ltd.
     6,100  (c)     389,546  
Inter Parfums, Inc.
     12,400  (d)     216,876  
Nu Skin Enterprises, Inc., Class A
     12,353  (d)     378,002  
Nutraceutical International Corp.
     4,800  (b,d)     78,000  
Revlon, Inc., Class A
     9,600  (b,d)     109,632  
 
              
Total
             1,172,056  
 
              
 
                
Pharmaceuticals (3.5%)
                
Endo Pharmaceuticals Holdings, Inc.
     37,289  (b)     1,369,998  
Forest Laboratories, Inc.
     30,980  (b)     1,023,889  
Impax Laboratories, Inc.
     14,068  (b,d)     265,041  
Medicis Pharmaceutical Corp., Class A
     9,418  (d)     280,186  
Par Pharmaceutical Companies, Inc.
     4,081  (b,d)     132,673  
Perrigo Co.
     13,604  (d)     896,232  
Questcor Pharmaceuticals, Inc.
     26,215  (b,d)     321,658  
Valeant Pharmaceuticals International, Inc.
     20,679  (c)     570,947  
Viropharma, Inc.
     15,989  (b)     261,580  
 
              
Total
             5,122,204  
 
              
 
                
Professional Services (0.2%)
                
Administaff, Inc.
     12,253       321,151  
 
                
Real Estate Investment Trusts (REITs) (8.7%)
                
American Capital Agency Corp.
     45,599       1,309,603  
Annaly Capital Management, Inc.
     67,971       1,203,766  
Anworth Mortgage Asset Corp.
     31,416       220,226  
Apartment Investment & Management Co., Class A
     72,401       1,687,668  
Ashford Hospitality Trust, Inc.
     8,500  (b)     86,275  
Capstead Mortgage Corp.
     41,049  (d)     467,959  

 

 

                 
Issuer   Shares     Value(a)  
CBL & Associates Properties, Inc.
     78,652  (d)     1,233,263  
Cogdell Spencer, Inc.
     14,400  (d)     94,608  
Colonial Properties Trust
     11,300  (d)     202,609  
Extra Space Storage, Inc.
     9,960       161,352  
Glimcher Realty Trust
     66,900  (d)     502,419  
Hatteras Financial Corp.
     3,968  (d)     116,183  
Hospitality Properties Trust
     42,368       966,414  
LaSalle Hotel Properties
     45,700       1,082,633  
Lexington Realty Trust
     18,028  (d)     140,258  
Medical Properties Trust, Inc.
     26,053  (d)     291,533  
MFA Financial, Inc.
     42,426       335,590  
Nationwide Health Properties, Inc.
     3,400       138,822  
One Liberty Properties, Inc.
     5,100  (d)     81,396  
Saul Centers, Inc.
     12,900  (d)     550,572  
SL Green Realty Corp.
     3,708  (d)     243,690  
Sovran Self Storage, Inc.
     3,107  (d)     121,390  
Sun Communities, Inc.
     24,900  (d)     811,989  
The Macerich Co.
     6,488  (d)     289,430  
UDR, Inc.
     6,615  (d)     148,705  
 
              
Total
             12,488,353  
 
              
 
                
Real Estate Management & Development (0.5%)
                
CB Richard Ellis Group, Inc., Class A
     16,611  (b)     304,812  
Jones Lang LaSalle, Inc.
     6,294       491,309  
 
              
Total
             796,121  
 
              
 
                
Road & Rail (1.2%)
                
Amerco, Inc.
     2,400  (b,d)     197,568  
Ryder System, Inc.
     36,500       1,596,875  
 
              
Total
             1,794,443  
 
              
 
                
Semiconductors & Semiconductor Equipment (1.5%)
                
Conexant Systems, Inc.
     119,000  (b)     179,690  
GT Solar International, Inc.
     17,400  (b,d)     143,202  
Micrel, Inc.
     99,200  (d)     1,181,471  
Skyworks Solutions, Inc.
     24,891  (b,d)     570,253  
Volterra Semiconductor Corp.
     8,669  (b,d)     177,108  
 
              
Total
             2,251,724  
 
              
 
                
Software (1.7%)
                
Blackbaud, Inc.
     9,819  (d)     249,304  
Deltek, Inc.
     16,800  (b)     132,048  
Manhattan Associates, Inc.
     31,500  (b,d)     969,571  
MicroStrategy, Inc., Class A
     2,867  (b,d)     259,836  
Renaissance Learning, Inc.
     12,200       170,434  
TIBCO Software, Inc.
     35,261  (b,d)     677,716  
 
              
Total
             2,458,909  
 
              
 
                
Specialty Retail (4.7%)
                
American Eagle Outfitters, Inc.
     10,503       168,153  
AnnTaylor Stores Corp.
     13,601  (b,d)     316,903  
Cabela’s, Inc.
     6,196  (b)     114,874  
DSW, Inc., Class A
     17,370  (b,d)     577,900  
Foot Locker, Inc.
     8,223  (d)     130,992  
GameStop Corp., Class A
     17,700  (b,d)     347,982  
Genesco, Inc.
     3,399  (b)     111,351  
HOT Topic, Inc.
     29,515  (d)     169,121  
Jo-Ann Stores, Inc.
     16,158  (b,d)     698,834  

 

 

                 
Issuer   Shares     Value(a)  
PetSmart, Inc.
     10,279       384,743  
RadioShack Corp.
     4,729  (d)     95,195  
Rent-A-Center, Inc.
     30,499       766,745  
Stage Stores, Inc.
     11,163  (d)     148,803  
The Cato Corp., Class A
     10,990  (d)     290,686  
The Childrens Place Retail Stores, Inc.
     8,374  (b,d)     368,958  
The Finish Line, Inc., Class A
     99,489       1,522,181  
The Men’s Wearhouse, Inc.
     19,398  (d)     474,087  
Williams-Sonoma, Inc.
     3,391  (d)     109,767  
 
