Columbia Funds
Series Trust II
|
||||
Columbia 120/20 Contrarian Equity
Fund
|
||||
Class A: RCEAX
|
Class B: RZZBX | Class C: RECCX | ||
Class I:
|
Class Z: CCEZX | |||
Columbia Absolute Return Currency
and Income Fund
|
||||
Class A: RARAX
|
Class B: | Class C: RARCX | ||
Class I: RVAIX
|
Class W: RACWX | Class Z: CACZX | ||
Columbia AMT-Free Tax-Exempt Bond
Fund
|
||||
Class A: INTAX
|
Class B: ITEBX | Class C: RTCEX | ||
Class Z: CATZX
|
||||
Columbia Asia Pacific ex-Japan Fund
|
||||
Class A: CAJAX
|
Class C: CAJCX | Class R: CAJRX | ||
Class R5: TAPRX
|
Class Z: CAJZX | |||
Columbia Diversified Bond Fund
|
||||
Class A: INBNX
|
Class B: ININX | Class C: AXBCX | ||
Class I: RDBIX
|
Class R: | Class R3: RSDBX | ||
Class R4: IDBYX
|
Class R5: RSVBX | Class W: RVBWX | ||
Class Z: CDBZX
|
||||
Columbia Diversified Equity Income
Fund
|
||||
Class A: INDZX
|
Class B: IDEBX | Class C: ADECX | ||
Class I: ADIIX
|
Class R: RDEIX | Class R3: RDERX | ||
Class R4: IDQYX
|
Class R5: RSEDX | Class W: | ||
Class Z: CDVZX
|
||||
Columbia Dividend Opportunity Fund
|
||||
Class A: INUTX
|
Class B: IUTBX | Class C: ACUIX | ||
Class I: RSOIX
|
Class R: RSOOX | Class R4: RSORX | ||
Class R5: RSDFX
|
Class W: | Class Z: CDOZX | ||
Columbia Emerging Markets Bond Fund
|
||||
Class A: REBAX
|
Class B: | Class C: REBCX | ||
Class I: RSMIX
|
Class R4: | Class W: REMWX | ||
Class Z: CMBZX
|
||||
Columbia Emerging Markets
Opportunity Fund
|
||||
Class A: IDEAX
|
Class B: IEMBX | Class C: RMCEX | ||
Class I: RSRIX
|
Class R: REMRX | Class R4: | ||
Class R5: REMFX
|
Class W: CMOWX | Class Z: CEOZX | ||
Columbia Equity Value Fund
|
||||
Class A: IEVAX
|
Class B: INEGX | Class C: REVCX | ||
Class I:
|
Class R: REVRX | Class R3: RSEVX | ||
Class R4: AEVYX
|
Class R5: RSEYX | Class W: CEVWX | ||
Class Z: CEVZX
|
||||
Columbia European Equity Fund
|
||||
Class A: AXEAX
|
Class B: AEEBX | Class C: REECX | ||
Class I:
|
Class R4: | Class Z: CEEZX | ||
Columbia Floating Rate Fund
|
||||
Class A: RFRAX
|
Class B: RSFBX | Class C: RFRCX | ||
Class I: RFRIX
|
Class R: CFRRX | Class R4: | ||
Class R5: RFRFX
|
Class W: RFRWX | Class Z: CFRZX | ||
Columbia Frontier Fund
|
||||
Class A: SLFRX
|
Class B: SLFBX | Class C: SLFCX | ||
Class I:
|
Class R: SFFRX | Class R4: SFFTX | ||
Class R5: SFFIX
|
Class Z: CFOZX | |||
Columbia Global Bond Fund
|
||||
Class A: IGBFX
|
Class B: IGLOX | Class C: AGBCX | ||
Class I: AGBIX
|
Class R: | Class R4: RGBRX | ||
Class W: RGBWX
|
Class Z: CGBZX | |||
Columbia Global Equity Fund
|
||||
Class A: IGIGX
|
Class B: IDGBX | Class C: RGCEX | ||
Class I:
|
Class R: | Class R4: IDGYX | ||
Class R5: RGERX
|
Class W: | Class Z: CGEZX | ||
Columbia Global Extended Alpha Fund
|
||||
Class A: RTAAX
|
Class B: | Class C: RTACX | ||
Class I:
|
Class R: REAOX | Class R4: REYRX | ||
Class Z: CEAZX
|
||||
Columbia Government Money Market
Fund
|
||||
Class A: SCMXX
|
Class B: SCBXX | Class C: SCCXX | ||
Class R: SMRXX
|
Class R5: SMIXX | Class Z: CGZXX | ||
Columbia High Yield Bond Fund
|
||||
Class A: INEAX
|
Class B: IEIBX | Class C: APECX | ||
Class I: RSHIX
|
Class R: | Class R3: | ||
Class R4: RSHYX
|
Class R5: RSHRX | Class W: RHYWX | ||
Class Z: CHYZX
|
||||
Columbia Income Builder Fund
|
||||
Class A: RBBAX
|
Class B: RBBBX | Class C: RBBCX | ||
Class R4:
|
Class R: CBURX | Class Z: CBUZX | ||
Columbia Income Opportunities Fund
|
||||
Class A: AIOAX
|
Class B: AIOBX | Class C: RIOCX | ||
Class I: AOPIX
|
Class R: CIORX | Class R4: | ||
Class W: CIOWX
|
Class Z: CIOZX | |||
Columbia Inflation Protected
Securities Fund
|
||||
Class A: APSAX
|
Class B: APSBX | Class C: RIPCX | ||
Class I: AIPIX
|
Class R: RIPRX | Class R4: | ||
Class W: RIPWX
|
Class Z: CIPZX | |||
Columbia Large Core Quantitative
Fund
|
||||
Class A: AQEAX
|
Class B: AQEBX | Class C: RDCEX | ||
Class I: ALEIX
|
Class R: | Class R4: RQEYX | ||
Class R5: RSIPX
|
Class W: RDEWX | Class Z: CCRZX | ||
Columbia Large Growth Quantitative
Fund
|
||||
Class A: RDLAX
|
Class B: | Class C: RDLCX | ||
Class I: RDLIX
|
Class R: | Class R4: RDLFX | ||
Class W: RDLWX
|
Class Z: CLQZX | |||
Columbia Large Value Quantitative
Fund
|
||||
Class A: RLCAX
|
Class B: | Class C: RDCCX | ||
Class I:
|
Class R: RLCOX | Class R4: RLCYX | ||
Class W: RLCWX
|
Class Z: CVQZX | |||
Columbia Limited Duration Credit
Fund
|
||||
Class A: ALDAX
|
Class B: ALDBX | Class C: RDCLX | ||
Class I: ALDIX
|
Class R4: | Class W: RLDWX | ||
Class Z: CLDZX
|
||||
Columbia Marsico Flexible Capital
Fund
|
||||
Class A: CCMAX
|
Class C: CCFCX | Class I: | ||
Class R: CCFRX
|
Class Z: CCMZX | |||
Columbia Mid Cap Growth
Opportunity Fund
|
||||
Class A: INVPX
|
Class B: IDQBX | Class C: AESCX | ||
Class I: AQUIX
|
Class R: | Class R3: | ||
Class R4: IESYX
|
Class Z: CVOZX | |||
Columbia Mid Cap Value Opportunity
Fund
|
||||
Class A: AMVAX
|
Class B: AMVBX | Class C: AMVCX | ||
Class I: RMCIX
|
Class R: RMVTX | Class R3: RMCRX | ||
Class R4: RMCVX
|
Class R5: RSCMX | Class W: | ||
Class Z: CMOZX
|
||||
Columbia Minnesota Tax-Exempt Fund
|
||||
Class A: IMNTX
|
Class B: IDSMX | Class C: RMTCX | ||
Class Z: CMNZX
|
||||
Columbia Money Market Fund
|
||||
Class A: IDSXX
|
Class B: ACBXX | Class C: RCCXX | ||
Class I: RCIXX
|
Class R: RVRXX | Class R5: | ||
Class W: RCWXX
|
Class Z: IDYXX | |||
Columbia Multi-Advisor
International Value Fund
|
||||
Class A: APIAX
|
Class B: AXIBX | Class C: APICX | ||
Class I: APRIX
|
Class R4: | Class Z: CMVZX | ||
Columbia Multi-Advisor Small Cap
Value Fund
|
||||
Class A: ASVAX
|
Class B: ASVBX | Class C: APVCX | ||
Class I:
|
Class R: RSVTX | Class R3: RSVRX | ||
Class R4: RSGLX
|
Class R5: RSCVX | Class Z: CMAZX | ||
Columbia Portfolio Builder
Aggressive Fund
|
||||
Class A: AXBAX
|
Class B: AXPBX | Class C: RBGCX | ||
Class R: CPARX
|
Class R4: | Class Z: CPAZX |
Columbia Portfolio Builder
Conservative Fund
|
||||
Class A: ABDAX
|
Class B: ABBDX | Class C: RPCCX | ||
Class R: CBURX
|
Class R4: | Class Z: CBVZX | ||
Columbia Portfolio Builder
Moderate Aggressive Fund
|
||||
Class A: AXMAX
|
Class B: ABMBX | Class C: AGECX | ||
Class R: CBARX
|
Class R4: | Class Z: CBAZX | ||
Columbia Portfolio Builder
Moderate Conservative Fund
|
||||
Class A: AUCAX
|
Class B: AMDBX | Class C: RBMCX | ||
Class R: CPMRX
|
Class R4: | Class Z: CPMZX | ||
Columbia Portfolio Builder
Moderate Fund
|
||||
Class A: ABUAX
|
Class B: AURBX | Class C: AMTCX | ||
Class R: CBMRX
|
Class R4: | Class Z: CBMZX | ||
Columbia Recovery and
Infrastructure Fund
|
||||
Class A: RRIAX
|
Class B: RRIBX | Class C: RRICX | ||
Class I: RRIIX
|
Class R: RRIRX | Class R4: RRIYX | ||
Class R5: RRIZX
|
Class Z: CRIZX | |||
Columbia Retirement Plus 2010 Fund
|
||||
Class A:
|
Class C: CRTCX | Class R: | ||
Class Z: RSSPX
|
||||
Columbia Retirement Plus 2015 Fund
|
||||
Class A:
|
Class C: CRPCX | Class R: | ||
Class Z: RSFNX
|
||||
Columbia Retirement Plus 2020 Fund
|
||||
Class A:
|
Class C: CRUCX | Class R: | ||
Class Z: RSNFX
|
||||
Columbia Retirement Plus 2025 Fund
|
||||
Class A:
|
Class C: CRLCX | Class R: | ||
Class Z: RSMEX
|
||||
Columbia Retirement Plus 2030 Fund
|
||||
Class A:
|
Class C: CRRCX | Class R: | ||
Class Z: RPTYX
|
||||
Columbia Retirement Plus 2035 Fund
|
||||
Class A:
|
Class C: CRPZX | Class R: | ||
Class Z: RPOYX
|
||||
Columbia Retirement Plus 2040 Fund
|
||||
Class A:
|
Class C: CRWCX | Class R: | ||
Class Z: RPFYX
|
||||
Columbia Retirement Plus 2045 Fund
|
||||
Class A:
|
Class C: CRFCX | Class R: | ||
Class R4: RSNNX
|
Class Z: RRPYX | |||
Columbia Select Large-Cap Value
Fund
|
||||
Class A: SLVAX
|
Class B: SLVBX | Class C: SLVCX | ||
Class I:
|
Class R: SLVRX | Class R4: SLVTX | ||
Class R5: SLVIX
|
Class W: CSVWX | Class Z: CSVZX | ||
Columbia Select Smaller-Cap Value
Fund
|
||||
Class A: SSCVX
|
Class B: SSCBX | Class C: SVMCX | ||
Class I:
|
Class R: SSVRX | Class R4: SSLRX | ||
Class R5: SSVIX
|
Class Z: CSSZX | |||
Columbia Seligman Communications
and Information Fund
|
||||
Class A: SLMCX
|
Class B: SLMBX | Class C: SCICX | ||
Class I:
|
Class R: SCIRX | Class R3: SCIOX | ||
Class R4: SCIFX
|
Class R5: SCMIX | Class Z: CCIZX | ||
Columbia Seligman Global
Technology Fund
|
||||
Class A: SHGTX
|
Class B: SHTBX | Class C: SHTCX | ||
Class I:
|
Class R: SGTRX | Class R4: SGTSX | ||
Class R5: SGTTX
|
Class Z: CSGZX | |||
Columbia Strategic Allocation Fund
|
||||
Class A: IMRFX
|
Class B: IMRBX | Class C: RSSCX | ||
Class I:
|
Class R: | Class R4: IDRYX | ||
Class Z: CSAZX
|
||||
Columbia U.S. Government Mortgage
Fund
|
||||
Class A: AUGAX
|
Class B: AUGBX | Class C: AUGCX | ||
Class I: RVGIX
|
Class R4: RSGYX | Class Z: CUGZX | ||
RiverSource California
Tax-Exempt Trust
|
||||
RiverSource California Tax-Exempt
Fund
|
||||
Class A: ICALX
|
Class B: ACABX | Class C: RCTCX | ||
RiverSource Dimensions Series,
Inc.
|
||||
RiverSource Disciplined Small and
Mid Cap Equity Fund
|
||||
Class A: RDSAX
|
Class B: | Class C: RDSCX | ||
Class I: RDSIX
|
Class R4: | Class W: RSDVX | ||
RiverSource Disciplined Small Cap
Value Fund
|
||||
Class A: RDVAX
|
Class B: | Class C: RDVCX | ||
Class I: RCVIX
|
Class R: | Class R3: | ||
RiverSource Global Series,
Inc.
|
||||
Threadneedle Global Equity Income
Fund
|
||||
Class A: RTNAX
|
Class B: | Class C: RTNEX | ||
Class I:
|
Class R: RGEOX | Class R4: RGEYX | ||
RiverSource Government Income
Series, Inc.
|
||||
RiverSource Short Duration U.S.
Government Fund
|
||||
Class A: IFINX
|
Class B: ISHOX | Class C: AXFCX | ||
Class I: AGMIX
|
Class R: RSDRX | Class R4: IDFYX | ||
Class W: RSDWX
|
||||
RiverSource Income Series,
Inc.
|
||||
Columbia Income Builder
Fund II
|
||||
Class A: RSMAX
|
Class B: RSMBX | Class C: RSMCX | ||
Class R4:
|
||||
Columbia Income Builder
Fund III
|
||||
Class A: RSBAX
|
Class B: REIVX | Class C: RIECX | ||
Class R4:
|
||||
RiverSource International
Managers Series, Inc.
|
||||
RiverSource Partners International
Select Growth Fund
|
||||
Class A: AXGAX
|
Class B: APIBX | Class C: RIACX | ||
Class I: AIGGX
|
Class R: RISRX | Class R4: | ||
Class R5: RISSX
|
||||
RiverSource Partners International
Small Cap Fund
|
||||
Class A: AISCX
|
Class B: APNBX | Class C: RISLX | ||
Class I: RPSCX
|
Class R: | Class R4: | ||
Class R5:
|
||||
RiverSource International
Series, Inc.
|
||||
RiverSource Disciplined
International Equity Fund
|
||||
Class A: RDIAX
|
Class B: RDIBX | Class C: RDICX | ||
Class I: RSDIX
|
Class R: RDIOX | Class R4: RDIRX | ||
Class W: RDIWX
|
||||
Threadneedle International
Opportunity Fund
|
||||
Class A: INIFX
|
Class B: IWWGX | Class C: ROPCX | ||
Class I: ATNIX
|
Class R: | Class R4: IDIYX | ||
RiverSource Investment Series,
Inc.
|
||||
RiverSource Balanced Fund
|
||||
Class A: INMUX
|
Class B: IDMBX | Class C: RVBCX | ||
Class R: RVBRX
|
Class R4: IDMYX | Class R5: RVBSX | ||
RiverSource Managers Series,
Inc.
|
||||
RiverSource Partners Fundamental
Value Fund
|
||||
Class A: AFVAX
|
Class B: AFVBX | Class C: AFVCX | ||
Class I: AFVIX
|
Class R4: | |||
RiverSource Market Advantage
Series, Inc.
|
||||
Columbia Portfolio Builder Total
Equity Fund
|
||||
Class A: AXTAX
|
Class B: AXTBX | Class C: RBTCX | ||
Class R4:
|
||||
RiverSource S&P 500 Index Fund
|
||||
Class A: ADIDX
|
Class Z: ADIEX | |||
RiverSource Small Company Index
Fund
|
||||
Class A: ISIAX
|
Class B: ISIBX | Class R4: ISCYX | ||
RiverSource Sector Series,
Inc.
|
||||
RiverSource Real Estate Fund
|
||||
Class A: ARLAX
|
Class B: AESBX | Class C: RRECX | ||
Class I: AESIX
|
Class R4: | Class W: RREWX |
RiverSource Selected Series,
Inc.
|
||||
RiverSource Precious Metals and
Mining Fund
|
||||
Class A: INPMX
|
Class B: INPBX | Class C: RPMCX | ||
Class I:
|
Class R4: AEVYX | |||
RiverSource Special Tax-Exempt
Series Trust
|
||||
RiverSource New York Tax-Exempt
Fund
|
||||
Class A: INYKX
|
Class B: | Class C: RNTCX | ||
RiverSource Strategic
Allocation Series, Inc.
|
||||
RiverSource Strategic Income
Allocation Fund
|
||||
Class A: RSGAX
|
Class B: RIABX | Class C: RAICX | ||
Class R: RSDOX
|
Class R4: RSTRX | Class R5: RSFRX | ||
RiverSource Tax-Exempt Income
Series, Inc.
|
||||
RiverSource Tax-Exempt High Income
Fund
|
||||
Class A: INHYX
|
Class B: IHYBX | Class C: AHECX | ||
RiverSource Tax-Exempt Series,
Inc.
|
||||
RiverSource Intermediate
Tax-Exempt Fund
|
||||
Class A: INFAX
|
Class B: INFBX | Class C: RTICX | ||
Seligman Capital Fund,
Inc.
|
||||
Class A: SCFIX
|
Class B: SLCBX | Class C: SCLCX | ||
Class I:
|
Class R: SCFRX | Class R5: SCLIX | ||
Seligman Growth Fund,
Inc.
|
||||
Class A: SGRFX
|
Class B: SGBTX | Class C: SGRCX | ||
Class I:
|
Class R: SGRFX | Class R4: SGRSX | ||
Class R5: SGFIX
|
||||
Seligman LaSalle Real Estate
Fund Series, Inc.
|
||||
RiverSource LaSalle Global Real
Estate Fund
|
||||
Class A: SLDAX
|
Class C: SLDCX | Class I: | ||
Class R: SLDRX
|
Class R4: SLDTX | Class R5: SLDIX | ||
RiverSource LaSalle Monthly
Dividend Real Estate Fund
|
||||
Class A: SREAX
|
Class B: SREBX | Class C: SRECX | ||
Class I:
|
Class R: SRERX | Class R4: SLRCX | ||
Class R5: SREIX
|
||||
Seligman Municipal
Fund Series, Inc.
|
||||
Seligman Minnesota Municipal Class
|
||||
Class A: SMNNX
|
Class C: SMNCX | |||
Seligman National Municipal Class
|
||||
Class A: SNXEX
|
Class C: SNACX | |||
Seligman New York Municipal Class
|
||||
Class A: SNYTX
|
Class C: SNYCX | |||
Seligman Municipal
Series Trust
|
||||
Seligman California Municipal High
Yield Series
|
||||
Class A: SCHYX
|
Class C: SCHCX | |||
Seligman California Municipal
Quality Series
|
||||
Class A: SCTQX
|
Class C: SCQCX |
Fundamental and Nonfundamental Investment Policies
|
p. 5 | |
Investment Strategies and Types of Investments
|
p. 13 | |
Information Regarding Risks and Investment Strategies
|
p. 15 | |
Securities Transactions
|
p. 42 | |
Brokerage Commissions Paid to Brokers Affiliated with the
Investment Manager
|
p. 57 | |
Valuing Fund Shares
|
p. 62 | |
Portfolio Holdings Disclosure
|
p. 74 | |
Proxy Voting
|
p. 77 | |
Investing in a Fund
|
p. 79 | |
Selling Shares
|
p. 87 | |
Pay-out Plans
|
p. 87 | |
Capital Loss Carryover
|
p. 88 | |
Taxes
|
p. 91 | |
Service Providers
|
p. 96 | |
Investment Management Services
|
p. 96 | |
Administrative Services
|
p. 148 | |
Transfer Agency Services
|
p. 153 | |
Plan Administration Services
|
p. 153 | |
Distribution Services
|
p. 153 | |
Plan and Agreement of Distribution
|
p. 157 | |
Payments to Financial Intermediaries
|
p. 162 | |
Custodian Services
|
p. 165 | |
Board Services Corporation
|
p. 165 | |
Organizational Information
|
p. 165 | |
Board Members and Officers
|
p. 172 | |
Control Persons and Principal Holders of Securities
|
p. 190 | |
Information Regarding Pending and Settled Legal Proceedings
|
p. 217 | |
Independent Registered Public Accounting Firm
|
p. 218 | |
Appendix A: Description of Ratings
|
p. A-1 | |
Appendix B: State Risk Factors
|
p. B-1 | |
Appendix C: Additional Information about the S&P 500 Index
|
p. C-1 | |
Appendix D: Class A Calculation of the Sales Charge
|
p. D-1 | |
Appendix E: Legacy Columbia Funds
|
p. E-1 | |
Appendix F: Legacy RiverSource Funds
|
p. F-1 |
1.
