-----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, PSbCuYuLtbOQecL9cqQr29/pNmumNGm7jVJIw/OYTqYLVYXrtkKVT0dAmmcEEDL8 2ew5oruNDQ409a3SAyYbog== 0000950123-10-088412.txt : 20100923 0000950123-10-088412.hdr.sgml : 20100923 20100923133330 ACCESSION NUMBER: 0000950123-10-088412 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20100731 FILED AS OF DATE: 20100923 DATE AS OF CHANGE: 20100923 EFFECTIVENESS DATE: 20100923 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE INCOME SERIES, INC. CENTRAL INDEX KEY: 0000052407 IRS NUMBER: 410839316 STATE OF INCORPORATION: MN FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-00499 FILM NUMBER: 101086361 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: AXP INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP SELECTIVE FUND INC /MN/ DATE OF NAME CHANGE: 20000829 FORMER COMPANY: FORMER CONFORMED NAME: IDS SELECTIVE FUND INC DATE OF NAME CHANGE: 19920703 0000052407 S000003435 RiverSource Income Builder Basic Income Fund C000009499 RiverSource Income Builder Basic Income Fund Class A RBBAX C000009500 RiverSource Income Builder Basic Income Fund Class B RBBBX C000009501 RiverSource Income Builder Basic Income Fund Class C RBBCX C000042931 RiverSource Income Builder Basic Income Fund Class R4 0000052407 S000003436 RiverSource Income Builder Moderate Income Fund C000009503 RiverSource Income Builder Moderate Income Fund Class A RSMAX C000009504 RiverSource Income Builder Moderate Income Fund Class B RSMBX C000009505 RiverSource Income Builder Moderate Income Fund Class C RSMCX C000042932 RiverSource Income Builder Moderate Income Fund Class R4 0000052407 S000003437 RiverSource Income Builder Enhanced Income Fund C000009507 RiverSource Income Builder Enhanced Income Fund Class A RSBAX C000009508 RiverSource Income Builder Enhanced Income Fund Class B REIVX C000009509 RiverSource Income Builder Enhanced Income Fund Class C RIECX C000042933 RiverSource Income Builder Enhanced Income Fund Class R4 NSAR-A 1 answer.fil SEMI-ANNUAL REPORT PAGE 1 000 A000000 07/31/2010 000 C000000 0000052407 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 RIVERSOURCE INCOME SERIES, INC. 001 B000000 811-499 001 C000000 6126715682 002 A000000 50606 AMERIPRISE FINANCIAL CENTER 002 B000000 MINNEAPOLIS 002 C000000 MN 002 D010000 55474 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 3 007 C010100 1 007 C010200 2 007 C020200 COLUMBIA INCOME BUILDER FUND 007 C030200 N 007 C010300 3 007 C020300 COLUMBIA INCOME BUILDER FUND III 007 C030300 N 007 C010400 4 007 C020400 COLUMBIA INCOME BUILDER FUND II 007 C030400 N 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 007 C011100 11 007 C011200 12 007 C011300 13 007 C011400 14 007 C011500 15 007 C011600 16 007 C011700 17 007 C011800 18 007 C011900 19 007 C012000 20 007 C012100 21 007 C012200 22 007 C012300 23 PAGE 2 007 C012400 24 007 C012500 25 007 C012600 26 007 C012700 27 007 C012800 28 007 C012900 29 007 C013000 30 007 C013100 31 007 C013200 32 007 C013300 33 007 C013400 34 007 C013500 35 007 C013600 36 007 C013700 37 007 C013800 38 007 C013900 39 007 C014000 40 007 C014100 41 007 C014200 42 007 C014300 43 007 C014400 44 007 C014500 45 007 C014600 46 007 C014700 47 007 C014800 48 007 C014900 49 007 C015000 50 007 C015100 51 007 C015200 52 007 C015300 53 007 C015400 54 007 C015500 55 007 C015600 56 007 C015700 57 007 C015800 58 007 C015900 59 007 C016000 60 007 C016100 61 007 C016200 62 007 C016300 63 007 C016400 64 007 C016500 65 007 C016600 66 007 C016700 67 007 C016800 68 007 C016900 69 007 C017000 70 007 C017100 71 007 C017200 72 007 C017300 73 007 C017400 74 PAGE 3 007 C017500 75 007 C017600 76 007 C017700 77 007 C017800 78 007 C017900 79 007 C018000 80 007 C018100 81 007 C018200 82 007 C018300 83 007 C018400 84 007 C018500 85 007 C018600 86 007 C018700 87 007 C018800 88 007 C018900 89 007 C019000 90 008 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 008 B00AA01 A 008 C00AA01 801-25943 008 D01AA01 MINNEAPOLIS 008 D02AA01 MN 008 D03AA01 55474 010 A00AA01 AMERIPRISE FINANCIAL, INC. 010 C01AA01 