              
Total
             6,797,275  
 
              
 
                
Textiles, Apparel & Luxury Goods (1.8%)
                
Cherokee, Inc.
     7,900  (d)     145,992  
Deckers Outdoor Corp.
     14,994  (b,d)     871,151  
Fossil, Inc.
     9,786  (b)     577,276  
Quiksilver, Inc.
     29,498  (b,d)     123,007  
Skechers U.S.A., Inc., Class A
     7,880  (b,d)     153,187  
Steven Madden Ltd.
     4,072  (b,d)     172,246  
The Warnaco Group, Inc.
     8,083  (b)     429,288  
True Religion Apparel, Inc.
     5,302  (b,d)     108,426  
 
              
Total
             2,580,573  
 
              
 
                
Thrifts & Mortgage Finance (0.2%)
                
Astoria Financial Corp.
     19,311       239,843  
 
                
Tobacco (0.2%)
                
Universal Corp.
     8,686  (d)     359,948  
 
                
Trading Companies & Distributors (2.6%)
                
Applied Industrial Technologies, Inc.
     49,900       1,517,459  
H&E Equipment Services, Inc.
     20,609  (b,d)     200,319  
RSC Holdings, Inc.
     41,300  (b,d)     333,704  
TAL International Group, Inc.
     14,800  (d)     414,696  
United Rentals, Inc.
     72,900  (b,d)     1,369,791  
 
              
Total
             3,835,969  
 
              
 
                
Wireless Telecommunication Services (0.6%)
                
Telephone & Data Systems, Inc.
     5,481       190,903  
USA Mobility, Inc.
     43,452       731,297  
 
              
Total
             922,200  
 
              
Total Common Stocks
(Cost: $119,632,066)
           $ 144,062,080  
 
              
Mutual Fund (0.1%)
                 
    Shares     Value(a)  
Capital Markets
                
Kayne Anderson Energy Development Co.
     4,800  (d)   $ 80,064  
 
              
Total Mutual Fund
(Cost: $70,123)
           $ 80,064  
 
              
Money Market Fund (1.1%)
                 
    Shares     Value(a)  
Money Market Fund
                
Columbia Short-Term Cash Fund, 0.241%
     1,672,734  (e)   $ 1,672,734  
 
              
Total Money Market Fund
(Cost: $1,672,734)
           $ 1,672,734  
 
              

 

 

Investments of Cash Collateral Received for Securities on Loan (24.2%)
                         
            Amount        
    Effective     payable at        
Issuer   yield     maturity     Value(a)  
Asset-Backed Commercial Paper (0.7%)
                        
Antalis US Funding Corp.
                        
11-08-10
     0.310 %   $ 999,716     $ 999,716  
Certificates of Deposit (0.7%)
                        
Swedbank AB
                        
11-29-10
     0.290       999,734       999,734  
                         
    Effective     Principal        
Issuer   yield     amount     Value(a)  
Repurchase Agreements (22.8%)(g)
                        
Cantor Fitzgerald & Co.
dated 10-29-10, matures 11-01-10,
repurchase price
                        
$20,000,400
     0.240 %   $ 20,000,000     $ 20,000,000  
Mizuho Securities USA, Inc.
dated 10-29-10, matures 11-01-10,
repurchase price
                        
$5,000,104
     0.250       5,000,000       5,000,000  
Pershing LLC
dated 10-29-10, matures 11-01-10,
repurchase price
                        
$2,000,053
     0.320       2,000,000       2,000,000  
RBS Securities, Inc.
dated 10-29-10, matures 11-1-10,
repurchase price
                        
$1,000,031
     0.370       1,000,000       1,000,000  
Societe Generale
dated 10-29-10, matures 11-01-10,
repurchase price
                        
$5,394,114
     0.230       5,394,011       5,394,011  
 
                      
Total
                     33,394,011  
 
                      
Total Investments of Cash Collateral Received for Securities on Loan
                        
(Cost: $35,393,461)
                   $ 35,393,461  
 
                      
Total Investments in Securities
                        
(Cost: $156,768,384)(h)
                   $ 181,208,339  
 
                      
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.
Investments in Derivatives
Futures Contracts Outstanding at Oct. 31, 2010
                                         
    Number of                
    contracts   Notional   Expiration   Unrealized   Unrealized
Contract description   long (short)   market value   date   appreciation   depreciation
 
E-Mini S&P MidCap 400 Index
     10     $ 827,500     Dec. 2010   $ 4,405     $ —  
Russell 2000 Mini Index
     12       842,640     Dec. 2010     —       (4,829 )
 
Total
                           $ 4,405     $ (4,829 )
 
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, 2010.
 
(b)   Non-income producing.
 
(c)   Foreign security values are stated in U.S. dollars. At Oct. 31, 2010, the value of foreign securities, excluding short-term securities, represented 4.58% of net assets.
 
(d)   At Oct. 31, 2010, security was partially or fully on loan.

 

 

(e)   Affiliated Money Market Fund — The Fund may invest its daily cash balance in Columbia Short-Term Cash Fund, a money market fund established for the exclusive use of funds and other institutional clients of Columbia Management. The rate shown is the seven-day current annualized yield at Oct. 31, 2010.
 
(f)   At Oct. 31, 2010, investments in securities included securities valued at $619,020 that were partially pledged as collateral to cover initial margin deposits on open stock index futures contracts.
 
