0000950123-11-061860.txt : 20110627 0000950123-11-061860.hdr.sgml : 20110627 20110627123933 ACCESSION NUMBER: 0000950123-11-061860 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110430 FILED AS OF DATE: 20110627 DATE AS OF CHANGE: 20110627 EFFECTIVENESS DATE: 20110627 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: 11932339 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 c64944nvq.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: April 30, 2011
 
 
Item 1. Schedule of Investments

 

 

Portfolio of Investments
RiverSource Disciplined Small and Mid Cap Equity Fund
April 30, 2011 (Unaudited)
(Percentages represent value of investments compared to net assets)
Investments in Securities
Common Stocks (99.2%)
                 
Issuer   Shares     Value(a)  
Aerospace & Defense (0.7%)
                
Astronics Corp.
     4,400   (b,d)   $ 114,400  
Cubic Corp.
     16,000       865,280  
 
              
Total
             979,680  
 
              
 
                
Air Freight & Logistics (0.1%)
                
Air Transport Services Group, Inc.
     10,600  (b)     86,708  
 
                
Airlines (0.7%)
                
Alaska Air Group, Inc.
     5,304  (b)     349,374  
Hawaiian Holdings, Inc.
     36,341  (b)     212,595  
United Continental Holdings, Inc.
     18,760  (b,d)     428,104  
 
              
Total
             990,073  
 
              
 
                
Auto Components (3.6%)
                
American Axle & Manufacturing Holdings, Inc.
     19,200  (b,d)     245,760  
Autoliv, Inc.
     17,631  (c,d)     1,412,772  
Cooper Tire & Rubber Co.
     16,254  (d)     438,533  
Dana Holding Corp.
     5,400  (b,d)     98,118  
Exide Technologies
     22,900  (b)     229,916  
Lear Corp.
     41,000       2,096,739  
Tenneco, Inc.
     2,457  (b)     113,538  
TRW Automotive Holdings Corp.
     12,359  (b)     705,205  
 
              
Total
             5,340,581  
 
              
 
                
Beverages (0.6%)
                
Boston Beer Co., Inc., Class A
     4,300  (b,d)     405,318  
Constellation Brands, Inc., Class A
     18,300  (b)     409,737  
 
              
Total
             815,055  
 
              
 
                
Biotechnology (0.5%)
                
Myriad Genetics, Inc.
     34,100  (b,d)     731,104  
 
                
Building Products (0.3%)
                
AAON, Inc.
     15,100  (d)     496,035  
 
                
Capital Markets (1.5%)
                
Arlington Asset Investment Corp., Class A
     8,300  (d)     253,150  
Internet Capital Group, Inc.
     19,600  (b,d)     272,244  
MCG Capital Corp.
     61,300  (d)     404,580  
TICC Capital Corp.
     113,200  (d)     1,283,688  
 
              
Total
             2,213,662  
 
              
 
                
Chemicals (3.1%)
                
Cabot Corp.
     1,838       82,434  
Eastman Chemical Co.
     10,128       1,086,228  
Hawkins, Inc.
     6,800       319,872  
Lubrizol Corp.
     3,245       436,517  

 

 

                 
Issuer   Shares     Value(a)  
Minerals Technologies, Inc.
     21,000       1,428,000  
NewMarket Corp.
     6,361  (d)     1,172,460  
Westlake Chemical Corp.
     1,600       105,040  
 
              
Total
             4,630,551  
 
              
 
                
Commercial Banks (1.7%)
                
Banco Latinoamericano de Comercio Exterior SA, Series E
     4,000  (c,d)     69,440  
Cathay General Bancorp
     4,100  (d)     69,905  
Huntington Bancshares, Inc.
     84,100       571,039  
International Bancshares Corp.
     75,598  (d)     1,332,037  
Nara Bancorp, Inc.
     7,600  (b,d)     74,708  
Republic Bancorp, Inc., Class A
     14,300  (d)     311,454  
Virginia Commerce Bancorp, Inc.
     12,100  (b,d)     72,721  
Wilshire Bancorp, Inc.
     13,600  (b,d)     54,400  
 
              
Total
             2,555,704  
 
              
 
                
Commercial Services & Supplies (1.4%)
                
Consolidated Graphics, Inc.
     20  (b)     1,123  
Deluxe Corp.
     56,200       1,521,897  
Kimball International, Inc., Class B
     24,290  (d)     181,689  
RR Donnelley & Sons Co.
     15,890       299,685  
 
              
Total
             2,004,394  
 
              
 
                
Communications Equipment (0.4%)
                
Plantronics, Inc.
     8,293  (d)     307,421  
Tellabs, Inc.
     47,291       232,672  
 
              
Total
             540,093  
 
              
 
                
Computers & Peripherals (0.8%)
                
Lexmark International, Inc., Class A
     22,384  (b)     721,884  
QLogic Corp.
     6,100  (b)     109,678  
Synaptics, Inc.
     12,000  (b,d)     341,040  
 
              
Total
             1,172,602  
 
              
 
                
Construction & Engineering (2.3%)
                
Chicago Bridge & Iron Co. NV
     5,600  (c)     227,024  
Great Lakes Dredge & Dock Corp.
     145,500       1,083,975  
KBR, Inc.
     52,245       2,004,641  
 
              
Total
             3,315,640  
 
              
 
                
Consumer Finance (1.7%)
                
Credit Acceptance Corp.
     1,800  (b)     145,620  
Discover Financial Services
     31,881       791,924  
Nelnet, Inc., Class A
     63,400  (d)     1,460,102  
World Acceptance Corp.
     2,000  (b)     135,900  
 
              
Total
             2,533,546  
 
              
 
                
Containers & Packaging (1.0%)
                
Ball Corp.
     41,000       1,529,710  
 
                
Diversified Consumer Services (1.4%)
                
Bridgepoint Education, Inc.
     27,800  (b,d)     487,890  
Lincoln Educational Services Corp.
     5,200  (d)     86,840  
Pre-Paid Legal Services, Inc.
     15,019  (b)     990,503  
Sotheby’s
     9,217       465,643  
 
              
Total
             2,030,876  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Electric Utilities (3.4%)
                
DPL, Inc.
     57,500       1,741,675  
Edison International
     33,227       1,304,824  
El Paso Electric Co.
     53,200  (b)     1,648,136  
Pinnacle West Capital Corp.
     3,400       147,526  
Portland General Electric Co.
     4,100  (d)     102,336  
 
              
Total
             4,944,497  
 
              
 
                
Electrical Equipment (0.3%)
                
AMETEK, Inc.
     8,850       407,454  
Brady Corp., Class A
     2,700  (d)     101,817  
 