|
Fund Fiscal Year Ends, Prospectus Date and Investment Categories | p. 3 | ||
2.
|
Fundamental Policies | p. 5 | ||
3.
|
Investment Strategies and Types of Investments | p. 13 | ||
4.
|
Total Brokerage Commissions | p. 45 | ||
5.
|
Brokerage Directed for Research, and Turnover Rates | p. 48 | ||
6.
|
Securities of Regular Brokers or Dealers | p. 51 | ||
7.
|
Brokerage Commissions Paid to Investment Manager or Affiliates | p. 57 | ||
8.
|
Valuing Fund Shares | p. 62 | ||
9.
|
Class A Initial Sales Charge | p. 79 | ||
10.
|
Public Offering Price | p. 80 | ||
11.
|
Capital Loss Carryover | p. 88 | ||
12.
|
Corporate Deduction and Qualified Dividend Income | p. 93 | ||
13.
|
Investment Management Services Agreement Fee Schedule | p. 97 | ||
14.
|
PIA Indexes | p. 106 | ||
15A.
|
Performance Incentive Adjustment Calculation | p. 108 | ||
15B.
|
Performance Incentive Adjustment Calculation | p. 109 | ||
16.
|
Management Fees and Nonadvisory Expenses | p. 110 | ||
17.
|
Subadvisers and Subadvisory Agreement Fee Schedules | p. 114 | ||
18.
|
Subadvisory Fees | p. 116 | ||
19.
|
Portfolio Managers | p. 118 | ||
20.
|
Administrative Services Agreement Fee Schedule | p. 148 | ||
21.
|
Administrative Fees | p. 150 | ||
22.
|
Sales Charges Paid to Distributor | p. 153 | ||
23.
|
12b-1 Fees | p. 158 | ||
24.
|
Unreimbursed Distribution Expenses | p. 161 | ||
25.
|
Fund History Table | p. 166 | ||
26.
|
Board Members | p. 172 | ||
27.
|
Fund Officers | p. 174 | ||
28.
|
Committee Meetings | p. 177 | ||
29.
|
Board Member Holdings | p. 178 | ||
30.
|
Board Member Compensation All Funds | p. 184 | ||
31.
|
Board Member Compensation Individual Funds | p. 185 | ||
32.
|
Control Persons and Principal Holders of Securities | p. 190 |
Fund | Fiscal Year End | Prospectus Date | Fund Investment Category | |||
Columbia 120/20 Contrarian Equity
|
April 30 | June 29, 2010 | Equity | |||
Columbia Absolute Return Currency and Income
|
October 31 | Dec. 30, 2010 | Taxable fixed income* | |||
Columbia AMT-Free Tax-Exempt Bond
|
November 30 | Jan. 28, 2011 | Tax-exempt fixed income | |||
Columbia Asia Pacific ex-Japan
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Diversified Bond
|
August 31 | Oct. 29, 2010 | Taxable fixed income | |||
Columbia Diversified Equity Income
|
September 30 | Nov. 29, 2010 | Equity | |||
Columbia Dividend Opportunity
|
June 30 | Aug. 27, 2010 | Equity | |||
Columbia Emerging Markets Bond
|
October 31 | Dec. 30, 2010 | Taxable fixed income | |||
Columbia Emerging Markets Opportunity
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Equity Value
|
March 31 | May 28, 2010 | Equity | |||
Columbia European Equity
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Floating Rate
|
July 31 | Sept. 27, 2010 | Taxable fixed income | |||
Columbia Frontier
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Global Bond
|
October 31 | Dec. 30, 2010 | Taxable fixed income | |||
Columbia Global Equity
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Global Extended Alpha Fund
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Government Money Market
|
December 31 | March 7, 2011 | Taxable Money Market | |||
Columbia High Yield Bond
|
May 31 | July 30, 2010 | Taxable fixed income | |||
Columbia Income Builder Fund
|
January 31** | April 1, 2010 | Fund-of-funds fixed income | |||
Columbia Income Builder Fund II
|
January 31** | April 1, 2010 | Fund-of-funds fixed income | |||
Columbia Income Builder Fund III
|
January 31** | April 1, 2010 | Fund-of-funds fixed income | |||
Columbia Income Opportunities
|
July 31 | Sept. 27, 2010 | Taxable fixed income | |||
Columbia Inflation Protected Securities
|
July 31 | Sept. 27, 2010 | Taxable fixed income | |||
Columbia Large Core Quantitative Equity
|
July 31 | Sept. 27, 2010 | Equity | |||
Columbia Large Growth Quantitative
|
September 30 | Nov. 29, 2010 | Equity | |||
Columbia Large Value Quantitative
|
September 30 | Nov. 29, 2010 | Equity | |||
Columbia Limited Duration Credit
|
July 31 | Sept. 27, 2010 | Taxable fixed income | |||
Columbia Marsico Flexible Capital
|
August 31 | Sept. 22, 2010 | Equity | |||
Columbia Mid Cap Growth Opportunity
|
November 30 | Jan. 22, 2010 | Equity | |||
Columbia Mid Cap Value Opportunity
|
September 30 | Nov. 29, 2010 | Equity | |||
Columbia Minnesota Tax-Exempt
|
August 31 | Oct. 29, 2010 | State tax-exempt fixed income | |||
Columbia Money Market
|
July 31 | Sept. 27, 2010 | Taxable money market | |||
Columbia Multi-Advisor International Value
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Multi-Advisor Small Cap Value
|
May 31 | July 30, 2010 | Equity | |||
Columbia Portfolio Builder Aggressive
|
January 31 | April 1, 2010 | Fund-of-funds equity | |||
Columbia Portfolio Builder Conservative
|
January 31 | April 1, 2010 | Fund-of-funds fixed income | |||
Columbia Portfolio Builder Moderate
|
January 31 | April 1, 2010 | Fund-of-funds equity | |||
Columbia Portfolio Builder Moderate Aggressive
|
January 31 | April 1, 2010 | Fund-of-funds equity | |||
Columbia Portfolio Builder Moderate Conservative
|
January 31 | April 1, 2010 | Fund-of-funds fixed income | |||
Columbia Portfolio Builder Total Equity
|
January 31 | April 1, 2010 | Fund-of-funds equity | |||
Columbia Recovery and Infrastructure
|
April 30 | June 29, 2010 | Equity | |||
Columbia Retirement Plus 2010
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Retirement Plus 2015
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Retirement Plus 2020
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Retirement Plus 2025
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Retirement Plus 2030
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Retirement Plus 2035
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Retirement Plus 2040
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Retirement Plus 2045
|
April 30 | June 29, 2010 | Fund-of-funds equity | |||
Columbia Select Large-Cap Value
|
December 31 | March 7, 2011 | Equity | |||
Columbia Select Smaller-Cap Value
|
December 31 | March 7, 2011 | Equity | |||
Columbia Seligman Communications and Information
|
December 31 | March 7, 2011 | Equity | |||
Fund | Fiscal Year End | Prospectus Date | Fund Investment Category | |||
Columbia Seligman Global Technology
|
October 31 | Dec. 30, 2010 | Equity | |||
Columbia Strategic Allocation
|
September 30 | Nov. 29, 2010 | Balanced | |||
Columbia U.S. Government Mortgage
|
May 31 | July 30, 2010 | Taxable fixed income | |||
RiverSource Balanced
|
September 30 | Nov. 29, 2010 | Balanced | |||
RiverSource California Tax-Exempt
|
August 31 | Oct. 29, 2010 | State tax-exempt fixed income | |||
RiverSource Disciplined International Equity
|
October 31 | Dec. 30, 2010 | Equity | |||
RiverSource Disciplined Small and Mid Cap Equity
|
July 31 | Sept. 27, 2010 | Equity | |||
RiverSource Disciplined Small Cap Value
|
July 31 | Sept. 27, 2010 | Equity | |||
RiverSource Intermediate Tax-Exempt
|
November 30 | Jan. 29, 2010 | Tax-exempt fixed income | |||
RiverSource LaSalle Global Real Estate
|
December 31 | March 1, 2010 | Equity | |||
RiverSource LaSalle Monthly Dividend Real Estate
|
December 31 | March 1, 2010 | Equity | |||
RiverSource New York Tax-Exempt
|
August 31 | Oct. 29, 2010 | State tax-exempt fixed income | |||
RiverSource Partners Fundamental Value
|
May 31 | July 30, 2010 | Equity | |||
RiverSource Partners International Select Growth
|
October 31 | Dec. 30, 2010 | Equity | |||
RiverSource Partners International Small Cap
|
October 31 | Dec. 30, 2010 | Equity | |||
RiverSource Precious Metals and Mining
|
March 31 | May 28, 2010 | Equity | |||
RiverSource Real Estate
|
June 30 | Aug. 27, 2010 | Equity | |||
RiverSource S&P 500 Index
|
January 31 | April 1, 2010 | Equity | |||
RiverSource Short Duration U.S. Government
|
May 31 | July 30, 2010 | Taxable fixed income | |||
RiverSource Small Company Index
|
January 31 | April 1, 2010 | Equity | |||
RiverSource Strategic Income Allocation
|
September 30 | Nov. 29, 2010 | Taxable fixed income* | |||
RiverSource Tax-Exempt High Income
|
November 30 | Jan. 29, 2010 | Tax-exempt fixed income | |||
Seligman California Municipal High-Yield
|
September 30 | Nov. 29, 2010 | State tax-exempt fixed income | |||
Seligman California Municipal Quality
|
September 30 | Nov. 29, 2010 | State tax-exempt fixed income | |||
Seligman Capital
|
December 31 | March 1, 2010 | Equity | |||
Seligman Growth
|
December 31 | March 1, 2010 | Equity | |||
Seligman Minnesota Municipal
|
September 30 | Nov. 29, 2010 | State tax-exempt fixed income | |||
Seligman National Municipal
|
September 30 | Nov. 29, 2010 | Tax-exempt fixed income | |||
Seligman New York Municipal
|
September 30 | Nov. 29, 2010 | State tax-exempt fixed income | |||
Threadneedle Global Equity Income Fund
|
October 31 | Dec. 30, 2009 | Equity | |||
Threadneedle International Opportunity
|
October 31 | Dec. 30, 2009 | Equity | |||
* | The taxable fixed income fund investment category includes Columbia Absolute Return Currency and Income Fund, which is an alternative investment strategy. Although RiverSource Strategic Income Allocation Fund is a taxable fixed income fund, it may invest up to 10% of its portfolio in equity securities. | |
** | The fund changed its fiscal year end effective Jan. 31, 2008 from May 31 to Jan. 31. For 2008, the information shown is for the period from June 1, 2007 to Jan. 31, 2008. For years prior to 2008, the fiscal period ended May 31. |
D |
K |
|||||||||||||||||||||||||||||||||||||||||||
A |
C |
Invest |
E |
J |
Buy on |
|||||||||||||||||||||||||||||||||||||||
Buy or |
B |
Buy more |
more than |
Concentrate |
F |
G |
I |
Issue |
margin/ |
|||||||||||||||||||||||||||||||||||
sell real |
Buy or sell |
than 10% of |
5% in an |
in any one |
Invest less |
Act as an |
H |
Borrow |
senior |
sell |
||||||||||||||||||||||||||||||||||
Fund | estate | commodities | an issuer | issuer | industry | than 80% | underwriter | Lending | money | securities | short | |||||||||||||||||||||||||||||||||
Columbia 120/20 Contrarian Equity
|
A1 | B4 | C1 | D1 | E8 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Absolute Return Currency and Income
|
A1 | B1 | C2 | C2 | E7 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond
|
A1 | B1 | C1 | D1 | E9 | F3 | (a) | G1 | H1 | I1 | J1 | | ||||||||||||||||||||||||||||||||
Columbia Asia Pacific ex-Japan
|
A1 | B2 | C2 | C2 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Diversified Bond
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Diversified Equity Income
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Dividend Opportunity
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Emerging Markets Bond
|
A1 | B3 | | | E5 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Emerging Markets Opportunity
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Equity Value
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia European Equity
|
A1 | B1 | | | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Floating Rate
|
A1 | B3 | C1 | D1 | E6 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Global Bond
|
A1 | B1 | C1 | | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Global Equity
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Global Extended Alpha
|
A1 | B2 | C2 | C2 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Government Money Market
|
A6 | | C4 | C4 | E11 | | G3 | H5 | J3 | J3 | G3 | |||||||||||||||||||||||||||||||||
Columbia High Yield Bond
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Income Builder Fund*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Income Builder Fund II*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Income Builder Fund III*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Income Opportunities
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Inflation Protected Securities
|
A1 | B1 | | | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Large Core Quantitative
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Large Growth Quantitative
|
A1 | B2 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Large Value Quantitative
|
A1 | B2 | C2 | C2 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Limited Duration Credit
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Marsico Flexible Capital
|
A8 | B3 | | | E14 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Mid Cap Growth Opportunity
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Mid Cap Value Opportunity
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Minnesota Tax-Exempt
|
A1 | B1 | | | E9 | F1 | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
D |
K |
|||||||||||||||||||||||||||||||||||||||||||
A |
C |
Invest |
E |
J |
Buy on |
|||||||||||||||||||||||||||||||||||||||
Buy or |
B |
Buy more |
more than |
Concentrate |
F |
G |
I |
Issue |
margin/ |
|||||||||||||||||||||||||||||||||||
sell real |
Buy or sell |
than 10% of |
5% in an |
in any one |
Invest less |
Act as an |
H |
Borrow |
senior |
sell |
||||||||||||||||||||||||||||||||||
Fund | estate | commodities | an issuer | issuer | industry | than 80% | underwriter | Lending | money | securities | short | |||||||||||||||||||||||||||||||||
Columbia Money Market
|
A2 | A2 | C1 | D1 | E9 | | G1 | H1 | I1 | J1 | K1 | |||||||||||||||||||||||||||||||||
Columbia Multi-Advisor International Value
|
A1 | B2 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Multi-Advisor Small Cap Value
|
A1 | B2 | | | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Aggressive*
|
A1 | B1 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Conservative*
|
A1 | B1 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate*
|
A1 | B1 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive*
|
A1 | B1 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative*
|
A1 | B1 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Total Equity*
|
A1 | B1 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Recovery and Infrastructure
|
A1 | B3 | | | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2010*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2015*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2020*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2025*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2030*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2035*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2040*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2045*
|
A1 | B3 | C2 | C2 | E2 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia Select Large-Cap Value
|
A3 | B6 | C3 | C3 | E10 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
Columbia Select Smaller-Cap Value
|
A3 | B6 | C3 | C3 | E10 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
Columbia Seligman Communications and Information
|
A3 | B6 | C3 | C3 | E13 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
Columbia Seligman Global Technology
|
A3 | B6 | C3 | C3 | E10 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
Columbia Strategic Allocation
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Columbia U.S. Government Mortgage
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Balanced
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource California Tax-Exempt
|
A1 | B1 | | | E9 | F1 | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Disciplined International Equity
|
A1 | B3 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity
|
A1 | B3 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Disciplined Small Cap Value
|
A1 | B3 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Intermediate Tax-Exempt
|
A1 | B1 | C1 | D1 | E9 | F3 | (b) | G1 | H1 | I1 | J1 | | ||||||||||||||||||||||||||||||||
RiverSource LaSalle Global Real Estate
|
A7 | B6 | C3 | C3 | E12 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate
|
A7 | B6 | | | E12 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
RiverSource New York Tax-Exempt
|
A1 | B1 | | | E9 | F1 | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Partners Fundamental Value
|
A1 | B2 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Partners International Select Growth
|
A1 | B2 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Partners International Small Cap
|
A1 | B2 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Precious Metals and Mining
|
A1 | B1 | (c) | | | E3 | | G1 | H1 | I1 | J1 | | ||||||||||||||||||||||||||||||||
RiverSource Real Estate
|
A1 | B1 | | | | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource S&P 500 Index
|
A1 | B1 | | | E4 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Short Duration U.S. Government
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Small Company Index
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
RiverSource Strategic Income Allocation
|
A1 | B2 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
D |
K |
|||||||||||||||||||||||||||||||||||||||||||
A |
C |
Invest |
E |
J |
Buy on |
|||||||||||||||||||||||||||||||||||||||
Buy or |
B |
Buy more |
more than |
Concentrate |
F |
G |
I |
Issue |
margin/ |
|||||||||||||||||||||||||||||||||||
sell real |
Buy or sell |
than 10% of |
5% in an |
in any one |
Invest less |
Act as an |
H |
Borrow |
senior |
sell |
||||||||||||||||||||||||||||||||||
Fund | estate | commodities | an issuer | issuer | industry | than 80% | underwriter | Lending | money | securities | short | |||||||||||||||||||||||||||||||||
RiverSource Tax-Exempt High Income
|
A1 | B1 | C1 | D1 | E9 | F2 | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Seligman California Municipal High-Yield
|
A3 | B5 | (d) | D2 | D2 | E9 | F4 | G1 | H2 | I2 | | K2 | (e) | |||||||||||||||||||||||||||||||
Seligman California Municipal Quality
|
A3 | B5 | (d) | D2 | D2 | E9 | F4 | G1 | H2 | I2 | | K2 | (e) | |||||||||||||||||||||||||||||||
Seligman Capital
|
A3 | B6 | C3 | C3 | E10 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
Seligman Frontier
|
A3 | B6 | C3 | C3 | E10 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
Seligman Growth
|
A3 | B6 | C3 | C3 | E10 | | G2 | H4 | J2 | J2 | K3 | |||||||||||||||||||||||||||||||||
Seligman Minnesota Municipal
|
A4 | B5 | D2 | D2 | E9 | F4 | G1 | H3 | I2 | | K2 | |||||||||||||||||||||||||||||||||
Seligman National Municipal
|
A4 | B5 | D2 | D2 | E9 | F4 | G1 | H3 | I2 | | K2 | |||||||||||||||||||||||||||||||||
Seligman New York Municipal
|
A4 | B5 | D2 | D2 | E9 | F4 | G1 | H3 | I2 | | K2 | |||||||||||||||||||||||||||||||||
Threadneedle Global Equity Income
|
A1 | B2 | C2 | C2 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
Threadneedle International Opportunity
|
A1 | B1 | C1 | D1 | E1 | | G1 | H1 | I1 | J1 | | |||||||||||||||||||||||||||||||||
*
|
The fund-of-funds invests in a combination of underlying funds. These underlying funds have adopted their own investment policies that may be more or less restrictive than those of the fund-of-funds. The policies of the underlying funds may permit a fund to engage in investment strategies indirectly that would otherwise be prohibited under the funds investment restrictions. | |