(g)   The table below represents securities received as collateral for repurchase agreements. This collateral, which is generally high quality short-term obligations, is deposited with the Fund’s custodian and, pursuant to the terms of the repurchase agreement, must have an aggregate market value greater than or equal to the repurchase price plus accrued interest at all times. The value of securities and/or cash held as collateral for repurchase agreements is monitored on a daily basis to ensure the existence of the proper level of collateral.
Cantor Fitzgerald & Co. (0.240%)
         
Security description   Value (a)  
 
Fannie Mae Grantor Trust
   $ 1,029  
Fannie Mae Interest Strip
     320,272  
Fannie Mae Pool
     2,491,573  
Fannie Mae Principal Strip
     58,017  
Fannie Mae REMICS
     2,999,727  
Fannie Mae Whole Loan
     49,400  
Federal National Mortgage Association
     120,961  
FHLMC Multifamily Structured Pass Through Certificates
     786  
FHLMC Structured Pass Through Securities
     23,141  
Freddie Mac Coupon Strips
     2,181  
Freddie Mac Non Gold Pool
     1,204,409  
Freddie Mac Reference REMIC
     16,778  
Freddie Mac REMICS
     1,307,982  
Freddie Mac Strips
     692,541  
Ginnie Mae I Pool
     2,697,024  
Ginnie Mae II Pool
     5,066,045  
Government National Mortgage Association
     1,758,911  
United States Treasury Inflation Indexed Bonds
     202,554  
United States Treasury Strip Coupon
     1,046,498  
United States Treasury Strip Principal
     340,171  
 
Total market value of collateral securities
   $ 20,400,000  
 
Mizuho Securities USA, Inc. (0.250%)
         
Security description   Value (a)  
 
Fannie Mae Pool
   $ 1,859,017  
Freddie Mac Gold Pool
     764,978  
Freddie Mac Non Gold Pool
     304,066  
Freddie Mac REMICS
     426,522  
Ginnie Mae I Pool
     1,048,719  
Government National Mortgage Association
     696,698  
 
Total market value of collateral securities
   $ 5,100,000  
 
Pershing LLC (0.320%)
         
Security description   Value (a)  
 
Fannie Mae Pool
   $ 304,761  
Fannie Mae REMICS
     141,340  
Fannie Mae Whole Loan
     2,351  
Federal Farm Credit Bank
     71,626  
Federal Home Loan Banks
     26,117  
Federal Home Loan Mortgage Corp
     3,543  
Federal National Mortgage Association
     41,283  
Freddie Mac Gold Pool
     277,398  
Freddie Mac REMICS
     170,330  
Ginnie Mae I Pool
     258,294  
Ginnie Mae II Pool
     231,771  
Government National Mortgage Association
     216,183  
United States Treasury Inflation Indexed Bonds
     3,901  
United States Treasury Note/Bond
     291,102  
 
Total market value of collateral securities
   $ 2,040,000  
 
RBS Securities, Inc. (0.370%)
         
Security description   Value (a)  
 
American Express Issuance Trust
   $ 100  
Ameriquest Mortgage Securities Inc
     53,278  
BA Credit Card Trust
     12,819  
Bear Stearns Asset Backed Securities Trust
     9,000  
Capital Auto Receivables Asset Trust
     241  
Capital One Multi-Asset Execution Trust
     18,263  
Chase Issuance Trust
     15,178  
Citibank Credit Card Issuance Trust
     102,814  
Citigroup Commercial Mortgage Trust
     5,153  
Credit-Based Asset Servicing and Securitization LLC
     11,523  
Discover Card Master Trust
     37,825  
First National Master Note Trust
     12,057  
Ford Credit Auto Owner Trust
     5,898  
GE Capital Credit Card Master Note Trust
     39,209  
Goal Capital Funding Trust
     2,397  
Greenwich Capital Commercial Funding Corp
     77,738  
GS Mortgage Securities Corp II
     59,504  
Hyundai Auto Receivables Trust
     60,299  
Keycorp Student Loan Trust
     143  
Massachusetts Educational Financing Authority
     11,897  
MBNA Master Credit Card Trust
     36,678  
Morgan Stanley Dean Witter Capital I
     2,980  
Nelnet Student Loan Trust
     126,367  
Nissan Auto Lease Trust
     20,380  
Renaissance Home Equity Loan Trust
     9  
SLM Student Loan Trust
     260,811  
Terwin Mortgage Trust
     32,233  
Wachovia Bank Commercial Mortgage Trust
     35,225  
 
Total market value of collateral securities
   $ 1,050,019  
 
Societe Generale (0.230%)
         
Security description   Value (a)  
 
Government National Mortgage Association
   $ 5,501,891  
 
Total market value of collateral securities
   $ 5,501,891  
 
 
(h)   At Oct. 31, 2010, the cost of securities for federal income tax purposes was approximately $156,768,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was:
         
Unrealized appreciation
   $ 26,764,000  
Unrealized depreciation
     (2,324,000 )
 
Net unrealized appreciation
   $ 24,440,000  
 
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 (to include NAV for open-end mutual funds). 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, 2010.
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 valuations may include, but are not limited to, financial statement analysis, capital account balances, 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, 2010:
                                 
    Fair value at Oct. 31, 2010
    Level 1   Level 2        
    quoted prices   other   Level 3    
    in active   significant   significant    
    markets for   observable   unobservable    
Description(a)   identical assets(b)   inputs   inputs   Total
 
Equity Securities
                                
Common Stocks
   $ 144,062,080     $ —     $ —     $ 144,062,080  
 
Total Equity Securities
     144,062,080       —       —       144,062,080  
 
 
                                
Other
                                
Mutual Fund
     80,064       —       —       80,064  
Affiliated Money Market Fund(c)
     1,672,734       —       —       1,672,734  
Investments of Cash Collateral Received for Securities on Loan
     —       35,393,461       —       35,393,461  
 
Total Other
     1,752,798       35,393,461       —       37,146,259  
 
 
                                
Investments in Securities
     145,814,878       35,393,461       —       181,208,339  
Derivatives(d)
                                
Assets
                                
Futures Contracts
     4,405       —       —       4,405  
Liabilities
                                
Futures Contracts
     (4,829 )     —       —       (4,829 )
 
 
                                
Total
   $ 145,814,454     $ 35,393,461     $ —     $ 181,207,915  
 
 
(a)   See the Portfolio of Investments for all investment classifications not indicated in the table.
 