              
Total
             509,271  
 
              
 
                
Electronic Equipment, Instruments & Components (2.8%)
                
Anixter International, Inc.
     13,027       978,849  
Brightpoint, Inc.
     34,800  (b,d)     352,176  
Electro Rent Corp.
     20,600  (d)     324,450  
Littelfuse, Inc.
     8,894  (d)     553,296  
Vishay Intertechnology, Inc.
     98,300  (b,d)     1,875,564  
 
              
Total
             4,084,335  
 
              
 
                
Energy Equipment & Services (1.7%)
                
Oceaneering International, Inc.
     21,800  (b)     1,905,756  
Parker Drilling Co.
     27,500  (b)     196,075  
PHI, Inc.
     3,900  (b)     87,282  
RPC, Inc.
     3,700  (d)     100,085  
SEACOR Holdings, Inc.
     1,858       183,626  
 
              
Total
             2,472,824  
 
              
 
                
Food & Staples Retailing (0.3%)
                
Ruddick Corp.
     9,169  (d)     380,697  
 
                
Food Products (0.5%)
                
Cal-Maine Foods, Inc.
     8,223  (d)     237,562  
Smithfield Foods, Inc.
     18,300  (b)     431,148  
 
              
Total
             668,710  
 
              
 
                
Gas Utilities (1.3%)
                
Chesapeake Utilities Corp.
     3,000  (d)     128,370  
Energen Corp.
     3,212       208,812  
UGI Corp.
     45,600       1,518,480  
 
              
Total
             1,855,662  
 
              
 
                
Health Care Equipment & Supplies (2.2%)
                
Cyberonics, Inc.
     20,500  (b,d)     729,185  
Hill-Rom Holdings, Inc.
     42,653       1,919,812  
IDEXX Laboratories, Inc.
     6,900  (b)     561,867  
 
              
Total
             3,210,864  
 
              
 
                
Health Care Providers & Services (5.0%)
                
AMERIGROUP Corp.
     25,284  (b,d)     1,726,897  
Assisted Living Concepts, Inc., Class A
     3,000  (b)     108,180  
CIGNA Corp.
     1,663       77,878  
Corvel Corp.
     16,200  (b,d)     839,160  
Health Management Associates, Inc., Class A
     32,400  (b)     365,472  
Humana, Inc.
     26,566  (b)     2,022,205  
LifePoint Hospitals, Inc.
     3,000  (b,d)     124,830  
Lincare Holdings, Inc.
     13,450  (d)     422,599  

 

 

                 
Issuer   Shares     Value(a)  
Magellan Health Services, Inc.
     20,968  (b,d)     1,090,755  
The Ensign Group, Inc.
     9,100  (d)     251,706  
The Providence Service Corp.
     23,400  (b,d)     344,916  
 
              
Total
             7,374,598  
 
              
 
                
Health Care Technology (0.5%)
                
Computer Programs & Systems, Inc.
     10,700       629,053  
MedQuist, Inc.
     8,100       82,863  
 
              
Total
             711,916  
 
              
 
                
Hotels, Restaurants & Leisure (0.1%)
                
Brinker International, Inc.
     5,124       123,437  
Multimedia Games Holding Co., Inc.
     12,500  (b)     73,375  
 
              
Total
             196,812  
 
              
 
                
Household Products (—%)
                
Central Garden and Pet Co., Class A
     4,300  (b,d)     43,086  
 
                
Industrial Conglomerates (0.7%)
                
Raven Industries, Inc.
     5,100  (d)     277,236  
Seaboard Corp.
     304  (d)     725,648  
 
              
Total
             1,002,884  
 
              
 
                
Insurance (5.4%)
                
American Equity Investment Life Holding Co.
     43,800  (d)     563,268  
Brown & Brown, Inc.
     63,800       1,649,230  
Delphi Financial Group, Inc., Class A
     21,400  (d)     683,730  
FBL Financial Group, Inc., Class A
     25,300  (d)     771,650  
Horace Mann Educators Corp.
     2,160       38,621  
Meadowbrook Insurance Group, Inc.
     33,000  (d)     337,920  
Protective Life Corp.
     56,847       1,529,753  
Reinsurance Group of America, Inc.
     29,600       1,873,680  
Symetra Financial Corp.
     46,900       650,972  
 
              
Total
             8,098,824  
 
              
 
                
Internet Software & Services (1.1%)
                
j2 Global Communications, Inc.
     2,500  (b,d)     73,650  
Travelzoo, Inc.
     10,400  (b,d)     851,760  
ValueClick, Inc.
     40,500  (b,d)     678,375  
 
              
Total
             1,603,785  
 
              
 
                
IT Services (3.9%)
                
Acxiom Corp.
     27,353  (b)     398,260  
CSG Systems International, Inc.
     48,059  (b)     1,020,773  
DST Systems, Inc.
     39,200       1,932,952  
Lender Processing Services, Inc.
     5,200       153,036  
NeuStar, Inc., Class A
     600  (b,d)     16,134  
Syntel, Inc.
     1,200  (d)     65,616  
TeleTech Holdings, Inc.
     57,500  (b,d)     1,142,525  
Total System Services, Inc.
     56,100       1,057,485  
 
              
Total
             5,786,781  
 
              
 
                
Leisure Equipment & Products (1.4%)
                
Arctic Cat, Inc.
     21,100  (b,d)     354,269  
Jakks Pacific, Inc.
     19,935  (b,d)     419,432  
Polaris Industries, Inc.
     4,548  (d)     479,496  
Sturm Ruger & Co., Inc.
     31,000       737,180  
 
              
Total
             1,990,377  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Life Sciences Tools & Services (0.4%)
                
Dionex Corp.
     1,000  (b)     118,350  
Mettler-Toledo International, Inc.
     2,700  (b)     505,980  
 
              
Total
             624,330  
 
              
 
                
Machinery (3.4%)
                
AGCO Corp.
     7,867  (b)     452,982  
Alamo Group, Inc.
     6,700  (d)     191,687  
CLARCOR, Inc.
     2,500  (d)     112,975  
Graco, Inc.
     5,100       255,153  
IDEX Corp.
     4,500       211,140  
LB Foster Co., Class A
     9,457  (d)     402,490  
The Toro Co.
     22,600       1,534,766  
Timken Co.
     32,830       1,851,283  
 
              
Total
             5,012,476  
 
              
 
                
Marine (0.1%)
                
Kirby Corp.
     3,000  (b,d)     170,340  
 
                
Media (0.6%)
                
DISH Network Corp., Class A
     31,258  (b)     782,700  
Sinclair Broadcast Group, Inc., Class A
     8,900       102,261  
 
              
Total
             884,961  
 
              
 