(a)
|
The fund does not intend to purchase bonds or other debt securities the interest from which is subject to the alternative minimum tax. | |
(b)
|
For purposes of this policy, the fund will not include any investments subject to the alternative minimum tax. | |
(c)
|
Additionally, the fund may purchase gold, silver, or other precious metals, strategic metals or other metals occurring naturally with such metals. | |
(d)
|
The policy includes futures contracts. | |
(e)
|
A fund may be deemed an underwriter in connection with the purchase and sale of portfolio securities. |
A. | Buy or sell real estate |
A1 | The fund will not buy or sell real estate, unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the fund from investing in securities or other instruments backed by real estate or securities of companies engaged in the real estate business or real estate investment trusts. For purposes of this policy, real estate includes real estate limited partnerships. | |
A2 | The fund will not buy or sell real estate, commodities or commodity contracts. For purposes of this policy, real estate includes real estate limited partnerships. | |
A3 | The fund will not purchase or hold any real estate, except that a fund may invest in securities secured by real estate or interests therein or issued by persons (other than real estate investment trusts) which deal in real estate or interests therein. | |
A4 | The fund will not purchase or hold any real estate, including limited partnership interests on real property, except that the fund may invest in securities secured by real estate or interests therein or issued by persons (other than real estate investment trusts) which deal in real estate or interests therein. | |
A5 | The fund will not purchase or hold any real estate, except a fund may invest (through investments in Underlying exchange-traded funds) in securities secured by real estate or interests therein or issued by persons (including real estate investment trusts) which deal in real estate or interests therein. | |
A6 | The fund will not buy or hold any real estate or securities of corporations or trusts whose principal business is investing in interests in real estate. | |
A7 | The fund will not purchase or hold any real estate, except that the fund may (A) invest in (i) securities directly or indirectly secured by real estate or interests therein or issued by companies which invest in real estate or interests therein or (ii) securities of issuers that deal in real estate or are engaged in the real estate business, including but not limited to real estate investment trusts (and, in the case of RiverSource LaSalle Global Real Estate, RiverSource Global Real Estate Companies, as defined in the funds prospectus), and (B) hold and sell real estate acquired through default, liquidation, or other distributions of an interest in real estate as a result of a funds ownership of such securities. |
A8 | The fund will not buy or sell real estate, unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the fund from investing in securities or other instruments backed by real estate or securities of companies engaged in the real estate business real estate investment trusts (REITs) or entities similar to REITs formed under the laws of non-U.S. companies. For purposes of this policy, real estate includes real estate limited partnerships. |
B. | Buy or sell physical commodities |
B1 | The fund will not buy or sell physical commodities unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the fund from buying or selling options and futures contracts or from investing in securities or other instruments backed by, or whose value is derived from, physical commodities. |
B2 | The fund will not buy or sell physical commodities unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the fund from buying or selling options, futures contracts and foreign currency or from investing in securities or other instruments backed by, or whose value is derived from, physical commodities. |
B3 | The fund will not buy or sell physical commodities unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the fund from buying or selling options, futures contracts and foreign currency (and, in the case of Columbia Marsico Flexible Capital, swaps) or from entering into forward currency contracts or from investing in securities or other instruments backed by, or whose value is derived from, physical commodities. |
B4 | The fund will not buy or sell commodities, except that the fund may to the extent consistent with its investment objective(s), invest in securities of companies that purchase or sell commodities or which invest in such programs, and purchase and sell options, forward contracts, futures contracts, and options on futures contracts and enter into swap contracts and other financial transactions relating to commodities. This restriction does not apply to foreign currency transactions including without limitation forward currency contracts. |
B5 | The fund will not purchase or sell commodities or commodity contracts. |
B6 | The fund will not purchase or sell commodities or commodity contracts, except to the extent permissible under applicable law and interpretations, as they may be amended from time to time. |
C. | Buy more than 10% of an issuer |
C1 | The fund will not purchase more than 10% of the outstanding voting securities of an issuer, except that up to 25% of the funds assets may be invested without regard to this 10% limitation. For tax-exempt funds, for purposes of this policy, the terms of a municipal security determine the issuer. | |
C2 | The fund will not purchase securities (except securities issued or guaranteed by the U.S. Government, its agencies or instrumentalities) of any one issuer if, as a result, more than 5% of its total assets will be invested in the securities of such issuer or it would own more than 10% of the voting securities of such issuer, except that: (a) up to 25% of its total assets may be invested without regard to these limitations; and (b) a funds assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder, or any applicable exemptive relief. | |
C3 | The fund will not make any investment inconsistent with its classification as a diversified company under the 1940 Act. | |
C4 | The fund will not invest more than 5% of its gross assets (taken at market) in the securities of any one issuer, other than the U.S. Government, its agencies or instrumentalities, or buy more than 10% of the voting securities of any one issuer, other than U.S. Government agencies or instrumentalities. |
D. | Invest more than 5% in an issuer |
D1 | The fund will not invest more than 5% of its total assets in securities of any company, government, or political subdivision thereof, except the limitation will not apply to investments in securities issued or guaranteed by the U.S. government, its agencies, or instrumentalities, or other investment companies, and except that up to 25% of the funds total assets may be invested without regard to this 5% limitation. For tax-exempt funds, for purposes of this policy, the terms of a municipal security determine the issuer. | |
D2 | The fund will not, as to 50% of the value of its total assets, purchase securities of any issuer if immediately thereafter more than 5% of total assets at market value would be invested in the securities of any issuer (except that this limitation does not apply to obligations issued or guaranteed as to principal and interest by the U.S. Government or its agencies or instrumentalities). |
E. | Concentrate |
E1 | The fund will not concentrate in any one industry. According to the present interpretation by the Securities and Exchange Commission (SEC), this means that up to 25% of the funds total assets, based on current market value at time of purchase, can be invested in any one industry. |
E2 | The fund will not concentrate in any one industry. According to the present interpretation by the SEC, this means that up to 25% of the funds total assets, based on current market value at time of purchase, can be invested in any one industry. The fund itself does not intend to concentrate, however, the aggregation of holdings of the underlying funds may result in the fund indirectly investing more than 25% of its assets in a particular industry. The fund does not control the investments of the underlying funds and any indirect concentration will occur only as a result of the fund following its investment objectives by investing in the underlying funds. |
E3 | The fund will not invest less than 25% of its total assets in the precious metals industry, based on current market value at the time of purchase, unless market conditions temporarily require a defensive investment strategy. |
E4 | The fund will not concentrate in any one industry unless that industry represents more than 25% of the index tracked by the fund. For all other industries, in accordance with the current interpretation by the SEC, this means that up to 25% of the funds total assets, based on current market value at time of purchase, can be invested in any one industry. |
E5 | While the fund may invest 25% or more of its total assets in the securities of foreign governmental and corporate entities located in the same country, it will not invest 25% or more of its total assets in any single foreign governmental issuer. |
E6 | The fund will not concentrate in any one industry. According to the present interpretation by the SEC, this means that up to 25% of the funds total assets, based on current market value at time of purchase, can be invested in any one industry. For purposes of this restriction, loans will be considered investments in the industry of the underlying borrower, rather than that of the seller of the loan. |
E7 | The fund will not concentrate in any one industry, provided however, that this restriction shall not apply to securities or obligations issued or guaranteed by the U.S. Government, banks or bank holding companies or finance companies. For all other industries, this means that up to 25% of the funds total assets, based on current market value at the time of purchase, can be invested in any one industry. |
E8 | The fund will not purchase any securities which would cause 25% or more of the value of its total assets at the time of purchase to be invested in the securities of one or more issuers conducting their principal business activities in the same industry, provided that: a) there is no limitation with respect to obligations issued or guaranteed by the U.S. Government, any state or territory of the United States, or any of their agencies, instrumentalities or political subdivisions; and b) notwithstanding this limitation or any other fundamental investment limitation, assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
E9 | The fund will not invest more than 25% of total assets, at market value, in any one industry; except that municipal securities and securities of the U.S. Government, its agencies and instrumentalities are not considered an industry for purposes of this limitation. |
E10 | The fund will not invest 25% or more of its total assets, at market value, in the securities of issuers in any particular industry, provided that this limitation shall exclude securities issued or guaranteed by the U.S. Government or any of its agencies or instrumentalities. |
E11 | The fund will not invest more than 25% of the market value of its total assets in securities of issuers in any one industry, provided that the fund reserves the right to concentrate investments in money market instruments issued by the U.S. Government or its agencies or instrumentalities or banks or bank holding companies. |
E12 | The fund will not invest 25% or more of its total assets, at market value, in the securities of issuers in any particular industry, except that the fund will invest at least 25% of the value of its total assets in securities of issuers principally engaged in the real estate industry (in which the fund intends to concentrate) and may invest without limit in securities issued or guaranteed by the U.S. government or any of its agencies or instrumentalities. |
E13 | The fund will not invest 25% or more of its total assets, at market value, in the securities of issuers in any particular industry, except that the fund will invest at least 25% of the value of its total assets in securities of companies principally engaged in the communications, information and related industries and provided that this limitation shall exclude securities issued or guaranteed by the U.S. Government or any of its agencies or instrumentalities. |
E14 | The fund will not concentrate in any one industry (other than U.S. government securities, provided that this limitation shall exclude securities issued or guaranteed by the U.S. government or any of its agencies or instrumentalities). According to the present interpretation by the Securities and Exchange Commission (SEC), this means that up to 25% of the funds total assets, based on current market value at time of purchase, can be invested in any one industry. |
F. | Invest less than 80% |
F1 | The fund will not under normal market conditions, invest less than 80% of its net assets in municipal obligations that are generally exempt from federal income tax as well as respective state and local income tax. | |
F2 | The fund will not under normal market conditions, invest less than 80% of its net assets in bonds and notes issued by or on behalf of state and local governmental units whose interest, in the opinion of counsel for the issuer, is exempt from federal income tax and is not subject to the alternative minimum tax. | |
F3 | The fund will not under normal market conditions, invest less than 80% of its net assets in bonds and other debt securities issued by or on behalf of state or local governmental units whose interest, in the opinion of counsel for the issuer, is exempt from federal income tax. | |
F4 | The fund will not, under normal market conditions, invest less than 80% of its net assets in securities the interest on which is exempt from regular federal income tax and (except for Seligman National Municipal) regular, personal income tax of its designated state, and temporary investments in taxable securities will be limited to 20% of the value of the funds net assets. |
G. | Act as an underwriter |
G1 | The fund will not act as an underwriter (sell securities for others). However, under the securities laws, the fund may be deemed to be an underwriter when it purchases securities directly from the issuer and later resells them. | |
G2 | The fund will not underwrite the securities of other issuers, except insofar as the fund may be deemed an underwriter under the Securities Act of 1933 (the 1933 Act) in disposing of a portfolio security or in connection with investments in other investment companies. | |
G3 | The fund will not underwrite the securities of other issuers; make short sales of securities, or purchase securities on margin; write or purchase put or call options. |
H. | Lending |
H1 | The fund will not lend securities or participate in an interfund lending program if the total of all such loans would exceed 331/3% of the funds total assets except this fundamental investment policy shall not prohibit the fund from purchasing money market securities, loans, loan participation or other debt securities, or from entering into repurchase agreements. For funds-of-funds equity, under current Board policy, the fund has no current intention to borrow to a material extent. | |
H2 | The fund will not make loans, except to the extent that the purchase of notes, bonds or other evidences of indebtedness or deposits with banks may be considered loans. | |
H3 | The fund will not make loans except to the extent that the purchase of notes, bonds or other evidences of indebtedness or the entry into repurchase agreements or deposits with banks may be considered loans. The fund does not have a present intention of entering into repurchase agreements. | |
H4 | The fund will not make loans, except as permitted by the 1940 Act or any rule thereunder, any SEC or SEC staff interpretations thereof or any exemptions therefrom which may be granted by the SEC. | |
H5 | The fund will not make loans, except loans of portfolio securities and except to the extent that the purchase of notes, bonds or other evidences of indebtedness, the entry into repurchase agreements or deposits with banks, may be considered loans. |
I. | Borrowing |
I1 | The fund will not borrow money, except for temporary purposes (not for leveraging or investment) in an amount not exceeding 331/3% of its total assets (including the amount borrowed) less liabilities (other than borrowings) immediately after the borrowings. For funds-of-funds equity, under current Board policy, the fund has no current intention to borrow to a material extent. |
I2 | The fund will not borrow money, except from banks for temporary purposes (such as meeting redemption requests or for extraordinary or emergency purposes) in an amount not to exceed 10% of the value of its total assets at the time the borrowing is made (not including the amount borrowed). The fund will not purchase additional portfolio securities if the fund has outstanding borrowings in excess of 5% of the value of its total assets. |
J. | Issue senior securities |
J1 | The fund will not issue senior securities, except as permitted under the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. | |
J2 | The fund will not issue senior securities or borrow money, except as permitted by the 1940 Act or any rule thereunder, any SEC or SEC staff interpretations thereof or any exemptions therefrom which may be granted by the SEC. | |
J3 | The fund will not issue senior securities or borrow money, except from banks for temporary purposes in an amount not exceeding 5% of the value of its total assets. |
K. | Buy on margin/sell short |
K1 | The fund will not buy on margin or sell short or deal in options to buy or sell securities. |
K2 | The fund will not write or purchase put, call, straddle or spread options; purchase securities on margin or sell short; or underwrite the securities of other issuers. | |
K3 | The fund will not purchase securities on margin except as permitted by the 1940 Act or any rule thereunder, any SEC or SEC staff interpretations thereof or any exemptions therefrom which may be granted by the SEC. |
| Purchase common stocks, preferred stocks, warrants, other equity securities, corporate bonds or debentures, state bonds, municipal bonds, or industrial revenue bonds. |