(b)   There were no significant transfers between Levels 1 and 2 during the period.
 
(c)   Money market fund that is a sweep investment for cash balances in the Fund at Oct. 31, 2010.
 
(d)   Derivative instruments are valued at unrealized appreciation (depreciation).

 

 

Portfolio of Investments
RiverSource Disciplined Small Cap Value Fund
Oct. 31, 2010 (Unaudited)
(Percentages represent value of investments compared to net assets)

Investments in Securities
Common Stocks (99.3%)
                 
Issuer   Shares     Value(a)  
Aerospace & Defense (1.3%)
                
Ceradyne, Inc.
     8,211  (b)   $ 195,504  
Esterline Technologies Corp.
     2,773  (b)     167,600  
Ladish Co., Inc.
     4,650  (b)     148,754  
 
              
Total
             511,858  
 
              
 
                
Air Freight & Logistics (1.2%)
                
Atlas Air Worldwide Holdings, Inc.
     7,958  (b,d)     415,885  
Pacer International, Inc.
     9,986  (b,d)     55,622  
 
              
Total
             471,507  
 
              
 
                
Airlines (1.4%)
                
Alaska Air Group, Inc.
     9,470  (b)     500,016  
U.S. Airways Group, Inc.
     4,700  (b)     55,413  
 
              
Total
             555,429  
 
              
 
                
Auto Components (0.7%)
                
Fuel Systems Solutions, Inc.
     3,000  (b,d)     122,940  
Tenneco, Inc.
     4,562  (b,d)     148,812  
 
              
Total
             271,752  
 
              
 
                
Building Products (0.5%)
                
AO Smith Corp.
     1,265       70,878  
Insteel Industries, Inc.
     7,523  (d)     64,623  
Quanex Building Products Corp.
     4,351       78,405  
 
              
Total
             213,906  
 
              
 
                
Capital Markets (3.2%)
                
American Capital Ltd.
     3,200  (b,d)     22,336  
Apollo Investment Corp.
     13,123       144,222  
Capital Southwest Corp.
     600  (d)     57,978  
Hercules Technology Growth Capital, Inc.
     9,943  (d)     101,220  
Knight Capital Group, Inc., Class A
     9,267  (b)     120,749  
LaBranche & Co., Inc.
     6,800  (b,d)     22,100  
MCG Capital Corp.
     22,500  (d)     142,425  
MVC Capital, Inc.
     7,424  (d)     99,110  
Sanders Morris Harris Group, Inc.
     9,300       53,940  
TICC Capital Corp.
     46,700  (d)     482,878  
 
              
Total
             1,246,958  
 
              
 
                
Chemicals (3.8%)
                
Ferro Corp.
     8,406  (b)     115,330  
Hawkins, Inc.
     2,100       75,390  
HB Fuller Co.
     2,704       55,811  
Innophos Holdings, Inc.
     12,445       456,981  
Innospec, Inc.
     9,414  (b,c)     159,379  
Minerals Technologies, Inc.
     4,436       260,260  
OM Group, Inc.
     5,212  (b,d)     173,403  
PolyOne Corp.
     15,297  (b)     197,637  
 
              
Total
             1,494,191  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Commercial Banks (8.3%)
                
1st Source Corp.
     2,900  (d)     51,243  
Bancfirst Corp.
     723  (d)     29,715  
Boston Private Financial Holdings, Inc.
     4,100  (d)     23,411  
Camden National Corp.
     2,198  (d)     75,260  
Century Bancorp, Inc., Class A
     2,702  (d)     64,186  
Enterprise Financial Services Corp.
     8,200       80,934  
First Bancorp
     19,211  (d)     257,235  
First Commonwealth Financial Corp.
     13,800  (d)     80,316  
First Financial Bancorp
     9,548  (d)     160,788  
First Financial Corp.
     2,400  (d)     70,152  
First Merchants Corp.
     10,200  (d)     84,864  
German American Bancorp, Inc.
     3,296  (d)     55,702  
Great Southern Bancorp, Inc.
     5,559  (d)     125,022  
Heartland Financial USA, Inc.
     3,500       54,075  
International Bancshares Corp.
     17,098  (d)     292,889  
Lakeland Bancorp, Inc.
     6,300  (d)     58,401  
MainSource Financial Group, Inc.
     29,328  (d)     242,543  
National Bankshares, Inc.
     4,466       116,786  
NBT Bancorp, Inc.
     2,265  (d)     49,943  
Northrim BanCorp, Inc.
     10,136       172,819  
OmniAmerican Bancorp, Inc.
     4,500  (b,d)     52,695  
Oriental Financial Group, Inc.
     3,900  (c,d)     51,597  
Peoples Bancorp, Inc.
     6,000  (d)     79,080  
Republic Bancorp, Inc., Class A
     15,219  (d)     311,076  
The First of Long Island Corp.
     2,118  (d)     52,696  
Trustmark Corp.
     8,569  (d)     189,289  
Virginia Commerce Bancorp, Inc.
     18,200  (b,d)     96,642  
West Bancorporation, Inc.
     10,387  (b,d)     68,243  
Wilshire Bancorp, Inc.
     9,066  (d)     60,833  
Wintrust Financial Corp.
     6,193       185,418  
 
              
Total
             3,293,853  
 
              
 
                
Commercial Services & Supplies (1.1%)
                