                
Metals & Mining (0.3%)
                
Walter Energy, Inc.
     2,948  (d)     407,473  
 
                
Multiline Retail (0.5%)
                
Dillard’s, Inc., Class A
     15,297  (d)     734,562  
 
                
Multi-Utilities (0.7%)
                
Alliant Energy Corp.
     18,000       711,720  
OGE Energy Corp.
     5,400       287,118  
 
              
Total
             998,838  
 
              
 
                
Office Electronics (0.1%)
                
Zebra Technologies Corp., Class A
     3,200  (b)     125,728  
 
                
Oil, Gas & Consumable Fuels (6.2%)
                
Alpha Natural Resources, Inc.
     11,500  (b,d)     668,955  
Arch Coal, Inc.
     24,800       850,640  
Cimarex Energy Co.
     4,784       529,063  
Cloud Peak Energy, Inc.
     18,200  (b)     378,924  
International Coal Group, Inc.
     63,900  (b,d)     704,817  
James River Coal Co.
     35,600  (b,d)     830,192  
Murphy Oil Corp.
     5,409  (e)     419,089  
Tesoro Corp.
     34,000  (b,d)     922,080  
Vaalco Energy, Inc.
     75,500  (b,d)     526,235  
W&T Offshore, Inc.
     57,700       1,546,936  
Western Refining, Inc.
     9,900  (b)     167,904  
Whiting Petroleum Corp.
     7,872  (b)     547,104  
World Fuel Services Corp.
     31,163       1,233,432  
 
              
Total
             9,325,371  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Paper & Forest Products (2.9%)
                
Buckeye Technologies, Inc.
     56,500       1,591,040  
Clearwater Paper Corp.
     6,603  (b,d)     518,203  
Domtar Corp.
     22,474  (c)     2,090,532  
 
              
Total
             4,199,775  
 
              
 
                
Personal Products (1.4%)
                
Herbalife Ltd.
     15,300  (c)     1,373,634  
Nu Skin Enterprises, Inc., Class A
     12,353  (d)     396,408  
Nutraceutical International Corp.
     4,800  (b,d)     76,128  
Revlon, Inc., Class A
     9,600  (b)     165,312  
 
              
Total
             2,011,482  
 
              
 
                
Pharmaceuticals (2.6%)
                
Endo Pharmaceuticals Holdings, Inc.
     46,089  (b)     1,804,844  
Forest Laboratories, Inc.
     30,980  (b)     1,027,297  
Par Pharmaceutical Companies, Inc.
     1,881  (b,d)     64,782  
Perrigo Co.
     4,904  (d)     443,125  
Questcor Pharmaceuticals, Inc.
     5,115  (b,d)     104,858  
Viropharma, Inc.
     15,989  (b,d)     308,428  
 
              
Total
             3,753,334  
 
              
 
                
Real Estate Investment Trusts (REITs) (8.3%)
                
American Capital Agency Corp.
     38,699       1,126,528  
Anworth Mortgage Asset Corp.
     116,116       833,713  
Apartment Investment & Management Co., Class A
     72,401       1,951,930  
Ashford Hospitality Trust, Inc.
     8,500       105,995  
Capstead Mortgage Corp.
     41,049  (d)     543,489  
CBL & Associates Properties, Inc.
     88,452  (d)     1,642,554  
Colonial Properties Trust
     11,300  (d)     239,108  
Duke Realty Corp.
     7,000       106,750  
Equity Lifestyle Properties, Inc.
     10,400       622,128  
Extra Space Storage, Inc.
     16,760  (d)     362,854  
Glimcher Realty Trust
     66,900  (d)     638,895  
Hatteras Financial Corp.
     3,968  (d)     112,731  
Hospitality Properties Trust
     42,368       1,023,187  
Lexington Realty Trust
     18,028  (d)     179,919  
MFA Financial, Inc.
     135,726       1,083,093  
PS Business Parks, Inc.
     3,000       180,780  
Rayonier, Inc.
     3,500       232,260  
Resource Capital Corp.
     9,100  (d)     58,968  
Sun Communities, Inc.
     24,900  (d)     958,152  
Urstadt Biddle Properties, Inc., Class A
     19,300  (d)     379,824  
 
              
Total
             12,382,858  
 
              
 
                
Real Estate Management & Development (0.5%)
                
CB Richard Ellis Group, Inc., Class A
     16,611  (b)     443,680  
Forest City Enterprises, Inc., Class A
     18,500  (b,d)     355,385  
 
              
Total
             799,065  
 
              
 
                
Road & Rail (2.2%)
                
Amerco, Inc.
     2,400  (b,d)     244,128  
Hertz Global Holdings, Inc.
     18,300  (b)     314,943  
JB Hunt Transport Services, Inc.
     10,900       519,712  
Ryder System, Inc.
     36,500       1,952,750  
Werner Enterprises, Inc.
     5,800  (d)     151,786  
 
              
Total
             3,183,319  
 
              

 

 

                   
Issuer   Shares       Value(a)  
Semiconductors & Semiconductor Equipment (4.9%)
                  
Atmel Corp.
     14,200   (b)     217,260  
Entegris, Inc.
     80,800   (b)     697,304  
Fairchild Semiconductor International, Inc.
     35,100   (b)     736,047  
GT Solar International, Inc.
     79,400   (b)     886,898  
Micrel, Inc.
     105,300   (d)     1,348,893  
Novellus Systems, Inc.
     45,600   (b)     1,463,760  
Photronics, Inc.
     30,900   (b,d)     269,757  
RF Micro Devices, Inc.
     4,400   (b)     29,304  
Teradyne, Inc.
     86,100   (b,d)     1,386,210  
TriQuint Semiconductor, Inc.
     8,600   (b)     118,422  
Veeco Instruments, Inc.
     2,200   (b,d)     112,486  
 
                
Total
               7,266,341  
 
                
 
                  
Software (1.9%)
                  
Cadence Design Systems, Inc.
     14,900   (b,d)     154,662  
Factset Research Systems, Inc.
     6,400   (d)     700,224  
Manhattan Associates, Inc.
     31,500   (b)     1,138,725  
MicroStrategy, Inc., Class A
     1,067   (b,d)     150,767  
Renaissance Learning, Inc.
     12,200   (d)     146,278  
TeleNav, Inc.
     34,300   (b,d)     465,794  
 
                
Total
               2,756,450  
 
                
 
                  
Specialty Retail (5.1%)
                  