MINNEAPOLIS 010 C02AA01 MN 010 C03AA01 55474 011 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC. 011 B00AA01 8-25845 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 012 A00AA01 COLUMBIA MANAGEMENT INVESTMENT SERVICES CORP. 012 B00AA01 84-5685 012 C01AA01 MINNEAPOLIS 012 C02AA01 MN 012 C03AA01 55474 013 A00AA01 ERNST & YOUNG LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 014 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC. 014 B00AA01 8-25845 014 A00AA02 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 014 B00AA02 8-42582 014 A00AA03 SECURITIES AMERICA, INC. 014 B00AA03 8-26602 014 A00AA04 AMERIPRISE FINANCIAL SERVICES, INC. 014 B00AA04 8-16791 014 A00AA05 RIVERSOURCE DISTRIBUTORS, INC. 014 B00AA05 8-67196 015 A00AA01 JPMORGAN CHASE BANK, N.A. PAGE 4 015 B00AA01 C 015 C01AA01 NEW YORK 015 C02AA01 NY 015 C03AA01 10005 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 278 019 C00AA00 COLUMBIAFD 020 C000001 0 020 C000002 0 020 C000003 0 020 C000004 0 020 C000005 0 020 C000006 0 020 C000007 0 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 0 022 C000001 0 022 D000001 0 022 C000002 0 022 D000002 0 022 C000003 0 022 D000003 0 022 C000004 0 022 D000004 0 022 C000005 0 022 D000005 0 022 C000006 0 022 D000006 0 022 C000007 0 022 D000007 0 022 C000008 0 022 D000008 0 022 C000009 0 022 D000009 0 022 C000010 0 022 D000010 0 023 C000000 0 023 D000000 0 024 00AA00 N 026 A000000 N 026 B000000 N 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N PAGE 5 026 H000000 N 027 000000 Y 037 00AA00 N 038 00AA00 0 039 00AA00 N 040 00AA00 Y 041 00AA00 Y 045 00AA00 Y 046 00AA00 N 047 00AA00 N 048 00AA00 0.000 048 A01AA00 0 048 A02AA00 0.000 048 B01AA00 0 048 B02AA00 0.000 048 C01AA00 0 048 C02AA00 0.000 048 D01AA00 0 048 D02AA00 0.000 048 E01AA00 0 048 E02AA00 0.000 048 F01AA00 0 048 F02AA00 0.000 048 G01AA00 0 048 G02AA00 0.000 048 H01AA00 0 048 H02AA00 0.000 048 I01AA00 0 048 I02AA00 0.000 048 J01AA00 0 048 J02AA00 0.000 048 K01AA00 0 048 K02AA00 0.000 049 00AA00 N 050 00AA00 N 051 00AA00 N 052 00AA00 N 053 A00AA00 N 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 Y 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 Y 054 M00AA00 Y PAGE 6 054 N00AA00 N 054 O00AA00 Y 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 2000 062 A00AA00 N 062 B00AA00 0.0 062 C00AA00 0.0 062 D00AA00 0.0 062 E00AA00 0.0 062 F00AA00 0.0 062 G00AA00 0.0 062 H00AA00 0.0 062 I00AA00 0.0 062 J00AA00 0.0 062 K00AA00 0.0 062 L00AA00 0.0 062 M00AA00 0.0 062 N00AA00 0.0 062 O00AA00 0.0 062 P00AA00 0.0 062 Q00AA00 0.0 062 R00AA00 0.0 063 A00AA00 0 063 B00AA00 0.0 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 PAGE 7 084 B00AA00 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 086 A01AA00 0 086 A02AA00 0 086 B01AA00 0 086 B02AA00 0 086 C01AA00 0 086 C02AA00 0 086 D01AA00 0 086 D02AA00 0 086 E01AA00 0 086 E02AA00 0 086 F01AA00 0 086 F02AA00 0 028 A010200 1911 028 A020200 480 028 A030200 0 028 A040200 4274 028 B010200 2027 028 B020200 453 028 B030200 0 028 B040200 5315 028 C010200 3644 028 C020200 493 028 C030200 0 028 C040200 5525 028 D010200 3364 028 D020200 456 028 D030200 0 028 D040200 5109 028 E010200 2770 028 E020200 529 028 E030200 0 028 E040200 5272 028 F010200 2801 028 F020200 578 028 F030200 0 028 F040200 4864 028 G010200 16517 028 G020200 2989 PAGE 8 028 G030200 0 028 G040200 30359 028 H000200 3389 029 000200 Y 030 A000200 129 030 B000200 4.75 030 C000200 0.00 031 A000200 43 031 B000200 0 032 000200 2 033 000200 84 034 000200 Y 035 000200 8 036 A000200 N 036 B000200 0 042 A000200 0 042 B000200 0 042 C000200 0 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 043 000200 426 044 000200 0 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 066 A000200 Y 066 B000200 N 066 C000200 N 066 D000200 N 066 E000200 N 066 F000200 Y 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 N 070 A020200 N 070 B010200 N 070 B020200 N 070 C010200 N 070 C020200 N 070 D010200 N 070 D020200 N 070 E010200 N 070 E020200 N 070 F010200 N PAGE 9 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 