Consolidated Graphics, Inc.
     2,314  (b)     107,717  
Courier Corp.
     6,600       97,680  
Deluxe Corp.
     7,800  (d)     159,432  
Unifirst Corp.
     1,672  (d)     76,962  
 
              
Total
             441,791  
 
              
 
                
Communications Equipment (0.8%)
                
Plantronics, Inc.
     8,349       299,562  
 
                
Computers & Peripherals (0.3%)
                
Cray
     20,300  (b)     121,394  
 
                
Construction & Engineering (1.8%)
                
EMCOR Group, Inc.
     17,489  (b)     452,090  
Great Lakes Dredge & Dock Corp.
     11,400       70,566  
Layne Christensen Co.
     6,374  (b)     178,090  
 
              
Total
             700,746  
 
              
 
                
Consumer Finance (1.0%)
                
Nelnet, Inc., Class A
     13,400       301,098  
World Acceptance Corp.
     1,809  (b,d)     78,058  
 
              
Total
             379,156  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Diversified Consumer Services (0.2%)
                
Regis Corp.
     3,913  (d)     80,021  
 
                
Diversified Financial Services (0.3%)
                
Compass Diversified Holdings
     3,558  (d)     60,593  
PHH Corp.
     2,389  (b)     46,036  
 
              
Total
             106,629  
 
              
 
                
Diversified Telecommunication Services (0.6%)
                
Consolidated Communications Holdings, Inc.
     3,946  (d)     73,080  
IDT Corp., Class B
     11,000  (b,d)     161,480  
 
              
Total
             234,560  
 
              
 
                
Electric Utilities (2.3%)
                
Central Vermont Public Service Corp.
     1,800  (d)     36,396  
Cleco Corp.
     2,324       72,671  
IDACORP, Inc.
     12,800       471,040  
Unisource Energy Corp.
     9,900  (d)     347,193  
 
              
Total
             927,300  
 
              
 
                
Electrical Equipment (0.7%)
                
AZZ, Inc.
     1,300  (d)     48,282  
EnerSys
     784  (b)     20,666  
Woodward Governor Co.
     7,069       221,543  
 
              
Total
             290,491  
 
              
 
                
Electronic Equipment, Instruments & Components (4.5%)
                
Agilysys, Inc.
     18,100  (b,d)     108,600  
Anixter International, Inc.
     5,850  (d)     314,086  
Coherent, Inc.
     3,875  (b,d)     162,595  
CTS Corp.
     10,294  (d)     104,484  
Daktronics, Inc.
     4,500  (d)     49,140  
Electro Rent Corp.
     7,400       109,964  
Gerber Scientific, Inc.
     7,200  (b)     48,168  
Insight Enterprises, Inc.
     6,548  (b,d)     99,006  
Littelfuse, Inc.
     6,571  (b,d)     278,807  
Measurement Specialties, Inc.
     11,800  (b,d)     263,612  
Methode Electronics, Inc.
     7,792  (d)     72,388  
Richardson Electronics Ltd.
     3,700       40,034  
Rogers Corp.
     3,391  (b)     120,720  
 
              
Total
             1,771,604  
 
              
 
                
Energy Equipment & Services (1.4%)
                
Dawson Geophysical Co.
     7,179  (b,d)     178,326  
Natural Gas Services Group, Inc.
     4,605  (b,d)     72,529  
PHI, Inc.
     10,100  (b)     176,447  
T-3 Energy Services, Inc.
     2,135  (b)     71,458  
Tetra Technologies, Inc.
     6,314  (b)     61,625  
 
              
Total
             560,385  
 
              
 
                
Food & Staples Retailing (1.8%)
                
Nash Finch Co.
     3,471  (d)     145,435  
Ruddick Corp.
     11,031  (d)     384,982  
Spartan Stores, Inc.
     477       7,131  
The Andersons, Inc.
     1,514  (d)     59,606  
Weis Markets, Inc.
     3,249  (d)     126,581  
 
              
Total
             723,735  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Gas Utilities (2.8%)
                
Chesapeake Utilities Corp.
     4,900       179,781  
Nicor, Inc.
     4,040  (d)     192,425  
Southwest Gas Corp.
     13,400       465,784  
The Laclede Group, Inc.
     2,397       84,159  
WGL Holdings, Inc.
     5,000  (d)     192,750  
 
              
Total
             1,114,899  
 
              
 
                
Health Care Equipment & Supplies (0.7%)
                
Cantel Medical Corp.
     9,400  (d)     174,088  
Medical Action Industries, Inc.
     8,800  (b)     87,296  
 
              
Total
             261,384  
 
              
 
                
Health Care Providers & Services (4.6%)
                
AMERIGROUP Corp.
     1,900  (b)     79,287  
Assisted Living Concepts, Inc., Class A
     6,700  (b,d)     216,075  
Healthspring, Inc.
     5,270  (b,d)     153,831  
Kindred Healthcare, Inc.
     4,349  (b)     59,668  
Magellan Health Services, Inc.
     12,989  (b)     623,472  
Molina Healthcare, Inc.
     5,353  (b,d)     138,750  
Triple-S Management Corp., Series B
     9,722  (b,c,d)     164,010  
Universal American Corp.
     24,458  (d)     393,285  
 
              
Total
             1,828,378  
 
              
 
                
Hotels, Restaurants & Leisure (1.0%)
                
Domino’s Pizza, Inc.
     7,400  (b,d)     109,816  
Red Robin Gourmet Burgers, Inc.
     3,848  (b,d)     78,114  
Ruby Tuesday, Inc.
     18,500  (b,d)     223,850  
 
              
Total
             411,780  
 
              
 
                
Household Durables (0.5%)
                
American Greetings Corp., Class A
     5,190  (d)     100,530  
Libbey, Inc.
     8,500  (b,d)     112,965  
 
              
Total
             213,495  
 
              
 
                
Household Products (0.2%)
                