| Mortgage or pledge any of its assets, except to the extent, up to a maximum of 5% of its total assets, necessary to secure permissible borrowings. | |
| Buy securities of any company which, with their predecessors, have been in operation less than three continuous years, provided however, that securities guaranteed by a company that (including predecessors) has been in operation at least three continuous years shall be excluded. | |
| Invest in securities with contractual or other restrictions on resale, except in connection with repurchase agreements. | |
| Deal with its directors and officers, or firms they are associated with, in the purchase or sale of securities except as broker, or purchase or hold the securities of any issuer, if to its knowledge, directors or officers of the fund or of the funds investment manager individually owning beneficially more than 0.5% of the securities of that other company own in the aggregate more than 5% of such securities. | |
| Invest in the securities of companies for purposes of exercising control or management of such companies or in securities issued by other investment companies, except in connection with a merger, consolidation, acquisition or reorganization or for the purpose of hedging the funds obligations under its deferred compensation plan for directors. |
| Purchase or hold the securities of any issuer, if to its knowledge, directors or officers of the fund individually owning beneficially more than 0.5% of the outstanding securities of that issuer own in the aggregate more than 5% of such securities. |
| Invest in securities issued by other investment companies, except in connection with a merger, consolidation, acquisition or reorganization, or for the purpose of hedging a funds obligations under its deferred compensation plan for directors/trustees. | |
| Purchase or hold the securities of any issuer, if to its knowledge, directors/trustees or officers of a fund individually owning beneficially more than 0.5% of the securities of that issuer own in the aggregate more than 5% of such securities. |
| Mortgage or pledge any of its assets, except to secure permitted borrowings noted above. |
| Deal with its directors or officers, or firms they are associated with, in the purchase or sale of securities of other issuers, except as broker. |
| Purchase or hold the securities of any issuer, if to its knowledge, directors or officers of the fund and, only in the case of Columbia Seligman Global Technology, the directors and officers of the funds investment manager, individually owning beneficially more than 0.5% of the outstanding securities of that issuer own in the aggregate more than 5% of such securities. | |
| Enter into repurchase agreements of more than one weeks duration if more than 10% of the funds net assets would be so invested. |
| No more than 15% of the funds net assets will be held in securities and other instruments that are illiquid. |
| No more than 5% of the funds net assets will be held in securities and other instruments that are illiquid. |
| Up to 25% of the funds net assets may be invested in foreign investments. |
| Under normal market conditions, the fund intends to invest at least 50% of its total assets in foreign investments. |
| Up to 20% of the funds net assets may be invested in foreign investments. |
| The fund may invest its total assets, up to 50%, in foreign investments. |
Funds-of-Funds |
Taxable |
Taxable |
Tax-Exempt |
State |
||||||||||
Equity and |
Fixed |
Money |
Fixed |
Tax-Exempt |
||||||||||
Investment strategy | Balanced | Equity | Fixed Income | Income | Market | Income | Fixed Income | |||||||
Agency and government securities | | | | | | | | |||||||
Borrowing | | | | | | | | |||||||
Cash/money market instruments | | | | | | | | |||||||
Collateralized bond obligations | | A | | | | | | |||||||
Commercial paper | | | | | | | | |||||||
Common stock | | | | B | | | | |||||||
Convertible securities | | | | C | | | | |||||||
Corporate bonds | | | | | D | | | |||||||
Debt obligations | | | | | | | | |||||||
Depositary receipts | | | | | | | | |||||||
Derivative instruments (including options and futures) | | | | | | | | |||||||
Exchange-traded funds | | | | | | | | |||||||
Floating rate loans | | | | | | | | |||||||
Foreign currency transactions | | | | | | | | |||||||
Foreign securities | | | | | | | | |||||||
Funding agreements | | | | | | | | |||||||
High yield debt securities (junk bonds) | | | | | | | J | |||||||
Illiquid and restricted securities | | | | | | | | |||||||
Indexed securities | | | | | | | | |||||||
Inflation protected securities | | | | | | | | |||||||
Initial Public Offerings (IPOs) | | | | | | | | |||||||
Inverse floaters | | E | | | | | | |||||||
Investment companies | | | | | | | | |||||||
Lending of portfolio securities | | | | | | | | |||||||
Loan participations | | | | | | | | |||||||
Mortgage- and asset-backed securities | | F | | | | | | |||||||
Mortgage dollar rolls | | G | | | | | | |||||||
Municipal obligations | | | | | | | | |||||||
Funds-of-Funds |
Taxable |
Taxable |
Tax-Exempt |
State |
||||||||||
Equity and |
Fixed |
Money |
Fixed |
Tax-Exempt |
||||||||||
Investment strategy | Balanced | Equity | Fixed Income | Income | Market | Income | Fixed Income | |||||||
Pay-in-kind securities | | | | | | | | |||||||
Preferred stock | | | | H | | H | | |||||||
Real estate investment trusts | | | | | | | | |||||||
Repurchase agreements | | | | | | | | |||||||
Reverse repurchase agreements | | | | | | | | |||||||
Short sales | I | I | | I | | I | I | |||||||
Sovereign debt | | | | | | | | |||||||
Structured investments | | | | | | | | |||||||
Swap agreements | | | | | | | | |||||||
Variable- or floating-rate securities | | | | | | | | |||||||
Warrants | | | | | | | | |||||||
When-issued securities and forward commitments | | | | | | | | |||||||
Zero-coupon and step-coupon securities | | | | | | | | |||||||
A. | The following funds are not authorized to invest in collateralized bond obligations: RiverSource Partners International Select Growth, Columbia Multi-Advisor International Value, RiverSource Partners International Small Cap, and Columbia Multi-Advisor Small Cap Value. | |
B. | The following funds are not authorized to invest in common stock: RiverSource Short Duration U.S. Government, Columbia U.S. Government Mortgage. | |
C. | The following funds are not authorized to invest in convertible securities: RiverSource Short Duration U.S. Government, Columbia U.S. Government Mortgage. | |
D. | While the fund is prohibited from investing in corporate bonds, it may invest in securities classified as corporate bonds if they meet the requirements of Rule 2a-7 of the 1940 Act. | |
E. | The following fund is authorized to invest in inverse floaters: RiverSource Real Estate. | |
F. | The following funds are not authorized to invest in mortgage- and asset-backed securities: RiverSource S&P 500 Index and RiverSource Small Company Index. | |
G. | The following funds are authorized to invest in mortgage dollar rolls: RiverSource Real Estate. | |
H. | The following funds are not authorized to invest in preferred stock: RiverSource Tax-Exempt High Income, RiverSource Intermediate Tax-Exempt, Columbia AMT-Free Tax-Exempt Bond, RiverSource Short Duration U.S. Government, Columbia U.S. Government Mortgage. | |
I. | Except for Seligman California Municipal High-Yield, Seligman California Municipal Quality, Seligman Minnesota Municipal and Seligman New York Municipal, which are prohibited from selling short, the funds are not prohibited from engaging in short sales, however, each fund will seek Board approval prior to utilizing short sales as an active part of its investment strategy. | |
J. | The following funds are not authorized to invest in high yield debt securities: Seligman California Municipal Quality, Seligman Minnesota, Seligman National and Seligman New York. |
*
|
On Sept. 7, 2008, the Federal Housing Finance Agency (FHFA), an agency of the U.S. government, placed the FHLMC and FNMA into conservatorship, a statutory process with the objective of returning the entities to normal business operations. FHFA will act as the conservator to operate the enterprises until they are stabilized. |
Total Brokerage Commissions | ||||||||||||||
Fund | 2010 | 2009 | 2008 | |||||||||||
For funds with fiscal period ending January 31
|
||||||||||||||
Columbia Income Builder Fund
|
$ | 0 | $ | 0 | $ | 0 | (a) | |||||||
Columbia Income Builder Fund II
|
0 | 0 | 0 | (a) | ||||||||||
Columbia Income Builder Fund III
|
0 | 0 | 0 | (a) | ||||||||||
Columbia Portfolio Builder Aggressive
|
0 | 0 | 0 | |||||||||||
Columbia Portfolio Builder Conservative
|
0 | 0 | 0 | |||||||||||
Columbia Portfolio Builder Moderate
|
0 | 0 | 0 | |||||||||||
Columbia Portfolio Builder Moderate Aggressive
|
0 | 0 | 0 | |||||||||||
Columbia Portfolio Builder Moderate Conservative
|
0 | 0 | 0 | |||||||||||
Columbia Portfolio Builder Total Equity
|
0 | 0 | 0 | |||||||||||
RiverSource S&P 500 Index
|
97,970 | 16,486 | 40,706 | |||||||||||
RiverSource Small Company Index
|
517,354 | 123,243 | 108,360 | |||||||||||
For funds with fiscal period ending March 31
|
||||||||||||||
Columbia Equity Value
|
357,285 | 525,309 | 591,525 | |||||||||||
RiverSource Precious Metals and Mining
|
288,177 | 1,067,960 | 960,159 | |||||||||||
For funds with fiscal period ending April 30
|
||||||||||||||
Columbia 120/20 Contrarian Equity
|
26,985 | 38,789 | 38,557 | (b) | ||||||||||
Columbia Recovery and Infrastructure
|
527,728 | 128,097 | (c) | N/A | ||||||||||
Columbia Retirement Plus 2010
|
0 | 0 | 0 | |||||||||||
Columbia Retirement Plus 2015
|
0 | 0 | 0 | |||||||||||
Columbia Retirement Plus 2020
|
0 | 0 | 0 | |||||||||||
Columbia Retirement Plus 2025
|
0 | 0 | 0 | |||||||||||
Columbia Retirement Plus 2030
|
0 | 0 | 0 | |||||||||||
Columbia Retirement Plus 2035
|
0 | 0 | 0 | |||||||||||
Columbia Retirement Plus 2040
|
0 | 0 | 0 | |||||||||||
Columbia Retirement Plus 2045
|
0 | 0 | 0 | |||||||||||
For funds with fiscal period ending May 31
|
||||||||||||||
Columbia High Yield Bond
|
0 | 0 | 0 | |||||||||||
Columbia Multi-Advisor Small Cap Value
|
749,980 | 1,484,768 | 1,179,158 | |||||||||||
Columbia U.S. Government Mortgage
|
9,489 | 14,329 | 17,640 | |||||||||||
RiverSource Partners Fundamental Value
|
146,283 | 298,507 | 292,900 | |||||||||||
RiverSource Short Duration U.S. Government
|
21,796 | 35,642 | 43,210 | |||||||||||
Total Brokerage Commissions | ||||||||||||||
Fund | 2010 | 2009 | 2008 | |||||||||||
For funds with fiscal period ending June 30
|
||||||||||||||
Columbia Dividend Opportunity
|
$ | 402,958 | $ | 673,569 | $ | 412,022 | ||||||||
RiverSource Real Estate
|
164,335 | 205,118 | 173,705 | |||||||||||
For funds with fiscal period ending July 31
|
||||||||||||||
Columbia Floating Rate
|
0 | 12,760 | 861 | |||||||||||
Columbia Income Opportunities
|
0 | 0 | 0 | |||||||||||
Columbia Inflation Protected Securities
|
43,426 | 17,762 | 11,586 | |||||||||||
Columbia Large Core Quantitative
|
2,806,058 | 2,084,675 | 1,951,255 | |||||||||||
Columbia Limited Duration Credit
|
8,523 | 4,188 | 4,138 | |||||||||||
Columbia Money Market
|
0 | 0 | 0 | |||||||||||
RiverSource Disciplined Small and Mid Cap Equity
|
306,343 | 541,939 | 124,754 | |||||||||||
RiverSource Disciplined Small Cap Value
|
139,213 | 178,570 | 75,041 | |||||||||||
For funds with fiscal period ending August 31
|
||||||||||||||
Columbia Diversified Bond
|
121,666 | 95,997 | 111,876 | |||||||||||
Columbia Minnesota Tax-Exempt
|
1,077 | 0 | 3,418 | |||||||||||
RiverSource California Tax-Exempt
|
510 | 0 | 1,938 | |||||||||||
RiverSource New York Tax-Exempt
|
174 | 0 | 724 | |||||||||||
For funds with fiscal period ending
September 30
|
||||||||||||||
Columbia Diversified Equity Income
|
2,243,590 | 4,728,940 | 4,085,552 | |||||||||||
Columbia Large Growth Quantitative
|
459,328 | 649,261 | 150,374 | |||||||||||
Columbia Large Value Quantitative
|
301,600 | 378,324 | 6,631 | (d) | ||||||||||
Columbia Mid Cap Value Opportunity
|
2,620,808 | 2,601,029 | 1,672,775 | |||||||||||
Columbia Strategic Allocation
|
1,004,079 | 1,248,108 | 1,049,954 | |||||||||||
RiverSource Balanced
|
203,600 | 688,814 | 493,156 | |||||||||||
RiverSource Strategic Income Allocation
|
9,858 | 22,351 | 17,707 | |||||||||||
Seligman California Municipal High-Yield
|
128 | 0 | 0 | |||||||||||
Seligman California Municipal Quality
|
135 | 0 | 0 | |||||||||||
Seligman Minnesota Municipal
|
236 | 0 | 0 | |||||||||||
Seligman National Municipal
|
2,240 | 0 | 0 | |||||||||||
Seligman New York Municipal
|
291 | 0 | 0 | |||||||||||
Total Brokerage Commissions | ||||||||||||||
Fund | 2010 | 2009 | 2008 | |||||||||||
For funds with fiscal period ending October 31
|
||||||||||||||
Columbia Absolute Return Currency and Income
|
$ | 0 | $ | 0 | $ | 0 | ||||||||
Columbia Asia Pacific ex-Japan
|
677,863 | 41,731 | (e) | N/A | ||||||||||
Columbia Emerging Markets Bond
|
0 | 0 | 0 | |||||||||||
Columbia Emerging Markets Opportunity
|
2,031,496 | 2,108,103 | 3,346,690 | |||||||||||
Columbia European Equity
|
189,148 | 189,286 | 396,474 | |||||||||||
Columbia Frontier
|
469,635 | 157,476 | 250,561 | |||||||||||
Columbia Global Bond
|
3,201 | 7,292 | 18,925 | |||||||||||
Columbia Global Equity
|
556,835 | 581,962 | 1,185,084 | |||||||||||
Columbia Global Extended Alpha
|
20,490 | 11,397 | 6,647 | (f) | ||||||||||
Columbia Multi-Advisor International Value
|
722,370 | 959,077 | 1,558,333 | |||||||||||
Columbia Seligman Global Technology
|
1,556,216 | 1,319,806 | 1,747,855 | |||||||||||
RiverSource Disciplined International Equity
|
1,350,664 | 500,331 | 514,960 | |||||||||||
RiverSource Partners International Select Growth
|
1,115,321 | 901,265 | 1,690,066 | |||||||||||
RiverSource Partners International Small Cap
|
409,847 | 265,317 | 270,663 | |||||||||||
Threadneedle Global Equity Income
|
31,018 | 18,370 | 5,030 | (f) | ||||||||||
Threadneedle International Opportunity
|
771,810 | 793,899 | 1,020,584 | |||||||||||
For funds with fiscal period ending
November 30
|
||||||||||||||
Columbia AMT-Free Tax-Exempt Bond
|
3,261 | 315 | 6,431 | |||||||||||
Columbia Mid Cap Growth Opportunity
|
2,758,365 | 2,752,727 | 2,165,273 | |||||||||||
RiverSource Intermediate Tax-Exempt
|
451 | 42 | 684 | |||||||||||
RiverSource Tax-Exempt High Income
|
10,757 | 1,080 | 24,531 | |||||||||||
For funds with fiscal period ending
December 31
|
||||||||||||||
Columbia Government Money Market
|
0 | 0 | 0 | |||||||||||
Columbia Seligman Communications and Information
|
9,167,229 | 12,482,079 | 11,241,475 | |||||||||||
Columbia Select Large-Cap Value
|
180,393 | 206,322 | 236,168 | |||||||||||
Columbia Select Smaller-Cap Value
|
163,708 | 123,904 | 240,154 | |||||||||||
RiverSource LaSalle Global Real Estate
|
21,149 | 20,434 | 32,671 | |||||||||||
RiverSource LaSalle Monthly Dividend Real Estate
|
35,406 | 40,941 | 82,218 | |||||||||||
Seligman Capital
|
704,219 | 927,607 | 1,815,753 | |||||||||||
Seligman Growth
|
4,547,802 | 2,228,705 | 1,627,919 | |||||||||||
(a) | The fund changed its fiscal year end effective Jan. 31, 2008 from May 31 to Jan. 31. For 2008, the information shown is for the period from June 1, 2007 through Jan. 31, 2008. For years prior to 2008, the fiscal period ended on May 31. | |
(b) | For the period from Oct. 18, 2007 (when shares became publicly available) to April 30, 2008. | |
(c) | For the period from Feb. 19, 2009 (when shares become publicly available) to April 30, 2009. | |
(d) | For the period from Aug. 1, 2008 (when shares became publicly available) to Sept. 30, 2008. | |
(e) | For the period from July 15, 2009 (when shares became publicly available) to Oct. 31, 2009. | |
(f) | For the period from Aug. 1, 2008 (when shares became publicly available) to Oct. 31, 2008. |
Brokerage directed for research* | |||||||||||||||||||
Amount of |
Turnover rates | ||||||||||||||||||
Amount of |
commissions |
||||||||||||||||||
Fund | transactions | imputed or paid | 2010 | 2009 | |||||||||||||||
For funds with fiscal period ending January 31
|
|||||||||||||||||||
Columbia Income Builder Fund
|
$ | 0 | (a) | $ | 0 | (a) | 41 | % | 39 | % | |||||||||
Columbia Income Builder Fund II
|
0 | (a) | 0 | (a) | 39 | 40 | |||||||||||||
Columbia Income Builder Fund III
|
0 | (a) | 0 | (a) | 46 | 36 | |||||||||||||
Columbia Portfolio Builder Aggressive
|
0 | (a) | 0 | (a) | 28 | 35 | |||||||||||||
Columbia Portfolio Builder Conservative
|
0 | (a) | 0 | (a) | 26 | 27 | |||||||||||||
Columbia Portfolio Builder Moderate
|
0 | (a) | 0 | (a) | 26 | 34 | |||||||||||||
Columbia Portfolio Builder Moderate Aggressive
|
0 | (a) | 0 | (a) | 28 | 33 | |||||||||||||
Columbia Portfolio Builder Moderate Conservative
|
0 | (a) | 0 | (a) | 30 | 29 | |||||||||||||
Columbia Portfolio Builder Total Equity
|
0 | (a) | 0 | (a) | 25 | 28 | |||||||||||||
RiverSource S&P 500 Index
|
0 | 0 | 41 | 5 | |||||||||||||||
RiverSource Small Company Index
|
0 | 0 | 41 | 23 | |||||||||||||||
For funds with fiscal period ending March 31
|
|||||||||||||||||||
Columbia Equity Value
|
95,868,655 | 111,080 | 30 | 21 | |||||||||||||||
RiverSource Precious Metals and Mining
|
42,266,048 | 35,270 | 72 | 340 | (b) | ||||||||||||||
For funds with fiscal period ending April 30
|
|||||||||||||||||||
Columbia 120/20 Contrarian Equity
|
10,891,991 | 10,904 | 31 | 36 | |||||||||||||||
Columbia Recovery and Infrastructure
|
243,972,941 | 295,680 | 11 | 4 | (c) | ||||||||||||||
Columbia Retirement Plus 2010
|
0 | (a) | 0 | (a) | 53 | 55 | |||||||||||||
Columbia Retirement Plus 2015
|
0 | (a) | 0 | (a) | 126 | 53 | |||||||||||||
Columbia Retirement Plus 2020
|
0 | (a) | 0 | (a) | 53 | 52 | |||||||||||||
Columbia Retirement Plus 2025
|
0 | (a) | 0 | (a) | 52 | 47 | |||||||||||||
Columbia Retirement Plus 2030
|
0 | (a) | 0 | (a) | 57 | 47 | |||||||||||||
Columbia Retirement Plus 2035
|
0 | (a) | 0 | (a) | 54 | 48 | |||||||||||||
Columbia Retirement Plus 2040
|
0 | (a) | 0 | (a) | 55 | 50 | |||||||||||||
Columbia Retirement Plus 2045
|
0 | (a) | 0 | (a) | 64 | 51 | |||||||||||||
For funds with fiscal period ending May 31
|
|||||||||||||||||||
Columbia High Yield Bond
|
0 | 0 | 94 | 83 | |||||||||||||||
Columbia Multi-Advisor Small Cap Value
|
25,296,772 | 30,410 | 80 | 120 | |||||||||||||||
Columbia U.S. Government Mortgage
|
0 | 0 | 519 | (d) | 431 | (d) | |||||||||||||
RiverSource Partners Fundamental Value
|
0 | 0 | 9 | 19 | |||||||||||||||
RiverSource Short Duration U.S. Government
|
0 | 0 | 329 | (d) | 217 | (d) | |||||||||||||
For funds with fiscal period ending June 30
|
|||||||||||||||||||
Columbia Dividend Opportunity
|
66,349,011 | 55,087 | 23 | 21 | |||||||||||||||
RiverSource Real Estate
|
6,919,253 | 9,212 | 93 | 51 | |||||||||||||||
Brokerage directed for research* | |||||||||||||||||||
Amount of |
Turnover rates | ||||||||||||||||||
Amount of |
commissions |
||||||||||||||||||