Aeropostale, Inc.
     30,200   (b)     771,006  
American Eagle Outfitters, Inc.
     10,503         163,427  
ANN, Inc.
     13,601   (b)     424,487  
Casual Male Retail Group, Inc.
     13,000   (b,d)     54,860  
GameStop Corp., Class A
     70,200   (b,d)     1,802,736  
PetSmart, Inc.
     2,279         96,105  
Pier 1 Imports, Inc.
     16,900   (b)     205,842  
Rent-A-Center, Inc.
     49,299   (d)     1,501,155  
Sally Beauty Holdings, Inc.
     17,600   (b,d)     260,304  
The Cato Corp., Class A
     10,990   (d)     280,355  
The Men’s Wearhouse, Inc.
     998         27,834  
Weight Watchers International, Inc.
     23,500         1,827,125  
Williams-Sonoma, Inc.
     3,391         147,203  
 
                
Total
               7,562,439  
 
                
 
                  
Textiles, Apparel & Luxury Goods (1.4%)
                  
Deckers Outdoor Corp.
     12,194   (b,d)     1,034,783  
Fossil, Inc.
     5,186   (b)     496,715  
The Warnaco Group, Inc.
     8,083   (b)     520,222  
 
                
Total
               2,051,720  
 
                
 
                  
Tobacco (0.3%)
                  
Universal Corp.
     8,686   (d)     376,799  
 
                  
Trading Companies & Distributors (2.0%)
                  
Applied Industrial Technologies, Inc.
     31,100         1,096,586  
MSC Industrial Direct Co., Class A
     2,400         171,816  
United Rentals, Inc.
     58,200   (b,d)     1,712,244  
 
                
Total
               2,980,646  
 
                
 
                  
Wireless Telecommunication Services (1.0%)
                  
Telephone & Data Systems, Inc.
     7,581         254,418  
USA Mobility, Inc.
     77,652   (d)     1,199,724  
 
                
Total
               1,454,142  
 
                
Total Common Stocks
(Cost: $111,734,390)
             $ 145,964,386  
 
                

 

 

Mutual Fund (0.1%)
                   
    Shares       Value(a)  
Capital Markets
                  
Kayne Anderson Energy Development Co.
     4,800   (d)   $ 94,080  
 
                
Total Mutual Fund
(Cost: $70,123)
             $ 94,080  
 
                
 
Money Market Fund (0.8%)
 
    Shares       Value(a)  
Columbia Short-Term Cash Fund, 0.195%
     1,249,798   (f)   $ 1,249,798  
 
                
Total Money Market Fund
                  
(Cost: $1,249,798)
             $ 1,249,798  
 
                
Investments of Cash Collateral Received for Securities on Loan (22.3%)
                         
            Amount        
    Effective     payable at        
Issuer   yield     maturity     Value(a)  
Certificates of Deposit (2.0%)
                        
Erste Bank der Oesterreichischen Sparkassen AG
                        
05-05-11
     0.330 %   $ 1,000,000     $ 1,000,000  
N.V. Bank Nederlandse Gemeenten
                        
06-30-11
     0.360       1,000,000       1,000,000  
Skandinaviska Enskilda Banken
                        
05-06-11
     0.210       1,000,000       1,000,000  
 
                      
Total
                     3,000,000  
 
                      
 
    Effective     Principal        
Issuer   yield     amount     Value(a)  
Repurchase Agreements (20.3%)(g)
                        
Cantor Fitzgerald & Co.
dated 04-29-11, matures 05-02-11,
repurchase price $20,000,117
     0.070 %   $ 20,000,000     $ 20,000,000  
HSBC Securities, Inc.
dated 04-29-11, matures 05-02-11,
repurchase price $5,766,818
     0.030       5,766,804       5,766,804  
Nomura Securities
dated 04-29-11, matures 05-02-11,
repurchase price $4,000,020
     0.060       4,000,000       4,000,000  
 
                      
Total
                     29,766,804  
 
                      
Total Investments of Cash Collateral Received for Securities on Loan
                        
(Cost: $32,766,804)
                   $ 32,766,804  
 
                      
Total Investments in Securities
                        
(Cost: $145,821,115)(h)
                   $ 180,075,068  
 
                      
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 April 30, 2011
                                           
    Number of                
    Contracts   Notional   Expiration   Unrealized   Unrealized
Contract Description   Long (Short)   Market Value   Date   Appreciation   Depreciation
 
E-Mini S&P MidCap 400 Index
     6     $ 608,100     June 2011   $ 22,939     $—      
Russell 2000 Mini Index
     7       604,730     June 2011     23,473     —      
 
Total
                           $ 46,412     $—      
 

 

 

Notes to Portfolio of Investments
(a)   Securities are valued by using policies described in Note 2 to the financial statements in the most recent Semiannual Report dated Jan. 31, 2011.
 
(b)   Non-income producing.
 
(c)   Foreign security values are stated in U.S. dollars. At April 30, 2011, the value of foreign securities, excluding short-term securities, represented 3.52% of net assets.
 
(d)   At April 30, 2011, security was partially or fully on loan.
 
(e)   At April 30, 2011, investments in securities included securities valued at $271,180 that were partially pledged as collateral to cover initial margin deposits on open stock index futures contracts.
 
(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 April 30, 2011.
 
(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 Fizgerald & Co. (0.070%)
         
Security description   Value (a)  
 
Fannie Mae Interest Strip
   $ 1,174,446  
Fannie Mae Pool
     10,949,236  
Fannie Mae Principal Strip
     87,034  
Fannie Mae REMICS
     45,999  
Fannie Mae Whole Loan
     1,966  
Federal Farm Credit Bank
     166,175  
Federal Home Loan Bank Discount Notes
     667  
Federal Home Loan Banks
     358,815  
Federal Home Loan Mortgage Corp
     109,360  
Federal National Mortgage Association
     116,416  
Freddie Mac Non Gold Pool
     3,992,607  
Freddie Mac REMICS
     774,864  
Freddie Mac Strips
     96,771  
Ginnie Mae I Pool
     145,031  
Ginnie Mae II Pool
     874,052  
Government National Mortgage Association
     257,996  
United States Treasury Inflation Indexed Bonds
     74,316  
United States Treasury Strip Coupon
     1,105,448  
United States Treasury Strip Principal
     68,801  
 
Total Market Value of Collateral Securities
   $ 20,400,000  
 
HSBC Securities, Inc. (0.030%)
         
Security description   Value (a)  
 
Federal Home Loan Banks
   $ 673,689  
Federal Home Loan Mortgage Corp
     2,658,738  
Federal National Mortgage Association
     2,549,760  
 
Total Market Value of Collateral Securities
   $ 5,882,187  
 
Nomura Securities (0.060%)
         
Security description   Value (a)  
 