N 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 N 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 N 070 N020200 N 070 O010200 N 070 O020200 N 070 P010200 N 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 N 070 R020200 N 071 A000200 28584 071 B000200 39665 071 C000200 228278 071 D000200 13 072 A000200 6 072 B000200 3954 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 0 072 G000200 23 072 H000200 0 072 I000200 121 072 J000200 7 072 K000200 10 072 L000200 0 072 M000200 0 072 N000200 24 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 7 072 S000200 0 072 T000200 426 072 U000200 0 072 V000200 0 PAGE 10 072 W000200 1 072 X000200 619 072 Y000200 0 072 Z000200 3335 072AA000200 0 072BB000200 1120 072CC010200 9722 072CC020200 0 072DD010200 3097 072DD020200 469 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 0 074 B000200 0 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 226342 074 J000200 0 074 K000200 0 074 L000200 4289 074 M000200 0 074 N000200 230631 074 O000200 8 074 P000200 3 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 4136 074 S000200 0 074 T000200 226484 074 U010200 19041 074 U020200 3323 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 10242 074 Y000200 0 075 A000200 0 075 B000200 228312 076 000200 0.00 028 A010300 1718 028 A020300 499 028 A030300 0 PAGE 11 028 A040300 4254 028 B010300 2710 028 B020300 514 028 B030300 0 028 B040300 6722 028 C010300 2223 028 C020300 545 028 C030300 0 028 C040300 5433 028 D010300 1230 028 D020300 504 028 D030300 0 028 D040300 5204 028 E010300 1441 028 E020300 529 028 E030300 0 028 E040300 4934 028 F010300 1780 028 F020300 527 028 F030300 0 028 F040300 4105 028 G010300 11102 028 G020300 3118 028 G030300 0 028 G040300 30652 028 H000300 2093 029 000300 Y 030 A000300 81 030 B000300 4.75 030 C000300 0.00 031 A000300 29 031 B000300 0 032 000300 2 033 000300 50 034 000300 Y 035 000300 5 036 A000300 N 036 B000300 0 042 A000300 0 042 B000300 0 042 C000300 0 042 D000300 0 042 E000300 0 042 F000300 0 042 G000300 0 042 H000300 100 043 000300 334 044 000300 0 055 A000300 N 055 B000300 N 056 000300 Y PAGE 12 057 000300 N 066 A000300 Y 066 B000300 N 066 C000300 N 066 D000300 N 066 E000300 N 066 F000300 Y 066 G000300 N 067 000300 N 068 A000300 N 068 B000300 N 069 000300 N 070 A010300 N 070 A020300 N 070 B010300 N 070 B020300 N 070 C010300 N 070 C020300 N 070 D010300 N 070 D020300 N 070 E010300 N 070 E020300 N 070 F010300 N 070 F020300 N 070 G010300 N 070 G020300 N 070 H010300 N 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 N 070 J020300 N 070 K010300 Y 070 K020300 Y 070 L010300 N 070 L020300 N 070 M010300 N 070 M020300 N 070 N010300 N 070 N020300 N 070 O010300 N 070 O020300 N 070 P010300 N 070 P020300 N 070 Q010300 N 070 Q020300 N 070 R010300 N 070 R020300 N 071 A000300 20615 071 B000300 37467 071 C000300 191734 PAGE 13 071 D000300 11 072 A000300 6 072 B000300 4297 072 C000300 0 072 D000300 0 072 E000300 0 072 F000300 0 072 G000300 19 072 H000300 0 072 I000300 107 072 J000300 7 072 K000300 11 072 L000300 0 072 M000300 0 072 N000300 24 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 7 072 S000300 0 072 T000300 334 072 U000300 0 072 V000300 0 072 W000300 1 072 X000300 510 072 Y000300 0 072 Z000300 3787 072AA000300 0 072BB000300 672 072CC010300 8969 072CC020300 0 072DD010300 3528 072DD020300 440 072EE000300 0 073 A010300 0.0000 073 A020300 0.0000 073 B000300 0.0000 073 C000300 0.0000 074 A000300 0 074 B000300 0 074 C000300 0 074 D000300 0 074 E000300 0 074 F000300 0 074 G000300 0 074 H000300 0 074 I000300 186948 074 J000300 0 074 K000300 0 074 L000300 2707 074 M000300 0 PAGE 14 074 N000300 189655 074 O000300 18 074 P000300 3 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 2717 074 S000300 0 074 T000300 186917 074 U010300 16742 074 U020300 2235 074 V010300 0.00 074 V020300 0.00 074 W000300 0.0000 074 X000300 8794 074 Y000300 0 075 A000300 0 075 B000300 191605 076 000300 0.00 028 A010400 4215 028 A020400 954 028 A030400 0 028 A040400 10923 028 B010400 3459 028 B020400 911 028 B030400 0 028 