Fund | transactions | imputed or paid | 2010 | 2009 | |||||||||||||||
For funds with fiscal period ending July 31
|
|||||||||||||||||||
Columbia Floating Rate
|
$ | 0 | $ | 0 | 68 | % | 84 | % | |||||||||||
Columbia Income Opportunities
|
0 | 0 | 86 | 81 | |||||||||||||||
Columbia Inflation Protected Securities
|
0 | 0 | 177 | (f) | 160 | (f) | |||||||||||||
Columbia Large Core Quantitative
|
302,209,602 | 175,221 | 75 | 61 | |||||||||||||||
Columbia Limited Duration Credit
|
0 | 0 | 101 | 335 | (d),(g) | ||||||||||||||
Columbia Money Market
|
0 | 0 | N/A | N/A | |||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity
|
21,380,485 | 24,466 | 107 | 104 | |||||||||||||||
RiverSource Disciplined Small Cap Value
|
6,706,217 | 7,860 | 114 | 98 | |||||||||||||||
For funds with fiscal period ending
August 31
|
|||||||||||||||||||
Columbia Diversified Bond
|
0 | 0 | 420 | (d) | 371 | (d) | |||||||||||||
Columbia Minnesota Tax-Exempt
|
0 | 0 | 21 | 33 | |||||||||||||||
RiverSource California Tax-Exempt
|
0 | 0 | 19 | 49 | |||||||||||||||
RiverSource New York Tax-Exempt
|
0 | 0 | 12 | 34 | |||||||||||||||
For funds with fiscal period ending
September 30
|
|||||||||||||||||||
Columbia Diversified Equity Income
|
715,949,314 | 378,675 | 34 | 38 | |||||||||||||||
Columbia Large Growth Quantitative
|
17,600,018 | 4,548 | 98 | 58 | |||||||||||||||
Columbia Large Value Quantitative
|
4,349,506 | 1,271 | 99 | 63 | |||||||||||||||
Columbia Mid Cap Value Opportunity
|
490,003,447 | 491,867 | 50 | 42 | |||||||||||||||
Columbia Strategic Allocation
|
1,141,601 | 1,293 | 114 | 136 | (d) | ||||||||||||||
RiverSource Balanced
|
58,500,411 | 32,333 | 160 | 189 | (d) | ||||||||||||||
RiverSource Strategic Income Allocation
|
0 | 0 | 100 | 143 | (d) | ||||||||||||||
Seligman California Municipal High-Yield
|
0 | 0 | 18 | 63 | (h) | ||||||||||||||
Seligman California Municipal Quality
|
0 | 0 | 21 | 46 | (h) | ||||||||||||||
Seligman Minnesota Municipal
|
0 | 0 | 31 | 29 | (h) | ||||||||||||||
Seligman National Municipal
|
0 | 0 | 20 | 107 | (h) | ||||||||||||||
Seligman New York Municipal
|
0 | 0 | 18 | 53 | (h) | ||||||||||||||
For funds with fiscal period ending
October 31
|
|||||||||||||||||||
Columbia Absolute Return Currency and Income
|
0 | 0 | 0 | 16 | |||||||||||||||
Columbia Asia Pacific ex-Japan
|
216,699,313 | 557,010 | 21 | 4 | (i) | ||||||||||||||
Columbia Emerging Markets Bond
|
0 | 0 | 38 | 62 | |||||||||||||||
Columbia Emerging Markets Opportunity
|
790,802,436 | 1,790,999 | 96 | 149 | |||||||||||||||
Columbia European Equity
|
133,688,585 | 174,225 | 115 | 154 | |||||||||||||||
Columbia Frontier
|
62,648,376 | 77,789 | 160 | 162 | |||||||||||||||
Columbia Global Bond
|
0 | 0 | 62 | 69 | |||||||||||||||
Columbia Global Equity
|
280,057,610 | 455,880 | 54 | 81 | |||||||||||||||
Columbia Global Extended Alpha
|
9,351,743 | 15,992 | 128 | 133 | |||||||||||||||
Brokerage directed for research* | |||||||||||||||||||
Amount of |
Turnover rates | ||||||||||||||||||
Amount of |
commissions |
||||||||||||||||||
Fund | transactions | imputed or paid | 2010 | 2009 | |||||||||||||||
Columbia Multi-Advisor International Value
|
$ | 185,780,737 | $ | 120,229 | 34 | % | 63 | % | |||||||||||
Columbia Seligman Global Technology
|
48,298 | 91,337 | 111 | 150 | |||||||||||||||
RiverSource Disciplined International Equity
|
0 | 0 | 137 | 85 | |||||||||||||||
RiverSource Partners International Select Growth
|
43,225,040 | 52,296 | 101 | 90 | |||||||||||||||
RiverSource Partners International Small Cap
|
736,118 | 367 | 77 | 174 | |||||||||||||||
Threadneedle Global Equity Income
|
14,640,902 | 27,893 | 35 | 45 | |||||||||||||||
Threadneedle International Opportunity
|
558,502,248 | 740,302 | 80 | 97 | |||||||||||||||
For funds with fiscal period ending
November 30
|
|||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond
|
0 | 0 | 23 | 29 | |||||||||||||||
Columbia Mid Cap Growth Opportunity
|
562,623,170 | 720,519 | 96 | 126 | |||||||||||||||
RiverSource Intermediate Tax-Exempt
|
0 | 0 | 9 | 26 | |||||||||||||||
RiverSource Tax-Exempt High Income
|
0 | 0 | 13 | 30 | |||||||||||||||
For funds with fiscal period ending
December 31
|
|||||||||||||||||||
Columbia Government Money Market
|
N/A | N/A | N/A | N/A | |||||||||||||||
Columbia Select Large-Cap Value
|
27,222,062 | 31,000 | 12 | 24 | |||||||||||||||
Columbia Select Smaller-Cap Value
|
1,854,489 | 3,350 | 5 | 7 | |||||||||||||||
Columbia Seligman Communications and Information
|
1,435,031,366 | 2,108,407 | 105 | 150 | |||||||||||||||
RiverSource LaSalle Global Real Estate
|
0 | 0 | 59 | 83 | |||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate
|
0 | 0 | 53 | 87 | |||||||||||||||
Seligman Capital
|
4,231,471 | 4,109 | 155 | 139 | |||||||||||||||
Seligman Growth
|
318,239,627 | 335,732 | 153 | 142 | |||||||||||||||
* | Reported numbers include third party soft dollar commissions and portfolio manager directed commissions directed for research. Columbia Management also receives proprietary research from brokers, but these amounts have not been included in the table. | |
(a) | The underlying funds may have directed transactions to firms in exchange for research services. | |
(b) | Higher turnover rates may result in higher brokerage expenses and taxes. The higher turnover rate can be primarily attributed to repositioning the fund to a smaller number of holdings as it worked through risk management and secondarily, market volatility made up the balance of the turnover rate. | |
(c) | For the period from Feb. 19, 2009 (when shares became publicly available) to April 30, 2009. | |
(d) | Includes mortgage dollar rolls. If mortgage dollar roll transactions were excluded, the portfolio turnover would have been: 286% and 199% for RiverSource Short Duration U.S. Government Fund and 246% and 162% for Columbia U.S. Government Mortgage Fund for the fiscal periods ended May 31, 2010 and 2009, respectively; 229% and 184% for Columbia Diversified Bond for the fiscal periods ended Aug. 31, 2010 and 2009, respectively; 220% for Columbia Limited Duration Credit Fund for the fiscal period ended July 31, 2009; 93% and 110% for RiverSource Balanced Fund, 113% and 116% for Columbia Strategic Allocation Fund and 97% and 112% for RiverSource Strategic Income Allocation Fund for the fiscal periods ended Sept. 30, 2010 and 2009, respectively. | |
(e) | A significant portion of the turnover was the result of roll transactions in liquid derivatives and Treasury securities. In the derivative transactions, positions in expiring contracts are liquidated and simultaneously replaced with positions in new contracts with equivalent characteristics. In the Treasury transactions, existing holdings are sold to purchase newly issued securities with slightly longer maturity dates. Although these transactions affect the turnover rate of the portfolio, they do not change the risk exposure or result in material transaction costs. The remaining turnover resulted from strategic reallocations and relative value trading. After transaction costs, this activity is expected to enhance the returns on the fund. | |
(f) | The funds turnover rate has historically been low. The increase in turnover rate is primarily a result of repositioning holdings after management changes in the first quarter of 2009 and following a more active management style. | |
(g) | The turnover was a result of a combination of a change in the investment strategy and the growth of the fund. The fund experienced high net inflows in the second quarter of 2009, increasing the NAV. | |
(h) | The funds turnover rate has historically been low. The increase in turnover rate is primarily a result of repositioning holdings after management changes in the second quarter of 2009, and additionally for Seligman National Municipal, mergers of 14 state-specific Seligman Municipal Funds during the period into the Fund. | |
(i) | For the period from July 15, 2009 (when the Fund became publicly available) to Oct. 31, 2009. |
Value of
securities owned at |
|||||||
Fund | Issuer | end of fiscal period | |||||
For funds with fiscal period ending January 31
|
|||||||
Columbia Income Builder Fund
|
None | N/A | |||||
Columbia Income Builder Fund II
|
None | N/A | |||||
Columbia Income Builder Fund III
|
None | N/A | |||||
Columbia Portfolio Builder Aggressive
|
None | N/A | |||||
Columbia Portfolio Builder Conservative
|
None | N/A | |||||
Columbia Portfolio Builder Moderate
|
None | N/A | |||||
Columbia Portfolio Builder Moderate Aggressive
|
None | N/A | |||||
Columbia Portfolio Builder Moderate Conservative
|
None | N/A | |||||
Columbia Portfolio Builder Total Equity
|
None | N/A | |||||
RiverSource S&P 500 Index
|
Ameriprise Financial | $ | 147,339 | ||||
Charles Schwab | 199,837 | ||||||
Citigroup | 825,442 | ||||||
E*Trade Financial | 48,192 | ||||||
Franklin Resources | 216,282 | ||||||
Goldman Sachs Group | 983,038 | ||||||
JPMorgan Chase & Co. | 1,947,078 | ||||||
Legg Mason | 41,068 | ||||||
Morgan Stanley | 489,323 | ||||||
PNC Financial Services Group | 347,103 | ||||||
RiverSource Small Company Index
|
Investment Technology Group | 932,730 | |||||
LaBranche & Co. | 159,627 | ||||||
optionsXpress | 645,578 | ||||||
Piper Jaffray Companies | 677,351 | ||||||
Stifel Financial | 1,463,301 | ||||||
For funds with fiscal period ending March 31
|
|||||||
Columbia Equity Value
|
Goldman Sachs Group | 11,067,062 | |||||
JPMorgan Chase & Co. | 13,784,298 | ||||||
Morgan Stanley | 7,911,083 | ||||||
RiverSource Precious Metals and Mining
|
None | N/A | |||||
For funds with fiscal period ending April 30
|
|||||||
Columbia 120/20 Contrarian Equity
|
None | N/A | |||||
Columbia Recovery and Infrastructure
|
None | N/A | |||||
Columbia Retirement Plus 2010
|
None | N/A | |||||
Columbia Retirement Plus 2015
|
None | N/A | |||||
Columbia Retirement Plus 2020
|
None | N/A | |||||
Columbia Retirement Plus 2025
|
None | N/A | |||||
Columbia Retirement Plus 2030
|
None | N/A | |||||
Columbia Retirement Plus 2035
|
None | N/A | |||||
Columbia Retirement Plus 2040
|
None | N/A | |||||
Columbia Retirement Plus 2045
|
None | N/A | |||||
Value of
securities owned at |
|||||||
Fund | Issuer | end of fiscal period | |||||
For funds with fiscal period ending May 31
|
|||||||
Columbia High Yield Bond
|
Lehman Brothers Holdings* | $ | 1,322,250 | ||||
Columbia Multi-Advisor Small Cap Value
|
Raymond James Financial | 1,696,199 | |||||
Columbia U.S. Government Mortgage
|
Bear Stearns Asset Backed Securities Trust | 339,729 | |||||
Bear Stearns Commercial Mtge Securities | 3,164,927 | ||||||
ChaseFlex Trust | 398,308 | ||||||
Citigroup Mortgage Loan Trust, Inc. | 1,106,996 | ||||||
Credit Suisse Mortgage Capital Ctfs | 7,823,287 | ||||||
GS Mortgage Securities Corp. | 6,427,923 | ||||||
Jefferies & Co. | 2,284,896 | ||||||
JPMorgan Chase Commercial Mtge Securities | 990,893 | ||||||
JPMorgan Mtge Trust | 667,343 | ||||||
JPMorgan Reremic | 534,987 | ||||||
RiverSource Partners Fundamental Value
|
Goldman Sachs Group, Inc. | 3,039,588 | |||||
JPMorgan Chase & Co. | 2,342,740 | ||||||
RiverSource Short Duration U.S. Government
|
Bear Stearns Asset Backed Securities Trust | 782,912 | |||||
Bear Stearns Commercial Mtge Securities | 1,607,987 | ||||||
Citigroup Funding | 18,414,224 | ||||||
Citigroup Mortgage Loan Trust, Inc. | 3,441,463 | ||||||
Credit Suisse Mortgage Capital Ctfs | 7,919,291 | ||||||
CS First Boston Mtge Securities | 968,402 | ||||||
Goldman Sachs Group | 7,829,724 | ||||||
Jefferies & Co. | 1,062,793 | ||||||
JPMorgan Chase Commercial Mtge Securities | 3,998,961 | ||||||
JPMorgan Chase & Co. | 2,966,688 | ||||||
JPMorgan Mtge Trust | 2,196,977 | ||||||
Morgan Stanley | 8,350,389 | ||||||
Morgan Stanley Capital I | 4,934,943 | ||||||
For funds with fiscal period ending June 30
|
|||||||
Columbia Dividend Opportunity
|
Goldman Sachs Group | 8,911,501 | |||||
JPMorgan Chase & Co. | 5,407,407 | ||||||
Morgan Stanley | 10,581,853 | ||||||
RiverSource Real Estate
|
None | N/A | |||||
For funds with fiscal period ending July 31
|
|||||||
Columbia Floating Rate
|
Nuveen Investments | 887,000 | |||||
Columbia Income Opportunities
|
E*TRADE Financial | 4,180,938 | |||||
Columbia Inflation Protected Securities
|
Jefferies & Co. | 925,026 | |||||
LB-UBS Commercial Mortgage Trust | 2,711,440 | ||||||
Columbia Large Core Quantitative
|
Citigroup | 89,448,117 | |||||
Franklin Resources | 10,199,918 | ||||||
Goldman Sachs Group | 18,407,431 | ||||||
PNC Financial Services Group | 55,870,310 | ||||||
Columbia Limited Duration Credit
|
Citigroup | 4,988,135 | |||||
Goldman Sachs Group | 5,629,686 | ||||||
JPMorgan Chase & Co. | 4,363,771 | ||||||
Lehman Brothers Holdings* | 95,700 | ||||||
Merrill Lynch & Co. | 856,523 | ||||||
Morgan Stanley | 5,284,355 | ||||||
Columbia Money Market
|
Citigroup Funding | 100,983,942 | |||||
JPMorgan Chase & Co. | 87,793,771 | ||||||
Value of
securities owned at |
|||||||
Fund | Issuer | end of fiscal period | |||||
RiverSource Disciplined Small and Mid Cap Equity
|
Investment Technology Group | $ | 93,176 | ||||
Jefferies Group, Inc. | 76,613 | ||||||
Knight Capital Group Cl A | 342,359 | ||||||
optionsXpress Holdings | 113,864 | ||||||
Raymond James Financial | 1,524,868 | ||||||
RiverSource Disciplined Small Cap Value
|
Knight Capital Group Cl A | 251,175 | |||||
Westwood Holdings Group | 104,596 | ||||||
For funds with fiscal period ending August 31
|
|||||||
Columbia Diversified Bond
|
Bear Stearns Adjustable Rate Mortgage Trust | 5,214,463 | |||||
Bear Stearns Alt-A Trust | 22,769 | ||||||
Bear Stearns Asset-Backed Securities Trust | 3,855,171 | ||||||
Bear Stearns Commercial Mortgage Securities | 2,278,870 | ||||||
Bear Stearns Mortgage Funding Trust | 680,868 | ||||||
ChaseFlex Trust | 1,470,112 | ||||||
Citigroup, Inc. | 44,244,737 | ||||||
Citigroup Commercial Mortgage Trust | 3,387,078 | ||||||
Citigroup/Deutsche Bank Commercial Mortgage Trust | 25,824,909 | ||||||
Citigroup Mortgage Loan Trust, Inc. | 37,740,867 | ||||||
Credit Suisse Mortgage Capital Certificates | 59,851,574 | ||||||
Credit Suisse First Boston Mortgage Securities Corp. | 15,808,795 | ||||||
GS Mortgage Securities Corp. II | 46,506,875 | ||||||
The Goldman Sachs Group, Inc. | 37,320,156 | ||||||
Jefferies & Co., Inc. | 6,723,914 | ||||||
JPMorgan Chase & Co. | 41,539,862 | ||||||
JPMorgan Chase Commercial Mortgage Securities Corp. | 104,835,640 | ||||||
JPMorgan Mortgage Trust | 3,844,284 | ||||||
JPMorgan Remeric | 4,562,368 | ||||||
LB-UBS Commercial Mortgage Trust | 35,858,704 | ||||||
Lehman Brothers Holdings, Inc.* | 2,204,363 | ||||||
Merrill Lynch Mortgage Trust | 1,656,762 | ||||||
Morgan Stanley | 36,602,643 | ||||||
Morgan Stanley Capital I | 16,918,724 | ||||||
Morgan Stanley Reremic Trust | 50,927,555 | ||||||
Columbia Minnesota Tax-Exempt
|
None | N/A | |||||
RiverSource California Tax-Exempt
|
None | N/A | |||||
RiverSource New York Tax-Exempt
|
None | N/A | |||||
For funds with fiscal period ending
September 30
|
|||||||
Columbia Diversified Equity Income
|
The Goldman Sachs Group, Inc. | 89,866,879 | |||||
JPMorgan Chase & Co. | 108,516,784 | ||||||
Morgan Stanley | 58,963,161 | ||||||
Columbia Large Growth Quantitative
|
Franklin Resources, Inc. | 2,794,152 | |||||
The Goldman Sachs Group, Inc. | 12,973,453 | ||||||
Columbia Large Value Quantitative
|
Citigroup, Inc. | 1,992,549 | |||||
Franklin Resources, Inc. | 1,624,238 | ||||||
JPMorgan Chase & Co. | 10,305,549 | ||||||
Morgan Stanley | 1,373,146 | ||||||
PNC Financial Services Group, Inc. | 4,267,366 | ||||||
Columbia Mid Cap Value Opportunity
|
None | N/A | |||||
Value of
securities owned at |
|||||||
Fund | Issuer | end of fiscal period | |||||
Columbia Strategic Allocation
|
Arlington Asset Investment Corp. | $ | 219,114 | ||||
Citigroup, Inc. | 15,439,449 | ||||||
Citigroup/Deutsche Bank Commercial Mortgage Trust | 188,494 | ||||||
Credit Suisse Group | 829,354 | ||||||
E*TRADE Financial Corp. | 332,338 | ||||||
Franklin Resources, Inc. | 2,361,742 | ||||||
Goldman, Sachs & Co. | 1,000,000 | ||||||
The Goldman Sachs Group, Inc. | 8,932,874 | ||||||
GS Mortgage Securities II | 905,693 | ||||||
JPMorgan Chase & Co. | 6,124,435 | ||||||
JPMorgan Chase Commercial Mortgage Securities | 2,077,211 | ||||||
Knight Capital Group Class A | 297,501 | ||||||
LB-UBS Commercial Mortgage Trust | 600,961 | ||||||
Morgan Stanley | 7,217,346 | ||||||
Morgan Stanley Capital 1 | 1,340,760 | ||||||
PNC Financial Services Group, Inc. | 6,759,929 | ||||||
RiverSource Balanced
|
Bear Stearns Adjustable Rate Mortgage Trust | 707,108 | |||||
Bear Stearns Alt-A Trust | 12,628 | ||||||
Bear Stearns Commercial Mortgage Securities | 105,526 | ||||||
ChaseFlex Trust | 886,530 | ||||||
Citigroup, Inc. | 1,235,297 | ||||||
Citigroup Commercial Mortgage Trust | 378,416 | ||||||
Citigroup/Deutsche Bank Commercial Mortgage Trust | 1,070,537 | ||||||
Citigroup Mortgage Loan Trust, Inc. | 1,530,851 | ||||||
Credit Suisse First Boston Mortgage Securities Corp. | 523,062 | ||||||
GS Mortgage Securities Corp. II | 981,482 | ||||||
The Goldman Sachs Group, Inc. | 8,362,089 | ||||||
JPMorgan Chase & Co. | 11,530,111 | ||||||
JPMorgan Chase Commercial Mortgage Securities | 4,481,936 | ||||||
LB-UBS Commercial Mortgage Trust | 2,374,648 | ||||||
Lehman Brothers Holdings, Inc.* | 184,475 | ||||||
Merrill Lynch Mortgage Trust | 139,461 | ||||||
Morgan Stanley | 7,321,554 | ||||||
Morgan Stanley Capital 1 | 1,603,837 | ||||||
Morgan Stanley Remeric Trust | 2,953,553 | ||||||
Morgan Stanley Resecuritization Trust | 446,286 | ||||||
Value of
securities owned at |
|||||||
Fund | Issuer | end of fiscal period | |||||
RiverSource Strategic Income Allocation
|
Bear Stearns Commercial Mortgage Securities | $ | 688,490 | ||||
Citigroup, Inc. | 780,000 | ||||||
Citigroup/Deutsche Bank Commercial Mortgage Trust | 1,037,930 | ||||||
Credit Suisse First Boston Mortgage Securities Corp. | 818,019 | ||||||
E*TRADE Financial Corp. | 1,101,888 | ||||||
The Goldman Sachs Group, Inc. | 790,509 | ||||||
JPMorgan Chase & Co. | 510,692 | ||||||
JPMorgan Chase Commercial Mortgage Securities | 611,116 | ||||||
Lehman Brothers Holdings, Inc.* | 21,150 | ||||||
Morgan Stanley | 1,776,142 | ||||||
Nuveen Investments, Inc. | 101,120 | ||||||
Seligman California Municipal High-Yield
|
None | N/A | |||||
Seligman California Municipal Quality
|
None | N/A | |||||
Seligman Minnesota Municipal
|
None | N/A | |||||
Seligman National Municipal
|
None | N/A | |||||
Seligman New York Municipal
|
None | N/A | |||||
For funds with fiscal period ending
October 31
|
|||||||
Columbia Absolute Return Currency
and Income
|
GS Mortgage Securities II | 2,818,152 | |||||
Lehman Brothers Holdings, Inc.* | 136,000 | ||||||
Columbia Asia Pacific ex-Japan
|
None | N/A | |||||
Columbia Emerging Markets Bond
|
Morgan Stanley | 1,195,868 | |||||