Ginnie Mae II Pool
   $ 4,080,000  
 
Total Market Value of Collateral Securities
   $ 4,080,000  
 
(h)   At April 30, 2011, the cost of securities for federal income tax purposes was approximately $145,821,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was:
         
Unrealized appreciation
   $ 35,225,000  
Unrealized depreciation
     (971,000 )
 
Net unrealized appreciation
   $ 34,254,000  
 
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 (including 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.
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 April 30, 2011:
                                 
    Fair value at April 30, 2011
    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
   $ 145,964,386     $ —     $ —     $ 145,964,386  
 
Total Equity Securities
     145,964,386       —       —       145,964,386  
 
 
                                
Other
                                
Mutual Fund
     94,080       —       —       94,080  
Affiliated Money Market Fund(c)
     1,249,798       —       —       1,249,798  
Investments of Cash Collateral Received for Securities on Loan
     —       32,766,804       —       32,766,804  
 
Total Other
     1,343,878       32,766,804       —       34,110,682  
 
 
                                
Investments in Securities
     147,308,264       32,766,804       —       180,075,068  
Derivatives(d)
                                
Assets
                                
Futures Contracts
     46,412       —       —       46,412  
 
 
Total
   $ 147,354,676     $ 32,766,804     $ —     $ 180,121,480  
 
(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 April 30, 2011.
 
(d)   Derivative instruments are valued at unrealized appreciation (depreciation).

 

 

Portfolio of Investments
RiverSource Disciplined Small Cap Value Fund
April 30, 2011 (Unaudited)
(Percentages represent value of investments compared to net assets)
Investments in Securities
Common Stocks (99.7%)
                 
Issuer   Shares     Value(a)  
Aerospace & Defense (1.2%)
                
Astronics Corp.
     3,700  (b,d)   $ 96,200  
Ceradyne, Inc.
     2,311  (b,d)     108,293  
Cubic Corp.
     8,400       454,272  
 
              
Total
             658,765  
 
              
 
                
Air Freight & Logistics (0.9%)
                
Air Transport Services Group, Inc.
     22,500  (b)     184,050  
Atlas Air Worldwide Holdings, Inc.
     4,258  (b)     293,419  
 
              
Total
             477,469  
 
              
 
                
Airlines (2.4%)
                
Alaska Air Group, Inc.
     9,470  (b)     623,789  
Hawaiian Holdings, Inc.
     74,600  (b)     436,410  
U.S. Airways Group, Inc.
     27,800  (b,d)     252,702  
 
              
Total
             1,312,901  
 
              
 
                
Auto Components (0.9%)
                
Dana Holding Corp.
     2,700  (b)     49,059  
Exide Technologies
     15,800  (b)     158,632  
Spartan Motors, Inc.
     4,100  (d)     27,716  
Standard Motor Products, Inc.
     6,800  (d)     96,900  
Superior Industries International, Inc.
     5,500       138,985  
 
              
Total
             471,292  
 
              
 
                
Capital Markets (3.6%)
                
American Capital Ltd.
     39,500  (b,d)     405,665  
Apollo Investment Corp.
     13,123  (d)     155,508  
Arlington Asset Investment Corp.
     5,600  (d)     170,800  
Capital Southwest Corp.
     600  (d)     57,744  
GAMCO Investors, Inc., Class A
     1,400  (d)     72,030  
Gladstone Investment Corp.
     21,100  (d)     163,314  
MCG Capital Corp.
     32,000  (d)     211,200  
Medallion Financial Corp.
     4,600       42,458  
NGP Capital Resources Co.
     12,400       117,056  
Sanders Morris Harris Group, Inc.
     1,700       14,671  
TICC Capital Corp.
     46,700  (d)     529,578  
 
              
Total
             1,940,024  
 
              
 
                
Chemicals (3.9%)
                
Ferro Corp.
     14,906  (b)     223,590  
Hawkins, Inc.
     8,800       413,952  
Innophos Holdings, Inc.
     11,645       539,629  
Minerals Technologies, Inc.
     6,736       458,048  
OM Group, Inc.
     5,212  (b)     188,883  
Westlake Chemical Corp.
     4,000       262,600  
 
              
Total
             2,086,702  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Commercial Banks (8.7%)
                
1st Source Corp.
     5,400  (d)     114,588  
Banco Latinoamericano de Comercio Exterior SA, Series E
     22,500  (c,d)     390,600  
Bank of Marin Bancorp
     1,500       56,460  
Camden National Corp.
     898  (d)     31,026  
Cathay General Bancorp
     4,900  (d)     83,545  
Century Bancorp, Inc., Class A
     2,702  (d)     74,521  
Community Trust Bancorp, Inc.
     2,500       70,750  
Enterprise Financial Services Corp.
     25,300       376,970  
Financial Institutions, Inc.
     4,700  (d)     79,900  
First Bancorp
     15,611  (d)     217,930  
First Financial Corp.
     2,400  (d)     77,184  
First Merchants Corp.
     10,200  (d)     94,554  
German American Bancorp, Inc.
     3,296  (d)     57,515  
Great Southern Bancorp, Inc.
     5,559  (d)     115,071  
Heartland Financial USA, Inc.
     3,500       55,020  
Independent Bank Corp.
     7,500  (d)     219,825  
International Bancshares Corp.
     24,298  (d)     428,131  
Lakeland Bancorp, Inc.
     6,615  (d)     70,714  
MainSource Financial Group, Inc.
     41,628  (d)     400,878  
Nara Bancorp, Inc.
     25,500  (b,d)     250,665  
National Bankshares, Inc.
     4,466  (d)     126,968  
OmniAmerican Bancorp, Inc.
     8,800  (b)     131,560  
Orrstown Financial Services, Inc.
     1,000       27,240  
Republic Bancorp, Inc., Class A
     22,419  (d)     488,285  
S&T Bancorp, Inc.
     6,400       130,624  
Southside Bancshares, Inc.
     4,935  (d)     107,336  
Virginia Commerce Bancorp, Inc.
     34,300  (b,d)     206,143  
West Bancorporation, Inc.
     10,387  (d)     80,915  
Wilshire Bancorp, Inc.
     22,266  (b,d)     89,064  
 
              
Total
             4,653,982  
 
              
 
                
Commercial Services & Supplies (2.1%)
                
Consolidated Graphics, Inc.
     2,314  (b,d)     129,931  
Courier Corp.
     2,700  (d)     36,990  
Deluxe Corp.
     15,300  (d)     414,324  
The Brink’s Co.
     12,100       399,421  
Unifirst Corp.
     3,072  (d)     159,007  
 
              
Total
             1,139,673  
 
              
 
                
Communications Equipment (0.8%)
                
Comtech Telecommunications Corp.
     15,800  (d)     447,140  
 
                
Construction & Engineering (1.5%)
                