B040400 11475 028 C010400 4521 028 C020400 974 028 C030400 0 028 C040400 11139 028 D010400 3953 028 D020400 967 028 D030400 0 028 D040400 8381 028 E010400 2828 028 E020400 1005 028 E030400 0 028 E040400 8132 028 F010400 2296 028 F020400 1047 028 F030400 0 028 F040400 7866 028 G010400 21272 028 G020400 5858 028 G030400 0 028 G040400 57916 028 H000400 4590 029 000400 Y 030 A000400 169 PAGE 15 030 B000400 4.75 030 C000400 0.00 031 A000400 47 031 B000400 0 032 000400 4 033 000400 118 034 000400 Y 035 000400 14 036 A000400 N 036 B000400 0 042 A000400 0 042 B000400 0 042 C000400 0 042 D000400 0 042 E000400 0 042 F000400 0 042 G000400 0 042 H000400 100 043 000400 661 044 000400 0 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 066 A000400 Y 066 B000400 N 066 C000400 N 066 D000400 N 066 E000400 N 066 F000400 Y 066 G000400 N 067 000400 N 068 A000400 N 068 B000400 N 069 000400 N 070 A010400 N 070 A020400 N 070 B010400 N 070 B020400 N 070 C010400 N 070 C020400 N 070 D010400 N 070 D020400 N 070 E010400 N 070 E020400 N 070 F010400 N 070 F020400 N 070 G010400 N 070 G020400 N 070 H010400 N 070 H020400 N PAGE 16 070 I010400 N 070 I020400 N 070 J010400 N 070 J020400 N 070 K010400 Y 070 K020400 Y 070 L010400 N 070 L020400 N 070 M010400 N 070 M020400 N 070 N010400 N 070 N020400 N 070 O010400 N 070 O020400 N 070 P010400 N 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 N 070 R020400 N 071 A000400 61428 071 B000400 92566 071 C000400 380467 071 D000400 16 072 A000400 6 072 B000400 7759 072 C000400 0 072 D000400 0 072 E000400 0 072 F000400 0 072 G000400 38 072 H000400 0 072 I000400 203 072 J000400 7 072 K000400 12 072 L000400 0 072 M000400 0 072 N000400 26 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 8 072 S000400 0 072 T000400 661 072 U000400 0 072 V000400 0 072 W000400 2 072 X000400 957 072 Y000400 0 072 Z000400 6802 072AA000400 0 PAGE 17 072BB000400 6820 072CC010400 23052 072CC020400 0 072DD010400 6419 072DD020400 770 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 0 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 0 074 G000400 0 074 H000400 0 074 I000400 372276 074 J000400 242 074 K000400 0 074 L000400 6299 074 M000400 0 074 N000400 378817 074 O000400 0 074 P000400 5 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 6411 074 S000400 0 074 T000400 372401 074 U010400 33434 074 U020400 4310 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 16788 074 Y000400 0 075 A000400 0 075 B000400 380498 076 000400 0.00 SIGNATURE TITLE This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: September 20, 2010 Name of Registrant, Depositor, or Trustee: RiverSource Income Series, Inc. /s/ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - --------------------------------------------------------------- By (Name and Title): /s/ Wade M. Voigt -- Assistant Treasurer - --------------------------------------------------------------- Witness (Name and Title): RIVERSOURCE INCOME SERIES, INC. EX-99.77E LEGAL 2 c6038777e.txt EXHIBIT 77E EXHIBIT 77E RIVERSOURCE INCOME SERIES, INC. LEGAL PROCEEDINGS. Ameriprise Financial and certain of its affiliates have historically been involved in a number of legal, arbitration and regulatory proceedings, including routine litigation, class actions, and governmental actions, concerning matters arising in connection with the conduct of their business activities. Ameriprise Financial believes that the Fund is not currently the subject of, and that neither Ameriprise Financial nor any of its affiliates are the subject of, any pending legal, arbitration or regulatory proceedings that are likely to have a material adverse effect on the Fund or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Fund. Information regarding certain pending and settled legal proceedings may be found in the Fund's shareholder reports and in the SAI. Additionally, Ameriprise Financial is required to make 10-Q, 10-K and, as necessary, 8-K filings with the Securities and Exchange Commission on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. -----END PRIVACY-ENHANCED MESSAGE-----