Columbia Emerging Markets Opportunity
|
None | N/A | |||||
Columbia European Equity
|
Credit Suisse Group AG | 946,036 | |||||
Columbia Frontier
|
E*Trade Financial Corp. | 1,124,109 | |||||
Columbia Global Bond
|
Citigroup | 1,643,537 | |||||
Citigroup Commercial Mortgage Trust | 1,822,872 | ||||||
Credit Suisse First Boston Mortgage Securities Corp. | 464,637 | ||||||
GS Mortgage Securities Corp. II | 1,167,396 | ||||||
The Goldman Sachs Group, Inc. | 1,445,779 | ||||||
JPMorgan Chase & Co. | 2,170,720 | ||||||
JPMorgan Chase Commercial Mortgage Securities Corp | 2,723,990 | ||||||
LB-UBS Commercial Mortgage Trust | 3,368,905 | ||||||
Morgan Stanley | 3,127,492 | ||||||
Morgan Stanley Capital 1 | 1,388,870 | ||||||
Columbia Global Equity
|
Citigroup, Inc. | 4,727,308 | |||||
Credit Suisse Group AG | 3,581,884 | ||||||
JPMorgan Chase & Co. | 5,390,197 | ||||||
Columbia Global Extended Alpha
|
None | N/A | |||||
Columbia Multi-Advisor International Value
|
None | N/A | |||||
Columbia Seligman Global Technology
|
None | N/A | |||||
RiverSource Disciplined International Equity
|
Credit Suisse Group SA | 2,437,141 | |||||
RiverSource Partners International Select Growth
|
None | N/A | |||||
RiverSource Partners International Small Cap
|
None | N/A | |||||
Threadneedle Global Equity Income
|
None | N/A | |||||
Threadneedle International Opportunity
|
None | N/A | |||||
Value of
securities owned at |
|||||||
Fund | Issuer | end of fiscal period | |||||
For funds with fiscal period ending
November 30
|
|||||||
Columbia AMT-Free Tax-Exempt Bond
|
None | N/A | |||||
Columbia Mid Cap Growth Opportunity
|
E*TRADE Financial Corp. | $ | 5,588,096 | ||||
Stifel Financial Corp. | 1,108,592 | ||||||
RiverSource Intermediate Tax-Exempt
|
None | N/A | |||||
RiverSource Tax-Exempt High Income
|
None | N/A | |||||
For funds with fiscal period ending
December 31
|
|||||||
Columbia Government Money Market
|
None | N/A | |||||
Columbia Select Large-Cap Value
|
JPMorgan Chase & Co. | 19,089,000 | |||||
Morgan Stanley | 10,884,000 | ||||||
Columbia Select Smaller-Cap Value
|
None | N/A | |||||
Columbia Seligman Communications and Information
|
None | N/A | |||||
RiverSource LaSalle Global Real Estate
|
None | N/A | |||||
RiverSource LaSalle Monthly Dividend Real Estate
|
None | N/A | |||||
RiverSource Tax Exempt Money Market
|
None | N/A | |||||
Seligman Capital
|
Affiliated Managers Group, Inc. | 3,571,920 | |||||
Seligman Growth
|
JPMorgan Chase & Co. | 15,754,788 | |||||
Morgan Stanley | 11,950,632 | ||||||
* | Subsequent to Aug. 31, 2008. Lehman Brothers Holdings filed a Chapter 11 bankruptcy petition. |
Percent of |
|||||||||||||||||||||||||||||
aggregate |
|||||||||||||||||||||||||||||
Aggregate |
dollar |
Aggregate |
Aggregate |
||||||||||||||||||||||||||
dollar |
amount of |
dollar |
dollar |
||||||||||||||||||||||||||
amount of |
Percent of |
transactions |
amount of |
amount of |
|||||||||||||||||||||||||
commissions |
aggregate |
involving |
commissions |
commissions |
|||||||||||||||||||||||||
Nature of |
paid to |
brokerage |
payment of |
paid to |
paid to |
||||||||||||||||||||||||
Broker | affiliation | broker | commissions | commissions | broker | broker | |||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | ||||||||||||||||||||||||||
For funds with fiscal period ending January 31 | |||||||||||||||||||||||||||||
Columbia Income Builder Fund | None | | | | | $ | 0 | $ | 0 | (a) | |||||||||||||||||||
Columbia Income Builder Fund II | None | | | | | 0 | 0 | (a) | |||||||||||||||||||||
Columbia Income Builder Fund III | None | | | | | 0 | 0 | (a) | |||||||||||||||||||||
Columbia Portfolio Builder Aggressive | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Portfolio Builder Conservative | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Portfolio Builder Moderate | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Portfolio Builder Total Equity | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource S&P 500 Index | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Small Company Index | None | | | | | 0 | 0 | ||||||||||||||||||||||
For funds with fiscal period ending March 31 | |||||||||||||||||||||||||||||
Columbia Equity Value | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Precious Metals and Mining | None | | | | | 0 | 0 | ||||||||||||||||||||||
Percent of |
|||||||||||||||||||||||||||||
aggregate |
|||||||||||||||||||||||||||||
Aggregate |
dollar |
Aggregate |
Aggregate |
||||||||||||||||||||||||||
dollar |
amount of |
dollar |
dollar |
||||||||||||||||||||||||||
amount of |
Percent of |
transactions |
amount of |
amount of |
|||||||||||||||||||||||||
commissions |
aggregate |
involving |
commissions |
commissions |
|||||||||||||||||||||||||
Nature of |
paid to |
brokerage |
payment of |
paid to |
paid to |
||||||||||||||||||||||||
Broker | affiliation | broker | commissions | commissions | broker | broker | |||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | ||||||||||||||||||||||||||
For funds with fiscal period ending April 30 | |||||||||||||||||||||||||||||
Columbia 120/20 Contrarian Equity | None | | | | | $ | 0 | $ | 0 | (b) | |||||||||||||||||||
Columbia Recovery and Infrastructure | None | | | | | 0 | (c) | N/A | |||||||||||||||||||||
Columbia Retirement Plus 2010 | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Retirement Plus 2015 | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Retirement Plus 2020 | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Retirement Plus 2025 | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Retirement Plus 2030 | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Retirement Plus 2035 | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Retirement Plus 2040 | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Retirement Plus 2045 | None | | | | | 0 | 0 | ||||||||||||||||||||||
For funds with fiscal period ending May 31 | |||||||||||||||||||||||||||||
Columbia High Yield Bond | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Multi-Advisor Small Cap Value | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia U.S. Government Mortgage | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Partners Fundamental Value | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Short Duration U.S. Government |
None | | | | | 0 | 0 | ||||||||||||||||||||||
For funds with fiscal period ending June 30 | |||||||||||||||||||||||||||||
Columbia Dividend Opportunity | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Real Estate | None | | | | | 0 | 0 | ||||||||||||||||||||||
Percent of |
|||||||||||||||||||||||||||||
aggregate |
|||||||||||||||||||||||||||||
Aggregate |
dollar |
Aggregate |
Aggregate |
||||||||||||||||||||||||||
dollar |
amount of |
dollar |
dollar |
||||||||||||||||||||||||||
amount of |
Percent of |
transactions |
amount of |
amount of |
|||||||||||||||||||||||||
commissions |
aggregate |
involving |
commissions |
commissions |
|||||||||||||||||||||||||
Nature of |
paid to |
brokerage |
payment of |
paid to |
paid to |
||||||||||||||||||||||||
Broker | affiliation | broker | commissions | commissions | broker | broker | |||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | ||||||||||||||||||||||||||
For funds with fiscal period ending July 31 | |||||||||||||||||||||||||||||
Columbia Floating Rate | None | | | | | $ | 0 | $ | 0 | ||||||||||||||||||||
Columbia Income Opportunities | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Inflation Protected Securities | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Large Core Quantitative | None | 0 | 0 | ||||||||||||||||||||||||||
Columbia Limited Duration Credit | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Money Market | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Disciplined Small Cap Value |
None | | | | | 0 | 0 | ||||||||||||||||||||||
For funds with fiscal period ending August 31 | |||||||||||||||||||||||||||||
Columbia Diversified Bond | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Minnesota Tax-Exempt | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource California Tax-Exempt | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource New York Tax-Exempt | None | | | | | 0 | 0 | ||||||||||||||||||||||
For funds with fiscal period ending September 30 | |||||||||||||||||||||||||||||
Columbia Diversified Equity Income | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Large Growth Quantitative | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Large Value Quantitative | None | | | | | 0 | 0 | (d) | |||||||||||||||||||||
Columbia Mid Cap Value Opportunity | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Strategic Allocation | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Balanced | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Strategic Income Allocation | None | | | | | 0 | 0 | ||||||||||||||||||||||
Percent of |
|||||||||||||||||||||||||||||
aggregate |
|||||||||||||||||||||||||||||
Aggregate |
dollar |
Aggregate |
Aggregate |
||||||||||||||||||||||||||
dollar |
amount of |
dollar |
dollar |
||||||||||||||||||||||||||
amount of |
Percent of |
transactions |
amount of |
amount of |
|||||||||||||||||||||||||
commissions |
aggregate |
involving |
commissions |
commissions |
|||||||||||||||||||||||||
Nature of |
paid to |
brokerage |
payment of |
paid to |
paid to |
||||||||||||||||||||||||
Broker | affiliation | broker | commissions | commissions | broker | broker | |||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | ||||||||||||||||||||||||||
Seligman California Municipal High-Yield | None | | | | | $ | 0 | $ | 0 | ||||||||||||||||||||
Seligman California Municipal Quality | None | | | | | 0 | 0 | ||||||||||||||||||||||
Seligman Minnesota Municipal | None | | | | | 0 | 0 | ||||||||||||||||||||||
Seligman National Municipal | None | | | | | 0 | 0 | ||||||||||||||||||||||
Seligman New York Municipal | None | | | | | 0 | 0 | ||||||||||||||||||||||
For funds with fiscal period ending October 31 | |||||||||||||||||||||||||||||
Columbia Absolute Return Currency and Income | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Asia Pacific ex-Japan | None | | | | | 0 | (e) | N/A | |||||||||||||||||||||
Columbia Emerging Markets Bond | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Emerging Markets Opportunity | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia European Equity | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Frontier | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Global Bond | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Global Equity | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Global Extended Alpha | None | | | | | 0 | 0 | (f) | |||||||||||||||||||||
Columbia Multi-Advisor International Value | Sanford Bernstein | (1 | ) | $ | 0 | | | 0 | 1,677 | ||||||||||||||||||||
Columbia Seligman Global Technology | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Disciplined International Equity | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Partners International Select Growth |
Merrill Lynch Capital Markets |
(2 | ) | 585 | 0 | ||||||||||||||||||||||||
RiverSource Partners International Small Cap | None | | | | | 0 | 0 | ||||||||||||||||||||||
Threadneedle Global Equity Income | None | | | | | 0 | 0 | (f) | |||||||||||||||||||||
Threadneedle International Opportunity | None | | | | | 0 | 0 | ||||||||||||||||||||||
Percent of |
|||||||||||||||||||||||||||||
aggregate |
|||||||||||||||||||||||||||||
Aggregate |
dollar |
Aggregate |
Aggregate |
||||||||||||||||||||||||||
dollar |
amount of |
dollar |
dollar |
||||||||||||||||||||||||||
amount of |
Percent of |
transactions |
amount of |
amount of |
|||||||||||||||||||||||||
commissions |
aggregate |
involving |
commissions |
commissions |
|||||||||||||||||||||||||
Nature of |
paid to |
brokerage |
payment of |
paid to |
paid to |
||||||||||||||||||||||||
Broker | affiliation | broker | commissions | commissions | broker | broker | |||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | ||||||||||||||||||||||||||
For funds with fiscal period ending November 30 | |||||||||||||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond | None | | | | | $ | 0 | $ | 0 | ||||||||||||||||||||
Columbia Mid Cap Growth Opportunity | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Intermediate Tax-Exempt | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource Tax-Exempt High Income | None | | | | | 0 | 0 | ||||||||||||||||||||||
For funds with fiscal period ending December 31 | |||||||||||||||||||||||||||||
Columbia Government Money Market | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Select Large-Cap Value | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Select Smaller-Cap Value | None | | | | | 0 | 0 | ||||||||||||||||||||||
Columbia Seligman Communications and Information | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource LaSalle Global Real Estate | None | | | | | 0 | 0 | ||||||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate | None | | | | | 0 | 0 | ||||||||||||||||||||||
Seligman Capital | None | | | | | 0 | 0 | ||||||||||||||||||||||
Seligman Growth | None | | | | | 0 | 0 | ||||||||||||||||||||||
(1) | Affiliate of AllianceBernstein L.P., a subadviser. | |
(2) | Affiliate of Columbia Wanger Asset Management, L.P., a subadviser. | |
(a) | The fund changed its fiscal year end effective Jan. 31, 2008 from May 31 to Jan. 31. For 2008, the information shown is for the period from June 1, 2007 through Jan. 31, 2008. For years prior to 2008, the fiscal period ended on May 31. | |
(b) | For the period from Oct. 18, 2007 (when shares became publicly available) to April 30, 2008. | |
(c) | For the period from Feb. 19, 2009 (when shares became publicly available) to April 30, 2009. | |
(d) | For the period from Aug. 1, 2008 (when shares became publicly available) to Sept. 30, 2008. | |
(e) | For the period from July 15, 2009 (when shares became publicly available) to Oct. 31, 2009. | |
(f) | For the period from Aug. 1, 2008 (when shares became publicly available) to Oct. 31, 2008. |
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
For funds with fiscal period ending January 31
|
|||||||||||||||
Columbia Income Builder Fund
|
|||||||||||||||
Class A
|
$ | 191,609,144 | 19,630,870 | $ | 9.76 | ||||||||||
Class B
|
24,940,436 | 2,547,850 | 9.79 | ||||||||||||
Class C
|
12,407,352 | 1,267,551 | 9.79 | ||||||||||||
Class R4
|
9,771 | 1,000 | 9.774 | ||||||||||||
Columbia Income Builder Fund II
|
|||||||||||||||
Class A
|
336,673,414 | 35,567,971 | 9.47 | ||||||||||||
Class B
|
35,116,660 | 3,701,134 | 9.49 | ||||||||||||
Class C
|
15,534,369 | 1,636,863 | 9.49 | ||||||||||||
Class R4
|
18,248 | 1,926 | 9.47 | ||||||||||||
Columbia Income Builder Fund III
|
|||||||||||||||
Class A
|
169,340,312 | 17,933,995 | 9.44 | ||||||||||||
Class B
|
17,093,815 | 1,803,903 | 9.48 | ||||||||||||
Class C
|
8,762,187 | 925,152 | 9.47 | ||||||||||||
Class R4
|
36,268 | 3,844 | 9.43 | ||||||||||||
Columbia Portfolio Builder Aggressive
|
|||||||||||||||
Class A
|
411,905,718 | 47,812,554 | 8.62 | ||||||||||||
Class B
|
69,631,727 | 8,121,597 | 8.57 | ||||||||||||
Class C
|
26,852,423 | 3,157,443 | 8.50 | ||||||||||||
Class R4
|
391,084 | 45,318 | 8.63 | ||||||||||||
Columbia Portfolio Builder Conservative
|
|||||||||||||||
Class A
|
188,324,159 | 19,284,494 | 9.77 | ||||||||||||
Class B
|
38,996,195 | 4,007,171 | 9.73 | ||||||||||||
Class C
|
18,361,827 | 1,886,873 | 9.73 | ||||||||||||
Class R4
|
68,268 | 7,043 | 9.69 | ||||||||||||
Columbia Portfolio Builder Moderate
|
|||||||||||||||
Class A
|
936,670,111 | 99,022,922 | 9.46 | ||||||||||||
Class B
|
163,374,895 | 17,355,229 | 9.41 | ||||||||||||
Class C
|
60,532,854 | 6,431,212 | 9.41 | ||||||||||||
Class R4
|
221,015 | 23,381 | 9.45 | ||||||||||||
Columbia Portfolio Builder Moderate Aggressive
|
|||||||||||||||
Class A
|
848,711,038 | 93,990,508 | 9.03 | ||||||||||||
Class B
|
143,830,084 | 16,003,632 | 8.99 | ||||||||||||
Class C
|
44,907,699 | 5,004,198 | 8.97 | ||||||||||||
Class R4
|
842,067 | 93,149 | 9.04 | ||||||||||||
Columbia Portfolio Builder Moderate Conservative
|
|||||||||||||||
Class A
|
335,708,725 | 34,921,226 | 9.61 | ||||||||||||
Class B
|
60,124,214 | 6,274,529 | 9.58 | ||||||||||||
Class C
|
26,207,827 | 2,735,790 | 9.58 | ||||||||||||
Class R4
|
28,861 | 3,017 | 9.57 | ||||||||||||
Columbia Portfolio Builder Total Equity
|
|||||||||||||||
Class A
|
348,269,405 | 42,472,580 | 8.20 | ||||||||||||
Class B
|
56,041,391 | 6,869,051 | 8.16 | ||||||||||||
Class C
|
25,712,743 | 3,180,656 | 8.08 | ||||||||||||
Class R4
|
227,529 | 27,657 | 8.23 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
RiverSource S&P 500 Index
|
|||||||||||||||
Class A**
|
$ | 21,534,109 | 6,062,565 | $ | 3.55 | ||||||||||
Class Z**
|
100,496,276 | 28,199,115 | 3.56 | ||||||||||||
RiverSource Small Company Index
|
|||||||||||||||
Class A
|
328,913,706 | 84,403,946 | 3.90 | ||||||||||||
Class B
|
43,947,939 | 14,032,865 | 3.13 | ||||||||||||
Class R4
|
6,632,993 | 1,640,892 | 4.04 | ||||||||||||
For funds with fiscal period ending March 31
|
|||||||||||||||
Columbia Equity Value
|
|||||||||||||||
Class A
|
681,073,286 | 70,741,844 | 9.63 | ||||||||||||
Class B
|
50,132,060 | 5,184,913 | 9.67 | ||||||||||||
Class C
|
4,895,038 | 512,462 | 9.55 | ||||||||||||
Class I
|
18,363,036 | 1,905,271 | 9.64 | ||||||||||||
Class R
|
30,124 | 3,129 | 9.63 | ||||||||||||
Class R3
|
183,254 | 19,014 | 9.64 | ||||||||||||
Class R4
|
10,092,743 | 1,046,026 | 9.65 | ||||||||||||
Class R5
|
6,508 | 676 | 9.63 | ||||||||||||
Class W
|
3,658 | 380 | 9.63 | ||||||||||||
RiverSource Precious Metals and Mining
|
|||||||||||||||
Class A
|
133,459,266 | 10,925,790 | 12.22 | ||||||||||||
Class B
|
13,809,631 | 1,240,361 | 11.13 | ||||||||||||
Class C
|
4,233,101 | 389,141 | 10.88 | ||||||||||||
Class I
|
12,268 | 989 | 12.40 | ||||||||||||
Class R4
|
177,328 | 14,319 | 12.38 | ||||||||||||
For funds with fiscal period ending April 30
|
|||||||||||||||
Columbia 120/20 Contrarian Equity
|
|||||||||||||||
Class A
|
33,365,848 | 2,185,314 | $ | 15.27 | |||||||||||
Class B
|
1,401,883 | 92,764 | 15.11 | ||||||||||||
Class C
|
2,405,895 | 159,728 | 15.06 | ||||||||||||
Class I
|
4,324,899 | 281,691 | 15.35 | ||||||||||||
Class R5
|
7,670 | 500 | 15.34 | ||||||||||||
Columbia Recovery and Infrastructure
|
|||||||||||||||
Class A
|
438,673,229 | 22,317,277 | 19.66 | ||||||||||||
Class B
|
21,596,850 | 1,108,701 | 19.48 | ||||||||||||
Class C
|
27,986,758 | 1,436,501 | 19.48 | ||||||||||||
Class I
|
117,332,774 | 5,939,737 | 19.75 | ||||||||||||
Class R
|
80,728 | 4,127 | 19.56 | ||||||||||||
Class R3
|
19,621 | 1,000 | 19.62 | ||||||||||||
Class R4
|
623,844 | 31,702 | 19.68 | ||||||||||||
Class R5
|
59,600 | 3,020 | 19.74 | ||||||||||||
Columbia Retirement Plus 2010
|
|||||||||||||||
Class A
|
3,004,756 | 352,192 | 8.53 | ||||||||||||