Great Lakes Dredge & Dock Corp.
     54,200       403,790  
Layne Christensen Co.
     5,474  (b)     162,906  
MasTec, Inc.
     10,800  (b,d)     244,944  
 
              
Total
             811,640  
 
              
 
                
Consumer Finance (1.9%)
                
Ezcorp, Inc., Class A
     7,500  (b,d)     236,175  
Nelnet, Inc., Class A
     20,000  (d)     460,600  
World Acceptance Corp.
     5,009  (b,d)     340,362  
 
              
Total
             1,037,137  
 
              
 
                
Diversified Telecommunication Services (0.3%)
                
General Communication, Inc., Class A
     7,700  (b,d)     88,550  
IDT Corp., Class B
     1,900       55,081  
 
              
Total
             143,631  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Electric Utilities (2.8%)
                
El Paso Electric Co.
     16,200  (b)     501,876  
IDACORP, Inc.
     12,800       501,888  
Portland General Electric Co.
     6,000       149,760  
Unisource Energy Corp.
     9,900       367,587  
 
              
Total
             1,521,111  
 
              
 
                
Electrical Equipment (—%)
                
AZZ, Inc.
     400  (d)     17,512  
 
                
Electronic Equipment, Instruments & Components (3.7%)
                
Agilysys, Inc.
     37,500  (b,d)     195,750  
Anixter International, Inc.
     5,850       439,570  
Coherent, Inc.
     2,075  (b)     129,708  
Daktronics, Inc.
     6,000  (d)     64,380  
Electro Rent Corp.
     7,400  (d)     116,550  
Fabrinet
     5,800  (b,c,d)     133,690  
Gerber Scientific, Inc.
     7,200  (b,d)     68,832  
Littelfuse, Inc.
     6,571  (d)     408,782  
Methode Electronics, Inc.
     7,792  (d)     96,309  
Richardson Electronics Ltd.
     10,000  (d)     134,800  
Rogers Corp.
     2,591  (b)     107,578  
TTM Technologies, Inc.
     5,500  (b,d)     105,160  
 
              
Total
             2,001,109  
 
              
 
                
Energy Equipment & Services (2.1%)
                
Bristow Group, Inc.
     1,500  (b)     69,600  
Complete Production Services, Inc.
     3,400  (b)     115,396  
Gulf Island Fabrication, Inc.
     6,300  (d)     222,642  
Parker Drilling Co.
     47,400  (b,d)     337,962  
PHI, Inc.
     18,200  (b)     407,316  
 
              
Total
             1,152,916  
 
              
 
                
Food & Staples Retailing (1.4%)
                
Nash Finch Co.
     3,471  (d)     129,191  
Ruddick Corp.
     11,031  (d)     458,007  
Spartan Stores, Inc.
     2,277  (d)     35,544  
Weis Markets, Inc.
     3,249  (d)     134,086  
 
              
Total
             756,828  
 
              
 
                
Food Products (0.4%)
                
Cal-Maine Foods, Inc.
     7,400  (d)     213,786  
 
                
Gas Utilities (2.1%)
                
Chesapeake Utilities Corp.
     4,900  (d)     209,671  
Nicor, Inc.
     1,640       90,905  
Southwest Gas Corp.
     13,400  (d)     532,918  
The Laclede Group, Inc.
     2,397       91,973  
WGL Holdings, Inc.
     5,000  (d)     197,600  
 
              
Total
             1,123,067  
 
              
 
                
Health Care Equipment & Supplies (0.3%)
                
Cantel Medical Corp.
     7,100  (d)     184,103  
 
                
Health Care Providers & Services (4.0%)
                
American Dental Partners, Inc.
     3,900  (b,d)     51,441  
AMERIGROUP Corp.
     10,100  (b,d)     689,830  

 

 

                 
Issuer   Shares     Value(a)  
Healthsouth Corp.
     13,700  (b)     351,131  
Healthspring, Inc.
     2,776  (b,d)     115,176  
Kindred Healthcare, Inc.
     1,849  (b,d)     46,632  
Magellan Health Services, Inc.
     10,990  (b)     571,700  
National Healthcare Corp.
     1,100       51,106  
Universal American Corp.
     12,758       294,710  
 
              
Total
             2,171,726  
 
              
 
                
Hotels, Restaurants & Leisure (0.6%)
                
Multimedia Games Holding Co., Inc.
     53,300  (b)     312,871  
Ruby Tuesday, Inc.
     2,400  (b)     25,224  
 
              
Total
             338,095  
 
              
 
                
Household Durables (0.4%)
                
American Greetings Corp., Class A
     5,190  (d)     127,674  
Kid Brands, Inc.
     5,300  (b,d)     38,743  
Libbey, Inc.
     4,200  (b)     71,610  
 
              
Total
             238,027  
 
              
 
                
Household Products (0.1%)
                
Oil-Dri Corp. of America
     3,000       66,270  
 
                
Industrial Conglomerates (1.3%)
                
Seaboard Corp.
     195  (d)     465,465  
Standex International Corp.
     3,661  (d)     133,846  
Tredegar Corp.
     5,100  (d)     111,588  
 
              
Total
             710,899  
 
              
 
                
Insurance (6.0%)
                
American Equity Investment Life Holding Co.
     36,500  (d)     469,390  
Delphi Financial Group, Inc., Class A
     16,700  (d)     533,565  
FBL Financial Group, Inc., Class A
     14,300  (d)     436,150  
Horace Mann Educators Corp.
     21,998       393,324  
Meadowbrook Insurance Group, Inc.
     42,641  (d)     436,644  
Montpelier Re Holdings Ltd.
     1,966  (c,d)     35,565  
National Financial Partners Corp.
     12,983  (b,d)     208,896  
ProAssurance Corp.
     10,573  (b)     702,048  
Tower Group, Inc.
     1,000       22,870  
 
              
Total
             3,238,452  
 
              
 
                
Internet Software & Services (0.3%)
                
j2 Global Communications, Inc.
     2,300  (b,d)     67,758  
United Online, Inc.
     8,700  (d)     57,420  
ValueClick, Inc.
     2,300  (b,d)     38,525  
 
              
Total
             163,703  
 
              
 
                
IT Services (1.7%)
                
CACI International, Inc., Class A
     1,700  (b,d)     103,887  
CSG Systems International, Inc.
     11,904  (b)     252,841  
Global Cash Access Holdings, Inc.
     30,100  (b,d)     99,330  
Online Resources Corp.
     2,200  (b,d)     8,404  
TeleTech Holdings, Inc.
     23,400  (b)     464,958  
 
              
Total
             929,420  
 
              
 