Oil-Dri Corp of America
     3,000  (d)     65,970  
Spectrum Brands Holdings, Inc.
     700  (b)     19,845  
 
              
Total
             85,815  
 
              
 
                
Industrial Conglomerates (1.2%)
                
Seaboard Corp.
     195  (d)     361,539  
Standex International Corp.
     3,661  (d)     98,591  
 
              
Total
             460,130  
 
              
 
                
Insurance (6.9%)
                
American Equity Investment Life Holding Co.
     4,700  (d)     50,995  
CNA Surety Corp.
     6,751  (b,d)     129,957  
FBL Financial Group, Inc., Class A
     5,700  (d)     149,112  
First Mercury Financial Corp.
     4,500       73,350  
Horace Mann Educators Corp.
     21,998  (d)     411,143  
Meadowbrook Insurance Group, Inc.
     38,641  (d)     333,472  
Montpelier Re Holdings Ltd.
     16,466  (c,d)     301,657  
National Financial Partners Corp.
     18,883  (b)     260,585  
Platinum Underwriters Holdings Ltd.
     6,344  (c)     273,109  
ProAssurance Corp.
     10,973  (b)     630,838  
Tower Group, Inc.
     5,000  (d)     121,400  
 
              
Total
             2,735,618  
 
              

 

 

                 
Issuer   Shares     Value(a)  
IT Services (1.8%)
                
Acxiom Corp.
     3,912  (b,d)     68,656  
CSG Systems International, Inc.
     4,004  (b)     77,838  
Diamond Management & Technology Consultants, Inc.
     6,805       84,858  
Global Cash Access Holdings, Inc.
     30,100  (b)     109,564  
TeleTech Holdings, Inc.
     23,400  (b)     355,212  
 
              
Total
             696,128  
 
              
 
                
Leisure Equipment & Products (0.9%)
                
Arctic Cat, Inc.
     4,300  (b,d)     57,233  
Jakks Pacific, Inc.
     15,847  (b,d)     298,716  
 
              
Total
             355,949  
 
              
 
                
Machinery (1.6%)
                
Altra Holdings, Inc.
     7,397  (b,d)     109,476  
Briggs & Stratton Corp.
     9,900       174,239  
LB Foster Co., Class A
     3,937  (b,d)     130,000  
Mueller Industries, Inc.
     3,687       108,398  
Robbins & Myers, Inc.
     3,168  (d)     91,967  
 
              
Total
             614,080  
 
              
 
                
Marine (0.4%)
                
American Commercial Lines, Inc.
     2,048  (b,d)     67,891  
Genco Shipping & Trading Ltd.
     397  (b)     6,570  
International Shipholding Corp.
     3,567  (d)     99,770  
 
              
Total
             174,231  
 
              
 
                
Media (1.0%)
                
EW Scripps Co., Class A
     28,140  (b,d)     245,944  
Valassis Communications, Inc.
     4,900  (b,d)     161,700  
 
              
Total
             407,644  
 
              
 
                
Metals & Mining (0.6%)
                
AM Castle & Co.
     2,329  (b,d)     35,867  
Brush Engineered Materials, Inc.
     2,775  (b,d)     91,991  
Olympic Steel, Inc.
     4,373  (d)     98,043  
 
              
Total
             225,901  
 
              
 
                
Multiline Retail (0.7%)
                
Dillard’s, Inc., Class A
     10,567  (d)     269,564  
 
                
Multi-Utilities (1.0%)
                
Avista Corp.
     18,900       412,776  
 
                
Oil, Gas & Consumable Fuels (5.2%)
                
Clayton Williams Energy, Inc.
     1,215  (b)     72,560  
Cloud Peak Energy, Inc.
     20,894  (b)     362,929  
CVR Energy, Inc.
     9,600  (b,d)     91,392  
Golar LNG Energy Ltd.
     449  (b,c)     806  
Green Plains Renewable Energy, Inc.
     7,000  (b,d)     77,840  
International Coal Group, Inc.
     6,000  (b,d)     33,720  
James River Coal Co.
     5,200  (b,d)     90,012  
Knightsbridge Tankers Ltd.
     6,225  (c)     135,269  
Patriot Coal Corp.
     11,004  (b,d)     148,444  
Penn Virginia Corp.
     5,458  (d)     80,888  
Petroleum Development Corp.
     9,896  (b,d)     308,854  
REX American Resources Corp.
     3,100  (b,d)     51,429  
Swift Energy Co.
     1,983  (b)     63,159  
VAALCO Energy, Inc.
     14,600  (b)     85,848  
Western Refining, Inc.
     4,000  (b)     26,600  
World Fuel Services Corp.
     15,700  (d)     443,210  
 
              
Total
             2,072,960  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Paper & Forest Products (1.4%)
                
Clearwater Paper Corp.
     3,637  (b,d)     293,688  
KapStone Paper and Packaging Corp.
     13,844  (b,d)     177,203  
PH Glatfelter Co.
     5,946  (d)     73,968  
 
              
Total
             544,859  
 
              
 
                
Pharmaceuticals (1.0%)
                
Medicis Pharmaceutical Corp., Class A
     2,991  (d)     88,982  
Par Pharmaceutical Companies, Inc.
     9,380  (b,d)     304,944  
 
              
Total
             393,926  
 
              
 
                
Real Estate Investment Trusts (REITs) (16.4%)
                