Class R
|
3,994 | 468 | 8.53 | ||||||||||||
Class R3
|
3,994 | 468 | 8.53 | ||||||||||||
Class R4
|
3,996 | 468 | 8.54 | ||||||||||||
Class R5
|
3,998 | 468 | 8.54 | ||||||||||||
Class Y
|
5,248,330 | 614,374 | 8.54 | ||||||||||||
Columbia Retirement Plus 2015
|
|||||||||||||||
Class A
|
5,097,950 | 597,650 | 8.53 | ||||||||||||
Class R
|
3,973 | 465 | 8.54 | ||||||||||||
Class R3
|
3,973 | 465 | 8.54 | ||||||||||||
Class R4
|
3,975 | 465 | 8.55 | ||||||||||||
Class R5
|
3,981 | 465 | 8.56 | ||||||||||||
Class Y
|
16,572,401 | 1,937,035 | 8.56 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
Columbia Retirement Plus 2020
|
|||||||||||||||
Class A
|
$ | 5,667,643 | 702,748 | $ | 8.06 | ||||||||||
Class R
|
78,158 | 9,696 | 8.06 | ||||||||||||
Class R3
|
3,759 | 464 | 8.10 | ||||||||||||
Class R4
|
3,760 | 464 | 8.10 | ||||||||||||
Class R5
|
3,765 | 464 | 8.11 | ||||||||||||
Class Y
|
17,797,248 | 2,195,426 | 8.11 | ||||||||||||
Columbia Retirement Plus 2025
|
|||||||||||||||
Class A
|
3,282,520 | 407,390 | 8.06 | ||||||||||||
Class R
|
22,706 | 2,823 | 8.04 | ||||||||||||
Class R3
|
3,768 | 466 | 8.09 | ||||||||||||
Class R4
|
3,778 | 465 | 8.12 | ||||||||||||
Class R5
|
3,778 | 465 | 8.12 | ||||||||||||
Class Y
|
23,159,563 | 2,856,811 | 8.11 | ||||||||||||
Columbia Retirement Plus 2030
|
|||||||||||||||
Class A
|
3,128,008 | 387,287 | 8.08 | ||||||||||||
Class R
|
11,770 | 1,457 | 8.08 | ||||||||||||
Class R3
|
3,744 | 464 | 8.07 | ||||||||||||
Class R4
|
3,752 | 464 | 8.09 | ||||||||||||
Class R5
|
3,757 | 464 | 8.10 | ||||||||||||
Class Y
|
22,379,892 | 2,763,842 | 8.10 | ||||||||||||
Columbia Retirement Plus 2035
|
|||||||||||||||
Class A
|
1,956,294 | 244,856 | 7.99 | ||||||||||||
Class R
|
3,735 | 467 | 8.00 | ||||||||||||
Class R3
|
3,739 | 467 | 8.01 | ||||||||||||
Class R4
|
3,740 | 467 | 8.01 | ||||||||||||
Class R5
|
3,746 | 467 | 8.02 | ||||||||||||
Class Y
|
17,305,186 | 2,157,431 | 8.02 | ||||||||||||
Columbia Retirement Plus 2040
|
|||||||||||||||
Class A
|
1,741,154 | 224,227 | 7.77 | ||||||||||||
Class R
|
11,120 | 1,430 | 7.78 | ||||||||||||
Class R3
|
35,194 | 4,525 | 7.78 | ||||||||||||
Class R4
|
3,616 | 464 | 7.79 | ||||||||||||
Class R5
|
3,621 | 464 | 7.80 | ||||||||||||
Class Y
|
12,213,457 | 1,565,039 | 7.80 | ||||||||||||
Columbia Retirement Plus 2045
|
|||||||||||||||
Class A
|
1,471,608 | 185,478 | 7.93 | ||||||||||||
Class R
|
4,460 | 562 | 7.94 | ||||||||||||
Class R3
|
3,702 | 466 | 7.94 | ||||||||||||
Class R4
|
13,137 | 1,653 | 7.95 | ||||||||||||
Class R5
|
3,708 | 466 | 7.96 | ||||||||||||
Class Y
|
11,614,891 | 1,459,211 | 7.96 | ||||||||||||
For funds with fiscal period ending May 31
|
|||||||||||||||
Columbia High Yield Bond
|
|||||||||||||||
Class A
|
1,192,635,686 | 457,046,893 | 2.61 | ||||||||||||
Class B
|
91,104,344 | 34,942,309 | 2.61 | ||||||||||||
Class C
|
70,488,596 | 27,193,543 | 2.59 | ||||||||||||
Class I
|
144,202,631 | 55,371,206 | 2.60 | ||||||||||||
Class R
|
5,689,581 | 2,174,204 | 2.62 | ||||||||||||
Class R3
|
4,003,157 | 1,526,132 | 2.62 | ||||||||||||
Class R4
|
43,405,874 | 16,621,906 | 2.61 | ||||||||||||
Class R5
|
7,957,720 | 3,054,300 | 2.61 | ||||||||||||
Class W
|
100,226,537 | 38,706,595 | 2.59 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
Columbia Multi-Advisor Small Cap Value
|
|||||||||||||||
Class A
|
$ | 277,383,581 | 56,445,589 | $ | 4.91 | ||||||||||
Class B
|
62,403,783 | 13,736,068 | 4.54 | ||||||||||||
Class C
|
7,765,256 | 1,704,900 | 4.55 | ||||||||||||
Class I
|
43,814,661 | 8,585,111 | 5.10 | ||||||||||||
Class R
|
679,273 | 138,536 | 4.90 | ||||||||||||
Class R3
|
439,854 | 88,320 | 4.98 | ||||||||||||
Class R4
|
370,250 | 73,789 | 5.02 | ||||||||||||
Class R5
|
11,078,515 | 2,197,207 | 5.04 | ||||||||||||
Columbia U.S. Government Mortgage
|
|||||||||||||||
Class A
|
80,371,258 | 15,588,925 | 5.16 | ||||||||||||
Class B
|
17,619,412 | 3,416,007 | 5.16 | ||||||||||||
Class C
|
5,217,051 | 1,011,314 | 5.16 | ||||||||||||
Class I
|
132,494,594 | 25,723,583 | 5.15 | ||||||||||||
Class R4
|
85,125 | 16,536 | 5.15 | ||||||||||||
RiverSource Partners Fundamental Value
|
|||||||||||||||
Class A
|
307,057,850 | 70,426,307 | 4.36 | ||||||||||||
Class B
|
51,870,545 | 12,425,795 | 4.17 | ||||||||||||
Class C
|
8,227,996 | 1,965,058 | 4.19 | ||||||||||||
Class I
|
174,554,927 | 39,571,435 | 4.41 | ||||||||||||
Class R4
|
153,322 | 34,916 | 4.39 | ||||||||||||
RiverSource Short Duration U.S. Government
|
|||||||||||||||
Class A
|
488,090,547 | 102,802,359 | 4.75 | ||||||||||||
Class B
|
66,777,148 | 14,065,529 | 4.75 | ||||||||||||
Class C
|
27,832,188 | 5,862,287 | 4.75 | ||||||||||||
Class I
|
67,563,272 | 14,218,020 | 4.75 | ||||||||||||
Class R
|
2,999,953 | 631,892 | 4.75 | ||||||||||||
Class R4
|
4,709,513 | 991,519 | 4.75 | ||||||||||||
Class W
|
4,996 | 1,053 | 4.74 | ||||||||||||
For funds with fiscal period ending June 30
|
|||||||||||||||
Columbia Dividend Opportunity
|
|||||||||||||||
Class A
|
883,208,464 | 139,966,191 | 6.31 | ||||||||||||
Class B
|
68,144,709 | 10,871,463 | 6.27 | ||||||||||||
Class C
|
21,354,419 | 3,418,234 | 6.25 | ||||||||||||
Class I
|
165,701,325 | 26,198,041 | 6.32 | ||||||||||||
Class R
|
196,428 | 31,069 | 6.32 | ||||||||||||
Class R3
|
4,127 | 653 | 6.32 | ||||||||||||
Class R4
|
1,455,755 | 230,050 | 6.33 | ||||||||||||
Class R5
|
968,152 | 152,954 | 6.33 | ||||||||||||
Class W
|
3,592 | 568 | 6.32 | ||||||||||||
RiverSource Real Estate
|
|||||||||||||||
Class A
|
52,648,116 | 5,701,458 | 9.23 | ||||||||||||
Class B
|
6,533,282 | 713,272 | 9.16 | ||||||||||||
Class C
|
1,396,367 | 152,727 | 9.14 | ||||||||||||
Class I
|
131,165,236 | 14,173,209 | 9.25 | ||||||||||||
Class R4
|
60,555 | 6,587 | 9.19 | ||||||||||||
Class W
|
2,528 | 275 | 9.19 | ||||||||||||
For funds with fiscal period ending July 31
|
|||||||||||||||
Columbia Floating Rate
|
|||||||||||||||
Class A
|
226,172,173 | 26,483,112 | 8.54 | ||||||||||||
Class B
|
9,928,119 | 1,161,939 | 8.54 | ||||||||||||
Class C
|
21,210,203 | 2,483,252 | 8.54 | ||||||||||||
Class I
|
101,982,065 | 11,945,601 | 8.54 | ||||||||||||
Class R4
|
178,181 | 20,812 | 8.56 | ||||||||||||
Class R5
|
4,760 | 556 | 8.56 | ||||||||||||
Class W
|
4,246 | 497 | 8.54 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
Columbia Income Opportunities
|
|||||||||||||||
Class A
|
$ | 498,802,615 | 51,300,169 | $ | 9.72 | ||||||||||
Class B
|
29,050,926 | 2,989,075 | 9.72 | ||||||||||||
Class C
|
60,481,511 | 6,224,222 | 9.72 | ||||||||||||
Class I
|
182,941,408 | 18,794,063 | 9.73 | ||||||||||||
Class R4
|
403,599 | 41,375 | 9.75 | ||||||||||||
Class R5
|
5,068 | 521 | 9.73 | ||||||||||||
Columbia Inflation Protected Securities
|
|||||||||||||||
Class A
|
297,826,817 | 28,749,837 | 10.36 | ||||||||||||
Class B
|
14,961,461 | 1,445,877 | 10.35 | ||||||||||||
Class C
|
17,160,807 | 1,658,844 | 10.35 | ||||||||||||
Class I
|
184,100,334 | 17,768,869 | 10.36 | ||||||||||||
Class R
|
1,474,003 | 142,411 | 10.35 | ||||||||||||
Class R4
|
79,085 | 7,639 | 10.35 | ||||||||||||
Class R5
|
5,139 | 496 | 10.36 | ||||||||||||
Class W
|
100,345,459 | 9,690,622 | 10.35 | ||||||||||||
Columbia Large Core Quantitative
|
|||||||||||||||
Class A
|
2,688,843,397 | 567,423,999 | 4.74 | ||||||||||||
Class B
|
153,325,657 | 32,554,969 | 4.71 | ||||||||||||
Class C
|
21,982,264 | 4,714,140 | 4.66 | ||||||||||||
Class I
|
314,250,741 | 65,856,337 | 4.77 | ||||||||||||
Class R
|
2,193,578 | 463,276 | 4.73 | ||||||||||||
Class R3
|
6,033 | 1,273 | 4.74 | ||||||||||||
Class R4
|
162,518,882 | 34,154,804 | 4.76 | ||||||||||||
Class R5
|
24,848,139 | 5,229,982 | 4.75 | ||||||||||||
Class W
|
373,927,157 | 79,042,111 | 4.73 | ||||||||||||
Columbia Limited Duration Credit
|
|||||||||||||||
Class A
|
392,689,453 | 39,500,738 | 9.94 | ||||||||||||
Class B
|
11,562,307 | 1,163,439 | 9.94 | ||||||||||||
Class C
|
49,324,257 | 4,964,675 | 9.94 | ||||||||||||
Class I
|
126,851,810 | 12,755,538 | 9.94 | ||||||||||||
Class R4
|
540,555 | 54,240 | 9.97 | ||||||||||||
Class W
|
5,096 | 512 | 9.95 | ||||||||||||
Columbia Money Market
|
|||||||||||||||
Class A
|
2,528,588,079 | 2,528,587,497 | 1.00 | ||||||||||||
Class B
|
33,926,741 | 33,926,744 | 1.00 | ||||||||||||
Class C
|
7,909,529 | 7,909,540 | 1.00 | ||||||||||||
Class I
|
27,174,833 | 27,174,915 | 1.00 | ||||||||||||
Class R
|
2,500 | 2,500 | 1.00 | ||||||||||||
Class R5
|
725,626 | 725,628 | 1.00 | ||||||||||||
Class W
|
34,576,967 | 34,577,375 | 1.00 | ||||||||||||
Class Y
|
26,190,282 | 26,190,329 | 1.00 | ||||||||||||
Class Z
|
19,816,215 | 19,816,218 | 1.00 | ||||||||||||
RiverSource Disciplined Small and Mid Cap Equity
|
|||||||||||||||
Class A
|
9,570,996 | 1,291,322 | 7.41 | ||||||||||||
Class B
|
586,284 | 81,313 | 7.21 | ||||||||||||
Class C
|
205,141 | 28,435 | 7.21 | ||||||||||||
Class I
|
27,121,153 | 3,643,387 | 7.44 | ||||||||||||
Class R4
|
8,952 | 1,206 | 7.42 | ||||||||||||
Class W
|
104,872,014 | 14,205,922 | 7.38 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
RiverSource Disciplined Small Cap Value
|
|||||||||||||||
Class A
|
$ | 3,483,311 | 441,264 | $ | 7.89 | ||||||||||
Class B
|
141,730 | 18,276 | 7.75 | ||||||||||||
Class C
|
120,243 | 15,510 | 7.75 | ||||||||||||
Class I
|
47,679,790 | 6,023,250 | 7.92 | ||||||||||||
Class R
|
3,587 | 455 | 7.88 | ||||||||||||
Class R3
|
5,300 | 672 | 7.89 | ||||||||||||
Class R4
|
7,899 | 1,000 | 7.90 | ||||||||||||
Class R5
|
3,599 | 455 | 7.91 | ||||||||||||
For funds with fiscal period ending August 31
|
|||||||||||||||
Columbia Diversified Bond
|
|||||||||||||||
Class A
|
3,258,076,487 | 642,678,449 | 5.07 | ||||||||||||
Class B
|
116,363,532 | 22,963,835 | 5.07 | ||||||||||||
Class C
|
61,700,918 | 12,168,343 | 5.07 | ||||||||||||
Class I
|
1,021,032,051 | 201,137,653 | 5.08 | ||||||||||||
Class R2
|
1,040,372 | 204,835 | 5.08 | ||||||||||||
Class R3
|
11,200 | 2,207 | 5.07 | ||||||||||||
Class R4
|
74,983,846 | 14,807,342 | 5.06 | ||||||||||||
Class R5
|
237,004 | 46,821 | 5.06 | ||||||||||||
Class W
|
525,188,670 | 103,547,472 | 5.07 | ||||||||||||
Columbia Minnesota Tax-Exempt
|
|||||||||||||||
Class A
|
329,334,780 | 60,200,883 | 5.47 | ||||||||||||
Class B
|
5,767,557 | 1,053,321 | 5.48 | ||||||||||||
Class C
|
20,225,454 | 3,696,926 | 5.47 | ||||||||||||
RiverSource California Tax-Exempt
|
|||||||||||||||
Class A
|
150,279,608 | 29,127,363 | 5.16 | ||||||||||||
Class B
|
1,787,095 | 346,584 | 5.16 | ||||||||||||
Class C
|
3,499,880 | 677,462 | 5.17 | ||||||||||||
RiverSource New York Tax-Exempt
|
|||||||||||||||
Class A
|
52,428,136 | 10,220,753 | 5.13 | ||||||||||||
Class B
|
1,330,181 | 259,423 | 5.13 | ||||||||||||
Class C
|
1,038,696 | 202,525 | 5.13 | ||||||||||||
For funds with fiscal period ending
September 30
|
|||||||||||||||
Columbia Diversified Equity Income
|
|||||||||||||||
Class A
|
3,516,017,269 | 389,395,539 | 9.03 | ||||||||||||
Class B
|
246,456,142 | 27,221,768 | 9.05 | ||||||||||||
Class C
|
66,504,755 | 7,373,898 | 9.02 | ||||||||||||
Class I
|
213,082,965 | 23,613,488 | 9.02 | ||||||||||||
Class R
|
10,506,228 | 1,168,068 | 8.99 | ||||||||||||
Class R3
|
103,577,188 | 11,487,624 | 9.02 | ||||||||||||
Class R4
|
217,778,940 | 24,100,425 | 9.04 | ||||||||||||
Class R5
|
60,155,529 | 6,658,624 | 9.03 | ||||||||||||
Class W
|
3,262 | 361 | 9.04 | ||||||||||||
Class Z
|
2,502 | 277 | 9.03 | ||||||||||||
Columbia Large Growth Quantitative
|
|||||||||||||||
Class A
|
343,147,336 | 41,220,512 | 8.32 | ||||||||||||
Class B
|
2,567,787 | 312,466 | 8.22 | ||||||||||||
Class C
|
1,676,234 | 203,894 | 8.22 | ||||||||||||
Class I
|
228,157,694 | 27,114,466 | 8.41 | ||||||||||||
Class R
|
8,367 | 1,000 | 8.37 | ||||||||||||
Class R4
|
8,391 | 1,000 | 8.39 | ||||||||||||
Class W
|
176,537,944 | 21,144,075 | 8.35 | ||||||||||||
Class Z
|
2,500 | 297 | 8.42 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
Columbia Large Value Quantitative
|
|||||||||||||||
Class A
|
$ | 3,009,345 | 367,645 | $ | 8.19 | ||||||||||
Class B
|
225,501 | 27,754 | 8.12 | ||||||||||||
Class C
|
93,969 | 11,609 | 8.09 | ||||||||||||
Class I
|
69,800,213 | 8,484,965 | 8.23 | ||||||||||||
Class R
|
8,174 | 1,000 | 8.17 | ||||||||||||
Class R4
|
14,880 | 1,814 | 8.20 | ||||||||||||
Class W
|
173,685,076 | 21,218,876 | 8.19 | ||||||||||||
Class Z
|
2,501 | 304 | 8.23 | ||||||||||||
Columbia Mid Cap Value Opportunity
|
|||||||||||||||
Class A
|
1,324,861,234 | 190,828,987 | 6.94 | ||||||||||||
Class B
|
92,369,516 | 13,858,019 | 6.67 | ||||||||||||
Class C
|
45,316,976 | 6,804,993 | 6.66 | ||||||||||||
Class I
|
117,621,210 | 16,645,131 | 7.07 | ||||||||||||
Class R
|
16,531,042 | 2,401,189 | 6.88 | ||||||||||||
Class R3
|
67,911,361 | 9,816,068 | 6.92 | ||||||||||||
Class R4
|
389,349,450 | 55,711,660 | 6.99 | ||||||||||||
Class R5
|
139,751,259 | 19,946,983 | 7.01 | ||||||||||||
Class W
|
3,543 | 506 | 7.00 | ||||||||||||
Class Z
|
2,524 | 357 | 7.07 | ||||||||||||
Columbia Strategic Allocation
|
|||||||||||||||
Class A
|
945,595,394 | 104,846,576 | 9.02 | ||||||||||||
Class B
|
74,220,445 | 8,307,991 | 8.93 | ||||||||||||
Class C
|
36,613,825 | 4,121,060 | 8.88 | ||||||||||||
Class I
|
3,911 | 434 | 9.01 | ||||||||||||
Class R
|
3,911 | 434 | 9.01 | ||||||||||||
Class R4
|
415,695 | 46,005 | 9.04 | ||||||||||||
Class Z
|
2,506 | 278 | 9.01 | ||||||||||||
RiverSource Balanced
|
|||||||||||||||
Class A
|
533,192,271 | 56,904,635 | 9.37 | ||||||||||||
Class B
|
12,294,194 | 1,318,973 | 9.32 | ||||||||||||
Class C
|
9,020,576 | 970,289 | 9.30 | ||||||||||||
Class R
|
41,338 | 4,407 | 9.38 | ||||||||||||
Class R4
|
49,539,635 | 5,286,958 | 9.37 | ||||||||||||
Class R5
|
9,921 | 1,059 | 9.37 | ||||||||||||
RiverSource Strategic Income Allocation
|
|||||||||||||||
Class A
|
315,223,826 | 30,771,380 | 10.24 | ||||||||||||
Class B
|
22,688,163 | 2,214,163 | 10.25 | ||||||||||||
Class C
|
20,022,743 | 1,955,754 | 10.24 | ||||||||||||
Class R
|
5,501 | 537 | 10.24 | ||||||||||||
Class R4
|
245,350 | 23,962 | 10.24 | ||||||||||||
Class R5
|
274,390 | 26,779 | 10.25 | ||||||||||||
Seligman California Municipal High-Yield
|
|||||||||||||||
Class A
|
28,747,011 | 4,322,399 | 6.65 | ||||||||||||
Class C
|
5,744,151 | 862,661 | 6.66 | ||||||||||||
Seligman California Municipal Quality
|
|||||||||||||||
Class A
|
35,845,008 | 5,416,521 | 6.62 | ||||||||||||
Class C
|
3,245,882 | 492,661 | 6.59 | ||||||||||||
Seligman Minnesota Municipal
|
|||||||||||||||
Class A
|
66,906,242 | 8,577,335 | 7.80 | ||||||||||||
Class C
|
1,610,476 | 205,970 | 7.82 | ||||||||||||
Seligman National Municipal
|
|||||||||||||||
Class A
|
612,804,736 | 76,266,935 | 8.03 | ||||||||||||
Class C
|
33,499,183 | 4,149,355 | 8.07 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
Seligman New York Municipal
|
|||||||||||||||
Class A
|
$ | 76,164,778 | 9,168,458 | $ | 8.31 | ||||||||||
Class C
|
8,519,499 | 1,023,526 | 8.32 | ||||||||||||
For funds with fiscal period ending October 31
|
|||||||||||||||
Columbia Absolute Return Currency and Income
|
|||||||||||||||
Class A
|
62,208,913 | 6,219,687 | 10.00 | ||||||||||||
Class B
|
1,006,359 | 102,217 | 9.85 | ||||||||||||
Class C
|
4,702,587 | 478,184 | 9.83 | ||||||||||||
Class I
|
38,718,422 | 3,837,044 | 10.09 | ||||||||||||
Class W
|
63,368,675 | 6,341,968 | 9.99 | ||||||||||||
Class Z
|
14,183 | 1,405 | 10.09 | ||||||||||||
Columbia Asia Pacific ex-Japan
|
|||||||||||||||
Class A
|
77,994 | 5,656 | 13.79 | ||||||||||||
Class C
|
2,590 | 188 | 13.78 | ||||||||||||
Class I
|
2,592 | 188 | 13.79 | ||||||||||||
Class R
|
2,592 | 188 | 13.79 | ||||||||||||
Class R5
|
512,721,223 | 37,182,125 | 13.79 | ||||||||||||
Class Z
|
2,592 | 188 | 13.79 | ||||||||||||
Columbia Emerging Markets Bond
|
|||||||||||||||
Class A
|
76,725,071 | 6,563,738 | 11.69 | ||||||||||||
Class B
|
3,568,837 | 305,715 | 11.67 | ||||||||||||
Class C
|
3,622,183 | 310,872 | 11.65 | ||||||||||||
Class I
|
78,153,644 | 6,684,022 | 11.69 | ||||||||||||
Class R4
|
124,205 | 10,632 | 11.68 | ||||||||||||
Class W
|
74,066,903 | 6,343,020 | 11.68 | ||||||||||||
Class Z
|
122,842 | 10,506 | 11.69 | ||||||||||||
Columbia Emerging Markets Opportunity
|
|||||||||||||||
Class A
|
523,288,192 | 53,653,023 | 9.75 | ||||||||||||
Class B
|
37,312,287 | 4,319,656 | 8.64 | ||||||||||||
Class C
|
38,770,335 | 4,501,173 | 8.61 | ||||||||||||
Class I
|
84,278,781 | 8,306,376 | 10.15 | ||||||||||||
Class R
|
15,164,872 | 1,561,399 | 9.71 | ||||||||||||
Class R4
|
1,402,320 | 138,188 | 10.15 | ||||||||||||
Class R5
|
687,416 | 67,607 | 10.17 | ||||||||||||
Class W
|
2,641 | 271 | 9.75 | ||||||||||||
Class Z
|
21,446 | 2,114 | 10.14 | ||||||||||||
Columbia European Equity
|
|||||||||||||||
Class A
|
69,831,477 | 12,044,258 | 5.80 | ||||||||||||
Class B
|
4,050,968 | 701,073 | 5.78 | ||||||||||||
Class C
|
1,405,823 | 245,717 | 5.72 | ||||||||||||
Class I
|
7,743 | 1,336 | 5.80 | ||||||||||||
Class R4
|
25,391 | 4,385 | 5.79 | ||||||||||||
Class Z
|
2,626 | 453 | 5.80 | ||||||||||||
Columbia Frontier
|
|||||||||||||||
Class A
|
70,460,355 | 7,258,658 | 9.71 | ||||||||||||
Class B
|
6,999,653 | 904,213 | 7.74 | ||||||||||||
Class C
|
10,982,957 | 1,411,669 | 7.78 | ||||||||||||
Class I
|
47,858,645 | 4,624,901 | 10.35 | ||||||||||||
Class R
|
106,641 | 11,220 | 9.50 | ||||||||||||
Class R4
|
59,375 | 5,759 | 10.31 | ||||||||||||
Class R5
|
816,227 | 78,922 | 10.34 | ||||||||||||
Class Z
|
2,629 | 254 | 10.35 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
Columbia Global Bond
|
|||||||||||||||
Class A
|
$ | 246,929,356 | 33,048,004 | $ | 7.47 | ||||||||||
Class B
|
18,512,676 | 2,460,622 | 7.52 | ||||||||||||
Class C
|
6,162,276 | 827,014 | 7.45 | ||||||||||||
Class I
|
195,612,882 | 26,157,651 | 7.48 | ||||||||||||
Class R
|
5,341 | 716 | 7.46 | ||||||||||||
Class R4
|
407,251 | 54,466 | 7.48 | ||||||||||||
Class W
|
69,842,043 | 9,357,911 | 7.46 | ||||||||||||
Class Z
|
7,523 | 1,006 | 7.48 | ||||||||||||
Columbia Global Equity
|
|||||||||||||||
Class A
|
375,168,966 | 53,042,442 | 7.07 | ||||||||||||
Class B
|
23,894,493 | 3,605,201 | 6.63 | ||||||||||||
Class C
|
10,146,647 | 1,548,238 | 6.55 | ||||||||||||
Class I
|
31,014,538 | 4,359,437 | 7.11 | ||||||||||||
Class R
|
41,009 | 5,746 | 7.14 | ||||||||||||
Class R4
|
7,015,836 | 983,963 | 7.13 | ||||||||||||
Class R5
|
19,408 | 2,727 | 7.12 | ||||||||||||
Class W
|
4,534 | 639 | 7.10 | ||||||||||||
Class Z
|
2,598 | 365 | 7.12 | ||||||||||||
Columbia Global Extended Alpha
|
|||||||||||||||
Class A
|
4,320,527 | 207,166 | 20.86 | ||||||||||||
Class B
|
303,638 | 14,721 | 20.63 | ||||||||||||
Class C
|
181,374 | 8,801 | 20.61 | ||||||||||||
Class I
|
5,163,998 | 246,500 | 20.95 | ||||||||||||
Class R
|
10,370 | 500 | 20.74 | ||||||||||||
Class R4
|
90,339 | 4,331 | 20.86 | ||||||||||||
Class Z
|
28,234 | 1,348 | 20.95 | ||||||||||||
Columbia Multi-Advisor International Value
|
|||||||||||||||