                
Leisure Equipment & Products (1.8%)
                
Arctic Cat, Inc.
     27,500  (b)     461,725  
Jakks Pacific, Inc.
     24,447  (b,d)     514,365  
 
              
Total
             976,090  
 
              

 

 

                 
Issuer   Shares     Value(a)  
Machinery (1.4%)
                
Alamo Group, Inc.
     3,400       97,274  
Briggs & Stratton Corp.
     2,600  (d)     61,334  
CLARCOR, Inc.
     3,100       140,089  
EnPro Industries, Inc.
     4,700  (b)     188,376  
LB Foster Co., Class A
     6,137       261,191  
 
              
Total
             748,264  
 
              
 
                
Marine (0.2%)
                
International Shipholding Corp.
     3,567  (d)     85,572  
 
                
Media (0.9%)
                
EW Scripps Co., Class A
     4,040  (b)     38,380  
Nexstar Broadcasting Group, Inc. Class A
     3,900  (b)     32,526  
PRIMEDIA, Inc.
     9,500       46,550  
Sinclair Broadcast Group, Inc., Class A
     30,100       345,849  
 
              
Total
             463,305  
 
              
 
                
Metals & Mining (0.5%)
                
Hecla Mining Co.
     15,000  (b)     141,150  
Materion Corp.
     2,775  (b,d)     115,884  
 
              
Total
             257,034  
 
              
 
                
Multiline Retail (1.1%)
                
Dillard’s, Inc., Class A
     12,667  (d)     608,269  
 
                
Multi-Utilities (0.9%)
                
Avista Corp.
     18,900       460,215  
 
                
Oil, Gas & Consumable Fuels (6.7%)
                
Cloud Peak Energy, Inc.
     20,894  (b)     435,013  
Green Plains Renewable Energy, Inc.
     13,100  (b,d)     164,012  
International Coal Group, Inc.
     16,800  (b,d)     185,304  
James River Coal Co.
     18,600  (b,d)     433,752  
Patriot Coal Corp.
     11,004  (b)     277,081  
Petroleum Development Corp.
     9,896  (b,d)     394,059  
REX American Resources Corp.
     900  (b)     15,552  
Stone Energy Corp.
     4,700  (b)     166,192  
Vaalco Energy, Inc.
     20,600  (b,d)     143,582  
W&T Offshore, Inc.
     16,600       445,046  
Western Refining, Inc.
     16,300  (b,d)     276,448  
World Fuel Services Corp.
     15,700  (d)     621,406  
 
              
Total
             3,557,447  
 
              
 
                
Paper & Forest Products (2.0%)
                
Buckeye Technologies, Inc.
     18,600       523,775  
Clearwater Paper Corp.
     3,637  (b)     285,432  
KapStone Paper and Packaging Corp.
     12,344  (b,d)     214,539  
PH Glatfelter Co.
     3,946  (d)     53,666  
 
              
Total
             1,077,412  
 
              
 
                
Personal Products (0.1%)
                
Revlon, Inc., Class A
     3,800  (b)     65,436  
 
                
Pharmaceuticals (1.8%)
                
Cornerstone Therapeutics, Inc.
     4,700  (b,d)     32,853  
Impax Laboratories, Inc.
     3,200  (b,d)     87,616  

 

 

                 
Issuer   Shares     Value(a)  
Par Pharmaceutical Companies, Inc.
     13,480  (b,d)     464,251  
The Medicines Co.
     6,700  (b)     105,190  
Viropharma, Inc.
     14,400  (b)     277,776  
 
              
Total
             967,686  
 
              
 
                
Professional Services (0.2%)
                
The Dolan Co.
     7,400  (b,d)     87,098  
 
                
Real Estate Investment Trusts (REITs) (15.0%)
                
American Capital Agency Corp.
     20,218       588,546  
Anworth Mortgage Asset Corp.
     55,239       396,616  
Ashford Hospitality Trust, Inc.
     20,900       260,623  
Associated Estates Realty Corp.
     5,084       84,598  
Capstead Mortgage Corp.
     8,934       118,286  
CBL & Associates Properties, Inc.
     32,900  (d)     610,953  
Colonial Properties Trust
     29,800  (d)     630,567  
Cypress Sharpridge Investments, Inc.
     2,677  (d)     33,061  
Equity Lifestyle Properties, Inc.
     7,400       442,668  
Extra Space Storage, Inc.
     22,097  (d)     478,400  
Glimcher Realty Trust
     28,800  (d)     275,040  
Hatteras Financial Corp.
     11,402  (d)     323,931  
Home Properties, Inc.
     600       38,040  
LaSalle Hotel Properties
     900       25,326  
Lexington Realty Trust
     48,300  (d)     482,034  
MFA Financial, Inc.
     64,291       513,042  
Mid-America Apartment Communities, Inc.
     4,600  (d)     307,510  
NorthStar Realty Finance Corp.
     6,200       31,310  
One Liberty Properties, Inc.
     2,500  (d)     38,775  
PS Business Parks, Inc.
     4,200       253,092  
Resource Capital Corp.
     44,700  (d)     289,656  
Sovran Self Storage, Inc.
     1,588       67,935  
Strategic Hotels & Resorts, Inc.
     3,800  (b)     25,916  
Sun Communities, Inc.
     14,517  (d)     558,614  
Tanger Factory Outlet Centers
     16,200  (d)     447,606  
Urstadt Biddle Properties, Inc., Class A
     19,300  (d)     379,824  
U-Store-It Trust
     26,300       298,768  
 
              
Total
             8,000,737  
 
              
 
                
Road & Rail (1.2%)
                
Amerco, Inc.
     1,700  (b,d)     172,924  
Werner Enterprises, Inc.
     18,400  (d)     481,528  
 
              
Total
             654,452  
 
              
 
                
Semiconductors & Semiconductor Equipment (2.0%)
                
Alpha & Omega Semiconductor Ltd.
     6,200  (b)     87,916  
Cabot Microelectronics Corp.
     8,100  (b,d)     395,685  
Entegris, Inc.
     28,100  (b)     242,503  
Photronics, Inc.
     41,900  (b,d)     365,787  
 
              
Total
             1,091,891  
 
              
 
                
Software (0.9%)
                
Fair Isaac Corp.
     16,300       487,044  
 
                
Specialty Retail (3.5%)
                
Build-A-Bear Workshop, Inc.
     5,976  (b,d)     36,633  
Collective Brands, Inc.
     1,500  (b,d)     31,500  
PEP Boys — Manny, Moe & Jack
     12,700  (d)     173,990  
Rent-A-Center, Inc.
     22,173       675,167  
Sally Beauty Holdings, Inc.
     20,800  (b,d)     307,632  