American Capital Agency Corp.
     18,518       531,837  
Anworth Mortgage Asset Corp.
     24,526       171,927  
Ashford Hospitality Trust, Inc.
     20,900  (b)     212,135  
Associated Estates Realty Corp.
     5,084  (d)     70,617  
Capstead Mortgage Corp.
     8,934  (d)     101,848  
CBL & Associates Properties, Inc.
     27,200  (d)     426,496  
Chesapeake Lodging Trust
     3,700       66,526  
Colonial Properties Trust
     29,800  (d)     534,313  
Cypress Sharpridge Investments, Inc.
     9,230       120,267  
Extra Space Storage, Inc.
     10,397       168,431  
First Potomac Realty Trust
     4,285  (d)     70,617  
Glimcher Realty Trust
     28,800  (d)     216,288  
Hatteras Financial Corp.
     11,402  (d)     333,851  
Invesco Mortgage Capital, Inc.
     2,610  (d)     56,350  
LaSalle Hotel Properties
     23,600       559,083  
Lexington Realty Trust
     48,300  (d)     375,774  
MFA Financial, Inc.
     42,891  (d)     339,268  
Omega Healthcare Investors, Inc.
     8,798  (d)     202,354  
One Liberty Properties, Inc.
     14,100  (d)     225,036  
Pennsylvania Real Estate Investment Trust
     25,500  (d)     363,885  
PS Business Parks, Inc.
     1,300       77,038  
Resource Capital Corp.
     50,500  (d)     319,665  
Sovran Self Storage, Inc.
     1,588  (d)     62,043  
Sun Communities, Inc.
     14,517  (d)     473,399  
Tanger Factory Outlet Centers
     2,700  (d)     129,384  
U-Store-It Trust
     26,300       226,443  
 
              
Total
             6,434,875  
 
              
 
                
Road & Rail (0.7%)
                
Amerco, Inc.
     1,700  (b)     139,944  
Celadon Group, Inc.
     4,246  (b)     55,071  
Werner Enterprises, Inc.
     3,500  (d)     74,620  
 
              
Total
             269,635  
 
              
 
                
Semiconductors & Semiconductor Equipment (1.2%)
                
Alpha & Omega Semiconductor Ltd.
     3,800  (b,d)     42,598  
Cabot Microelectronics Corp.
     2,000  (b,d)     77,260  
Integrated Silicon Solution, Inc.
     4,900  (b)     36,799  
Micrel, Inc.
     27,400  (d)     326,334  
 
              
Total
             482,991  
 
              
 
                
Software (1.4%)
                
Fair Isaac Corp.
     16,300  (d)     391,852  
TIBCO Software, Inc.
     9,376  (b)     180,207  
 
              
Total
             572,059  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Specialty Retail (4.0%)
                
Build-A-Bear Workshop, Inc.
     5,976  (b,d)     42,011  
Cabela’s, Inc.
     1,602  (b)     29,701  
DSW, Inc., Class A
     4,621  (b,d)     153,741  
Genesco, Inc.
     1,159  (b,d)     37,969  
Jo-Ann Stores, Inc.
     5,712  (b,d)     247,044  
Rent-A-Center, Inc.
     26,473       665,531  
Shoe Carnival, Inc.
     3,413  (b)     78,158  
The Childrens Place Retail Stores, Inc.
     400  (b,d)     17,624  
The Finish Line, Inc., Class A
     8,334       127,510  
The Men’s Wearhouse, Inc.
     8,049       196,718  
 
              
Total
             1,596,007  
 
              
 
                
Textiles, Apparel & Luxury Goods (1.0%)
                
Perry Ellis International, Inc.
     2,400  (b,d)     53,952  
Quiksilver, Inc.
     37,517  (b)     156,445  
Skechers U.S.A., Inc., Class A
     3,104  (b,d)     60,342  
The Jones Group, Inc.
     7,671       110,923  
 
              
Total
             381,662  
 
              
 
                
Thrifts & Mortgage Finance (0.9%)
                
BankFinancial Corp.
     5,800  (d)     53,070  
Federal Agricultural Mortgage Corp., Class C
     9,300  (d)     109,461  
Flushing Financial Corp.
     5,500  (d)     72,325  
Northwest Bancshares, Inc.
     4,381       49,681  
Provident Financial Services, Inc.
     2,500  (d)     31,600  
Radian Group, Inc.
     5,400       40,986  
 
              
Total
             357,123  
 
              
 
                
Tobacco (0.8%)
                
Universal Corp.
     7,684  (d)     318,425  
 
                
Trading Companies & Distributors (1.9%)
                
Aircastle Ltd.
     15,600       143,676  
H&E Equipment Services, Inc.
     9,814  (b,d)     95,392  
TAL International Group, Inc.
     2,000       56,040  
Textainer Group Holdings Ltd.
     3,696  (c,d)     96,022  
United Rentals, Inc.
     19,525  (b,d)     366,875  
 
              
Total
             758,005  
 
              
 
                
Wireless Telecommunication Services (0.3%)
                
USA Mobility, Inc.
     7,100       119,493  
 
              
Total Common Stocks
(Cost: $34,147,598)
           $ 39,266,620  
 
              
Money Market Fund (2.7%)
                 
    Shares     Value(a)  
Columbia Short-Term Cash Fund, 0.241%
     1,081,420  (f)   $ 1,081,420  
 
              
Total Money Market Fund
(Cost: $1,081,420)
           $ 1,081,420  
 
              

 

 

Investments of Cash Collateral Received for Securities on Loan (24.9%)
                         
    Effective     Principal        
Issuer   yield     amount     Value(a)  
Repurchase Agreements(e)
                        
Mizuho Securities USA, Inc.
dated 10-29-10, matures 11-01-10,
repurchase price
                        
$5,000,104
     0.250 %   $ 5,000,000     $ 5,000,000  
Societe Generale
dated 10-29-10, matures 11-01-10,
repurchase price
                        
$4,863,389
     0.230       4,863,296       4,863,296  
 
                      
Total
                     9,863,296  
 
                      
Total Investments of Cash Collateral Received for Securities on Loan
                        
(Cost: $9,863,296)
                   $ 9,863,296  
 
                      
Total Investments in Securities
                        
(Cost: $45,092,314)(g)
                   $ 50,211,336  
 
                      
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.
Investments in Derivatives
At Oct. 31, 2010, $31,500 was held in a margin deposit account as collateral to cover initial margin requirements on open stock index futures contracts.
Futures Contracts Outstanding at Oct. 31, 2010
                                 
    Number of                   Unrealized
    contracts   Notional   Expiration   appreciation
Contract description   long (short)   market value   date   (depreciation)
 
Russell 2000 Mini Index
     4     $ 280,880     Dec. 2010   $ 5,230  
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, 2010.
 