 

 

                 
Issuer   Shares     Value(a)  
Stage Stores, Inc.
     1,500       28,890  
Talbots, Inc.
     12,500  (b,d)     67,250  
The Childrens Place Retail Stores, Inc.
     1,000  (b,d)     53,170  
The Finish Line, Inc., Class A
     14,234       305,889  
The Men’s Wearhouse, Inc.
     7,149       199,386  
 
              
Total
             1,879,507  
 
              
 
                
Textiles, Apparel & Luxury Goods (0.4%)
                
The Timberland Co., Class A
     4,600  (b)     207,874  
 
                
Thrifts & Mortgage Finance (1.3%)
                
BankFinancial Corp.
     5,800  (d)     53,012  
Federal Agricultural Mortgage Corp., Class C
     9,300  (d)     176,235  
Flushing Financial Corp.
     22,700  (d)     334,144  
NASB Financial, Inc.
     1,900  (b,d)     29,317  
Provident Financial Services, Inc.
     6,600  (d)     95,832  
 
              
Total
             688,540  
 
              
 
                
Tobacco (0.6%)
                
Universal Corp.
     7,684  (d)     333,332  
 
                
Trading Companies & Distributors (1.2%)
                
TAL International Group, Inc.
     2,000       72,100  
United Rentals, Inc.
     19,525  (b,d)     574,426  
 
              
Total
             646,526  
 
              
 
                
Wireless Telecommunication Services (0.6%)
                
USA Mobility, Inc.
     20,700       319,815  
 
              
Total Common Stocks
(Cost: $43,773,866)
           $ 53,670,926  
 
              
Money Market Fund (0.4%)
                 
    Shares     Value(a)  
Money Market Fund
                
Columbia Short-Term Cash Fund, 0.195%
     227,467  (f)   $ 227,467  
 
              
Total Money Market Fund
(Cost: $227,467)
           $ 227,467  
 
              
Investments of Cash Collateral Received for Securities on Loan (23.1%)
                         
    Effective     Principal        
Issuer   yield     amount     Value(a)  
Repurchase Agreements(e)
                        
Cantor Fitzgerald & Co.
dated 04-29-11, matures 05-02-11,
repurchase price $10,000,058
     0.070 %   $ 10,000,000     $ 10,000,000  
HSBC Securities, Inc.
dated 04-29-11, matures 05-02-11,
repurchase price $2,425,243
     0.030       2,425,237       2,425,237  
 
                      
Total Investments of Cash Collateral Received for Securities on Loan
(Cost: $12,425,237)
                   $ 12,425,237  
 
                      
 
                        
Total Investments in Securities
(Cost: $56,426,570)(g)
                   $ 66,323,630  
 
                      
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 April 30, 2011, $11,600 was held in a margin deposit account as collateral to cover initial margin requirements on open stock index futures contracts.
Futures Contracts Outstanding at April 30, 2011
                                         
    Number of                
    Contracts   Notional   Expiration   Unrealized   Unrealized
Contract Description   Long (Short)   Market Value   Date   Appreciation   Depreciation
 
Russell 2000 Mini Index
     3     $ 259,170     June 2011   $ 21,433     $ —  
 
Notes to Portfolio of Investments
 
(a)   Securities are valued by using policies described in Note 2 to the financial statements in the most recent Semiannual Report dated Jan. 31, 2011.
 
(b)   Non-income producing.
 
(c)   Foreign security values are stated in U.S. dollars. At April 30, 2011, the value of foreign securities, excluding short-term securities, represented 1.04% of net assets.
 
(d)   At April 30, 2011, 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.
Cantor Fitzgerald & Co. (0.070%)
         
Security Description   Value (a)  
 
Fannie Mae Interest Strip
   $ 587,223  
Fannie Mae Pool
     5,474,618  
Fannie Mae Principal Strip
     43,517  
Fannie Mae REMICS
     22,999  
Fannie Mae Whole Loan
     983  
Federal Farm Credit Bank
     83,087  
Federal Home Loan Bank Discount Notes
     333  
Federal Home Loan Banks
     179,408  
Federal Home Loan Mortgage Corp
     54,680  
Federal National Mortgage Association
     58,208  
Freddie Mac Non Gold Pool
     1,996,304  
Freddie Mac REMICS
     387,432  
Freddie Mac Strips
     48,386  
Ginnie Mae I Pool
     72,516  
Ginnie Mae II Pool
     437,026  
Government National Mortgage Association
     128,998  
United States Treasury Inflation Indexed Bonds
     37,158  
United States Treasury Strip Coupon
     552,724  
United States Treasury Strip Principal
     34,400  
 
Total Market Value of Collateral Securities
   $ 10,200,000  
 
HSBC Securities, Inc. (0.030%)
         
Security Description   Value (a)  
 
Federal Home Loan Banks
   $ 283,321  
Federal Home Loan Mortgage Corp
     1,118,136  
Federal National Mortgage Association
     1,072,305  
 
Total Market Value of Collateral Securities
   $ 2,473,762  
 
 
(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 April 30, 2011.
 
(g)   At April 30, 2011, the cost of securities for federal income tax purposes was approximately $56,427,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was:
         
Unrealized appreciation
   $ 10,393,000  
Unrealized depreciation
     (496,000 )
 
Net unrealized appreciation
   $ 9,897,000  
 
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 (including 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.
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 April 30, 2011:
                                 
    Fair value at April 30, 2011
    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
   $ 53,670,926     $ —     $ —     $ 53,670,926  
 
Total Equity Securities
     53,670,926       —       —       53,670,926  
 
 
                                
Other
                                
Affiliated Money Market Fund(c)
     227,467       —       —       227,467  
Investments of Cash Collateral Received for Securities on Loan
     —       12,425,237       —       12,425,237  
 
Total Other
     227,467       12,425,237       —       12,652,704  
 
Investments in Securities
     53,898,393       12,425,237       —       66,323,630  
Derivatives(d)
                                
Assets
                                
Futures Contracts
     21,433       —       —       21,433  
 
Total
   $ 53,919,826     $ 12,425,237     $ —     $ 66,345,063  
 
(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 April 30, 2011.
 
(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 June 21, 2011
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 June 21, 2011    
 
        
By
   /s/  Michael G. Clarke    
 
 
 
Michael G. Clarke 		   
 
  Treasurer and Principal Financial Officer    
Date June 21, 2011

 

EX-99.CERT 2 c64944exv99wcert.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: June 21, 2011
/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, Michael G. Clarke, 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: June 21, 2011
/s/  Michael G. Clarke
_____________________________
Michael G. Clarke
Treasurer and Chief Financial Officer