(b)   Non-income producing.
 
(c)   Foreign security values are stated in U.S. dollars. At Oct. 31, 2010, the value of foreign securities, excluding short-term securities, represented 2.99% of net assets.
 
(d)   At Oct. 31, 2010, security was partially or fully on loan.
 
(e)   The table below represents securities received as collateral for repurchase agreements. This collateral, which is generally high quality short-term obligations, is deposited with the Fund’s custodian and, pursuant to the terms of the repurchase agreement, must have an aggregate market value greater than or equal to the repurchase price plus accrued interest at all times. The value of securities and/or cash held as collateral for repurchase agreements is monitored on a daily basis to ensure the existence of the proper level of collateral.
Mizuho Securities USA, Inc. (0.250%)
         
Security description   Value (a)  
 
Fannie Mae Pool
   $ 1,859,017  
Freddie Mac Gold Pool
     764,978  
Freddie Mac Non Gold Pool
     304,066  
Freddie Mac REMICS
     426,522  
Ginnie Mae I Pool
     1,048,719  
Government National Mortgage Association
     696,698  
 
Total market value of collateral securities
   $ 5,100,000  
 
Societe Generale (0.230%)
         
Security description   Value (a)  
 
Government National Mortgage Association
   $ 4,960,562  
 
Total market value of collateral securities
   $ 4,960,562  
 
 
(f)   Affiliated Money Market Fund — The Fund may invest its daily cash balance in Columbia Short-Term Cash Fund, a money market fund established for the exclusive use of funds and other institutional clients of Columbia Management. The rate shown is the seven-day current annualized yield at Oct. 31, 2010.
 
(g)   At Oct. 31, 2010, the cost of securities for federal income tax purposes was approximately $45,092,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was:
         
Unrealized appreciation
   $ 6,005,000  
Unrealized depreciation
     (886,000 )
 
Net unrealized appreciation
   $ 5,119,000  
 
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 (to include NAV for open-end mutual funds). 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, 2010.
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 valuations may include, but are not limited to, financial statement analysis, capital account balances, 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, 2010:
                                 
    Fair value at Oct. 31, 2010
    Level 1   Level 2        
    quoted prices   other   Level 3    
    in active   significant   significant    
    markets for   observable   unobservable    
Description(a)   identical assets(b)   inputs   inputs   Total
 
Equity Securities
                                
Common Stocks
   $ 39,266,620     $ —     $ —     $ 39,266,620  
 
Total Equity Securities
     39,266,620       —       —       39,266,620  
 
 
                                
Other
                                
Affiliated Money Market Fund(c)
     1,081,420       —       —       1,081,420  
Investments of Cash Collateral Received for Securities on Loan
     —       9,863,296       —       9,863,296  
 
Total Other
     1,081,420       9,863,296       —       10,944,716  
 
 
                                
Investments in Securities
     40,348,040       9,863,296       —       50,211,336  
Derivatives(d)
                                
Assets
     —       —       —       —  
Futures Contracts
     5,230       —       —       5,230  
 
Total
   $ 40,353,270     $ 9,863,296     $ —     $ 50,216,566  
 
 
(a)   See the Portfolio of Investments for all investment classifications not indicated in the table.
 
(b)   There were no significant transfers between Levels 1 and 2 during the period.
 
(c)   Money market fund that is a sweep investment for cash balances in the Fund at Oct. 31, 2010.
 
(d)   Derivative instruments are valued at unrealized appreciation (depreciation).

 

 

Item 2. Control and Procedures.
(a) The registrant’s principal executive officer and principal financial officer, based on their evaluation of the registrant’s disclosure controls and procedures as of a date within 90 days of the filing of this report, have concluded that such controls and procedures are adequately designed to ensure that material information required to be disclosed by the registrant in Form N-Q is accumulated and communicated to the registrant’s management, including the principal executive officer and principal financial officer, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure.
(b) There was no change 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.
Certifications pursuant to Rule 30a-2(a) under the Investment Company Act of 1940 (17 CFR 270.30a-2(a)) attached hereto as Exhibit 99.CERT.

 

 

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/ J. Kevin Connaughton
 
J. Kevin Connaughton 		   
 
  President and Principal Executive Officer    
Date December 20, 2010
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/ J. Kevin Connaughton
 
J. Kevin Connaughton 		   
 
  President and Principal Executive Officer    
 
        
Date December 20, 2010    
 
        
By
  /s/ Jeffrey P. Fox
 
Jeffrey P. Fox 		   
 
  Treasurer and Principal Financial Officer    
 
        
Date December 20, 2010    

 

EX-99.CERT 2 c61598exv99wcert.htm EX-99.CERT exv99wcert
Certification Pursuant to
270.30a-2 of the Investment Company Act of 1940
I, J. Kevin Connaughton, 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(s) 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(s) 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 principles;
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(s) 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: December 20, 2010    
 
        
 
  /s/ J. Kevin Connaughton
 
J. Kevin Connaughton 		   
 
  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(s) 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(s) 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 principles;
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(s) 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: December 20, 2010    
 
        
 
  /s/ Jeffrey P. Fox
 
Jeffrey P. Fox 		   
 
  Treasurer and Principal Financial Officer    

 

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