Class A
|
427,389,225 | 69,673,191 | 6.13 | ||||||||||||
Class B
|
48,327,297 | 8,399,429 | 5.75 | ||||||||||||
Class C
|
9,217,955 | 1,609,913 | 5.73 | ||||||||||||
Class I
|
185,979,047 | 29,479,532 | 6.31 | ||||||||||||
Class R4
|
384,783 | 61,460 | 6.26 | ||||||||||||
Class Z
|
2,592 | 411 | 6.31 | ||||||||||||
Columbia Seligman Global Technology
|
|||||||||||||||
Class A
|
418,600,331 | 20,680,059 | 20.24 | ||||||||||||
Class B
|
19,558,319 | 1,127,143 | 17.35 | ||||||||||||
Class C
|
80,127,979 | 4,614,233 | 17.37 | ||||||||||||
Class I
|
28,563,422 | 1,402,504 | 20.37 | ||||||||||||
Class R
|
9,157,934 | 460,773 | 19.88 | ||||||||||||
Class R4
|
533,526 | 26,294 | 20.29 | ||||||||||||
Class R5
|
25,931,713 | 1,274,128 | 20.35 | ||||||||||||
Class Z
|
2,647 | 130 | 20.36 | ||||||||||||
RiverSource Disciplined International Equity
|
|||||||||||||||
Class A
|
38,153,014 | 5,195,522 | 7.34 | ||||||||||||
Class B
|
4,503,501 | 621,082 | 7.25 | ||||||||||||
Class C
|
991,847 | 137,200 | 7.23 | ||||||||||||
Class I
|
146,207,418 | 19,793,638 | 7.39 | ||||||||||||
Class R
|
3,705 | 509 | 7.28 | ||||||||||||
Class R4
|
41,994 | 5,722 | 7.34 | ||||||||||||
Class W
|
233,514,415 | 31,833,978 | 7.34 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
RiverSource Partners International Select Growth
|
|||||||||||||||
Class A
|
$ | 171,468,665 | 25,040,565 | $ | 6.85 | ||||||||||
Class B
|
15,773,648 | 2,408,409 | 6.55 | ||||||||||||
Class C
|
8,328,966 | 1,273,890 | 6.54 | ||||||||||||
Class I
|
201,118,144 | 29,022,441 | 6.93 | ||||||||||||
Class R
|
256,011 | 37,627 | 6.80 | ||||||||||||
Class R4
|
472,964 | 68,779 | 6.88 | ||||||||||||
Class R5
|
1,168,237 | 168,408 | 6.94 | ||||||||||||
RiverSource Partners International Small Cap
|
|||||||||||||||
Class A
|
74,193,979 | 12,132,556 | 6.12 | ||||||||||||
Class B
|
4,602,545 | 790,626 | 5.82 | ||||||||||||
Class C
|
22,904,177 | 3,937,917 | 5.82 | ||||||||||||
Class I
|
38,219,477 | 6,128,848 | 6.24 | ||||||||||||
Class R
|
1,902,958 | 311,833 | 6.10 | ||||||||||||
Class R4
|
501,710 | 80,956 | 6.20 | ||||||||||||
Class R5
|
949,405 | 152,401 | 6.23 | ||||||||||||
Threadneedle Global Equity Income
|
|||||||||||||||
Class A
|
29,056,833 | 2,907,285 | 9.99 | ||||||||||||
Class B
|
1,875,577 | 188,131 | 9.97 | ||||||||||||
Class C
|
844,357 | 84,741 | 9.96 | ||||||||||||
Class I
|
4,935,451 | 493,000 | 10.01 | ||||||||||||
Class R
|
10,502 | 1,050 | 10.00 | ||||||||||||
Class R4
|
30,463 | 3,046 | 10.00 | ||||||||||||
Threadneedle International Opportunity
|
|||||||||||||||
Class A
|
255,611,550 | 29,053,332 | 8.80 | ||||||||||||
Class B
|
14,408,870 | 1,670,230 | 8.63 | ||||||||||||
Class C
|
8,100,660 | 962,688 | 8.41 | ||||||||||||
Class I
|
123,175,619 | 13,857,362 | 8.89 | ||||||||||||
Class R
|
1,733,789 | 195,101 | 8.89 | ||||||||||||
Class R4
|
153,243 | 17,066 | 8.98 | ||||||||||||
For funds with fiscal period ending
November 30
|
|||||||||||||||
Columbia AMT-Free Tax-Exempt Bond
|
|||||||||||||||
Class A
|
616,281,418 | 164,962,006 | 3.74 | ||||||||||||
Class B
|
7,434,588 | 1,989,243 | 3.74 | ||||||||||||
Class C
|
10,334,749 | 2,765,304 | 3.74 | ||||||||||||
Class Z
|
2,405 | 644 | 3.73 | ||||||||||||
Columbia Mid Cap Growth Opportunity
|
|||||||||||||||
Class A
|
857,025,529 | 81,329,035 | 10.54 | ||||||||||||
Class B
|
55,302,929 | 6,362,252 | 8.69 | ||||||||||||
Class C
|
12,340,058 | 1,418,427 | 8.70 | ||||||||||||
Class I
|
176,386,121 | 15,822,311 | 11.15 | ||||||||||||
Class R
|
67,417 | 6,411 | 10.52 | ||||||||||||
Class R3
|
27,331 | 2,595 | 10.53 | ||||||||||||
Class R4
|
5,232,199 | 480,899 | 10.88 | ||||||||||||
Class Z
|
2,686 | 241 | 11.15 | ||||||||||||
RiverSource Intermediate Tax-Exempt
|
|||||||||||||||
Class A
|
87,955,400 | 16,668,088 | $ | 5.28 | |||||||||||
Class B
|
1,977,524 | 375,326 | $ | 5.27 | |||||||||||
Class C
|
6,811,217 | 1,291,810 | $ | 5.27 | |||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
RiverSource Tax-Exempt High Income
|
|||||||||||||||
Class A
|
$ | 2,141,685,204 | 507,836,426 | $ | 4.22 | ||||||||||
Class B
|
19,907,549 | 4,724,722 | $ | 4.21 | |||||||||||
Class C
|
18,186,215 | 4,310,562 | $ | 4.22 | |||||||||||
For funds with fiscal period ending
December 31
|
|||||||||||||||
Columbia Government Money Market
|
|||||||||||||||
Class A
|
115,614,024 | 115,623,598 | 1.00 | ||||||||||||
Class B
|
3,482,518 | 3,481,496 | 1.00 | ||||||||||||
Class C
|
13,509,335 | 13,489,555 | 1.00 | ||||||||||||
Class R
|
3,440,176 | 3,440,734 | 1.00 | ||||||||||||
Class R5
|
440,330 | 440,327 | 1.00 | ||||||||||||
Class Z
|
1,171,182 | 1,171,180 | 1.00 | ||||||||||||
Columbia Select Large-Cap Value
|
|||||||||||||||
Class A
|
271,885,499 | 18,489,466 | 14.70 | ||||||||||||
Class B
|
5,137,640 | 371,975 | 13.81 | ||||||||||||
Class C
|
48,210,278 | 3,486,175 | 13.83 | ||||||||||||
Class I
|
72,970,868 | 4,841,229 | 15.07 | ||||||||||||
Class R
|
11,593,849 | 796,565 | 14.55 | ||||||||||||
Class R4
|
22,794 | 1,514 | 15.06 | ||||||||||||
Class R5
|
1,606,478 | 106,463 | 15.09 | ||||||||||||
Class W
|
11,832,803 | 806,994 | 14.66 | ||||||||||||
Class Z
|
7,776 | 516 | 15.07 | ||||||||||||
Columbia Select Smaller-Cap Value
|
|||||||||||||||
Class A
|
380,847,868 | 23,841,335 | 15.97 | ||||||||||||
Class B
|
27,171,959 | 1,935,309 | 14.04 | ||||||||||||
Class C
|
51,712,432 | 3,678,639 | 14.06 | ||||||||||||
Class I
|
10,145,122 | 596,227 | 17.02 | ||||||||||||
Class R
|
15,733,006 | 1,007,228 | 15.62 | ||||||||||||
Class R4
|
3,600,908 | 212,534 | 16.94 | ||||||||||||
Class R5
|
2,288,845 | 134,582 | 17.01 | ||||||||||||
Class Z
|
133,063 | 7,823 | 17.01 | ||||||||||||
Columbia Seligman Communications and Information
|
|||||||||||||||
Class A
|
3,066,070,816 | 68,583,469 | 44.71 | ||||||||||||
Class B
|
85,897,298 | 2,315,630 | 37.09 | ||||||||||||
Class C
|
767,799,553 | 20,684,543 | 37.12 | ||||||||||||
Class I
|
55,589,782 | 1,192,278 | 46.62 | ||||||||||||
Class R
|
47,553,655 | 1,086,855 | 43.75 | ||||||||||||
Class R3
|
96,339 | 2,195 | 43.89 | ||||||||||||
Class R4
|
506,749 | 10,916 | 46.42 | ||||||||||||
Class R5
|
18,414,461 | 395,196 | 46.60 | ||||||||||||
Class Z
|
679,496 | 14,576 | 46.62 | ||||||||||||
RiverSource LaSalle Global Real Estate
|
|||||||||||||||
Class A
|
3,833,998 | 947,822 | 4.05 | ||||||||||||
Class C
|
1,972,405 | 489,140 | 4.03 | ||||||||||||
Class I
|
7,210,708 | 1,778,442 | 4.05 | ||||||||||||
Class R
|
101,551 | 25,119 | 4.04 | ||||||||||||
Class R4
|
10,311 | 2,546 | 4.05 | ||||||||||||
Class R5
|
1,553,777 | 383,043 | 4.06 | ||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate
|
|||||||||||||||
Class A
|
9,546,758 | 2,100,383 | 4.55 | ||||||||||||
Class B
|
2,190,756 | 482,042 | 4.54 | ||||||||||||
Class C
|
10,720,882 | 2,360,002 | 4.54 | ||||||||||||
Class I
|
2,191,158 | 481,680 | 4.55 | ||||||||||||
Class R
|
5,434,255 | 1,199,177 | 4.53 | ||||||||||||
Class R4
|
23,705 | 5,204 | 4.56 | ||||||||||||
Class R5
|
1,714,175 | 377,302 | 4.54 | ||||||||||||
Fund* | Net assets | Shares outstanding | Net asset value of one Share | ||||||||||||
Seligman Capital
|
|||||||||||||||
Class A
|
$ | 178,719,563 | 6,953,797 | $ | 25.70 | ||||||||||
Class B
|
3,668,210 | 177,447 | 20.67 | ||||||||||||
Class C
|
46,783,870 | 2,257,346 | 20.73 | ||||||||||||
Class I
|
11,808,687 | 438,060 | 26.96 | ||||||||||||
Class R
|
13,432,221 | 530,749 | 25.31 | ||||||||||||
Class R5
|
2,251,916 | 83,599 | 26.94 | ||||||||||||
Seligman Growth
|
|||||||||||||||
Class A
|
1,276,953,102 | 268,089,845 | 4.76 | ||||||||||||
Class B
|
73,018,552 | 19,666,156 | 3.71 | ||||||||||||
Class C
|
28,030,382 | 7,547,813 | 3.71 | ||||||||||||
Class I
|
261,729,893 | 52,969,014 | 4.94 | ||||||||||||
Class R
|
2,112,882 | 452,526 | 4.67 | ||||||||||||
Class R4
|
48,574,571 | 9,843,670 | 4.93 | ||||||||||||
Class R5
|
490,901 | 99,424 | 4.94 | ||||||||||||
* | Prior to Sept. 7, 2010, Class R was known as Class R2. |
** | Prior to Sept. 7, 2010, Class A was known as Class D and Class Z was known as Class E. |
| Securities traded on a securities exchange for which a last-quoted sales price is readily available are valued at the last-quoted sales price on the exchange where such security is primarily traded. | |
| Securities traded on a securities exchange for which a last-quoted sales price is not readily available are valued at the mean of the closing bid and asked prices, looking first to the bid and asked prices on the exchange where the security is primarily traded and, if none exist, to the over-the-counter market. | |
| Securities included in the NASDAQ National Market System are valued at the last-quoted sales price in this market. | |
| Securities included in the NASDAQ National Market System for which a last-quoted sales price is not readily available, and other securities traded over-the-counter but not included in the NASDAQ National Market System are valued at the mean of the closing bid and asked prices. | |
| Futures and options traded on major exchanges are valued at the last-quoted sales price on their primary exchange. | |
| Foreign securities traded outside the United States are generally valued as of the time their trading is complete, which is usually different from the close of the Exchange. Foreign securities quoted in foreign currencies are translated into U.S. dollars utilizing spot exchange rates at the close of regular trading on the Exchange. | |
| Occasionally, events affecting the value of securities occur between the time the primary market on which the securities are traded closes and the close of the Exchange. If events materially affect the value of securities, the securities will be valued at their fair value according to procedures decided upon in good faith by the Board. This occurs most commonly with foreign securities, but may occur in other cases. The fair value of a security is likely to be different from the quoted or published price. | |
| Short-term securities maturing more than 60 days from the valuation date are valued at the readily available market price or approximate market value based on current interest rates. Typically, short-term securities maturing in 60 days or less that originally had maturities of more than 60 days at acquisition date are valued at amortized cost using the market value on the 61st day before maturity. Short-term securities maturing in 60 days or less at acquisition date are valued at amortized cost. Amortized cost is an approximation of market value determined by systematically increasing the carrying value of a security if acquired at a discount, or reducing the carrying value if acquired at a premium, so that the carrying value is equal to maturity value on the maturity date. | |
| Securities without a readily available market price and securities for which the price quotations or valuations received from other sources are deemed unreliable or not reflective of market value are valued at fair value as determined in good faith by the Board. The Board is responsible for selecting methods it believes provide fair value. | |
| When possible, bonds are valued at an evaluated bid by a pricing service independent from the funds. If a valuation of a bond is not available from a pricing service, the bond will be valued by a dealer knowledgeable about the bond if such a dealer is available. |
| For Equity and Balanced funds, a complete list of fund portfolio holdings as of month-end are posted on the website on a monthly basis approximately, but no earlier than, 15 calendar days after each month-end. The four most recent consecutive monthly disclosures remain posted for each fund. Such portfolio holdings information posted on the website includes the |
name of each portfolio security, number of shares held by the fund, value of the security and the securitys percentage of the market value of the funds portfolio as of month-end. |
| For Fixed Income funds, a complete list of fund portfolio holdings as of calendar quarter-end are posted on the website on a quarterly basis approximately, but no earlier than, 30 calendar days after such quarter-end, and remain posted at least until the date on which the fund files its Form N-CSR or Form N-Q with the SEC for the subsequent fiscal period. Fixed income fund portfolio holdings information posted on the website shall include the name of each portfolio security, maturity/rate, par value and the securitys percentage of the market value of the funds portfolio as of calendar quarter-end. |
| For Money Market funds, a complete list of fund portfolio holdings as of month-end are posted on the website on a monthly basis, approximately five business days after such month-end. Commencing with the month-end holdings as of September 2010 and thereafter, such month-end holdings will be continuously available on the website for at least six months, together with a link to an SEC webpage where a user of the website may obtain access to the funds most recent 12 months of publicly available filings on Form N-MFP. Additionally, as of September 2010 and thereafter, Money Market fund portfolio holdings information posted on the website will, at minimum, include with respect to each holding, the name of the issuer, the category of investment (e.g., Treasury debt, government agency debt, asset backed commercial paper, structured investment vehicle note), the CUSIP number (if any), the principal amount, the maturity date (as determined under Rule 2a-7 for purposes of calculating weighted average maturity), the final maturity date (if different from the maturity date previously described), coupon or yield and the amortized cost value. The Money Market funds will also disclose on the website the overall weighted average maturity and weighted average life maturity of a holding and any other information that may be required by the SEC. |
Frequency of |
||||
Identity of recipient | Conditions/Restrictions on use of information | disclosure | ||
Bitlathe |
Website support for fund performance disclosure
|
Monthly | ||
BlackRock, Inc. |
For providing trading operations and portfolio management
support.
|
Daily | ||
Bloomberg, L.P. |
For independent research of funds. Sent monthly, approximately
30 days after month end.
|
Monthly | ||
R.R. Donnelley & Sons Company |
For printing of proxies and annual updates to prospectuses and
SAIs.
|
As needed | ||
Cenveo, Inc. |
For printing of prospectuses, supplements, SAIs and shareholder
reports.
|
As needed | ||
Factset Research Systems |
For provision of quantitative analytics, charting and
fundamental data to the investment manager.
|
Daily | ||
Investment Technology Group, Inc. (ITG, formerly known as Plexus Group) |
For evaluation and assessment of trading activity, execution and
practices by the investment manager.
|
Daily | ||
InvestorTools, Inc. |
Provide descriptive data for municipal securities
|
Daily | ||
Morningstar, Inc. |
For independent research and ranking of funds. Sent monthly,
approximately 25 days after month end.
|
Monthly | ||
RiskMetrics Group (formerly Institutional Shareholder Services) |
Proxy voting administration and research on proxy matters.
|
Daily | ||
Thomson Reuters Corp. (Lipper) |
Information provided monthly with a 30 day lag to assure
accuracy of Lipper Fact Sheets.
|
Monthly | ||
| The Board generally votes in favor of proposals for an independent chairman or, if the chairman is not independent, in favor of a lead independent director. |
| The Board supports annual election of all directors and proposals to eliminate classes of directors. |
| In a routine election of directors, the Board will generally vote with the recommendations of the companys nominating committee because the Board believes that nominating committees of independent directors are in the best position to know what qualifications are required of directors to form an effective board. However, the Board will generally vote against a nominee who has been assigned to the audit, compensation, or nominating committee if the nominee is not independent of management based on established criteria. The Board will generally also withhold support for any director who fails to attend 75% of meetings or has other activities that appear to interfere with his or her ability to commit sufficient attention to the company and, in general, will vote against nominees who are determined to have exhibited poor governance such as involvement in options backdating, financial restatements or material weaknesses in control, approving egregious compensation or have consistently disregarded the interests of shareholders. |
| The Board generally supports proposals requiring director nominees to receive a majority of affirmative votes cast in order to be elected to the board, and in the absence of majority voting, generally will support cumulative voting. |
| Votes in a contested election of directors are evaluated on a case-by-case basis. |
Sales charge(a) as a percentage of: | ||||||||||
Public
offering |
Net amount |
|||||||||
Fund category | Total market value | price(b) | invested | |||||||
$0 $49,999 | 5.75% | 6.10% | ||||||||
$50,000 $99,999 | 4.50% | 4.71% | ||||||||
$100,000 $249,999 | 3.50% | 3.63% | ||||||||
Balanced, Equity, Fund-of-funds equity*
|
$250,000 $499,999 | 2.50% | 2.56% | |||||||
$500,000 $999,999 | 2.00% | 2.04% | ||||||||
$1,000,000 or more | (c),(d) | 0.00% | 0.00% | |||||||
$0 $49,999 | 4.75% | 4.99% | ||||||||
$50,000 $99,999 | 4.25% | 4.44% | ||||||||
Fund-of-funds fixed income, State tax-exempt fixed
income, Taxable fixed income, Tax-exempt fixed income
|
$100,000 $249,999 | 3.50% | 3.63% | |||||||
$250,000 $499,999 | 2.50% | 2.56% | ||||||||
$500,000 $999,999 | 2.00% | 2.04% | ||||||||
$1,000,000 or more | (c),(d) | 0.00% | 0.00% | |||||||
Sales charge(a) as a percentage of: | ||||||||||
Public
offering |
Net amount |
|||||||||
Fund category | Total market value | price(b) | invested | |||||||
For Columbia Absolute Return Currency and Income Fund, Columbia
Floating Rate Fund, Columbia Inflation Protected Securities
Fund, Columbia Limited Duration Credit Fund, RiverSource
Intermediate Tax-Exempt Fund and RiverSource Short Duration U.S.
Government Fund
|
$0 $99,999 | 3.00% | 3.09% | |||||||
$100,000 $249,999 | 2.50% | 2.56% | ||||||||
$250,000 $499,999 | 2.00% | 2.04% | ||||||||
$500,000 $999,999 | 1.50% | 1.52% | ||||||||
$1,000,000 or more | (c),(d) | 0.00% | 0.00% | |||||||
* | RiverSource S&P 500 Index Fund is not subject to a front-end sales change on Class A shares. |
(a) | Because the offering price is calculated to two decimal places, the dollar amount of the sales charge as a percentage of the offering price and your net amount invested for any particular purchase of fund shares may be higher or lower depending on whether downward or upward rounding was required during the calculation process. | |
(b) | Purchase price includes the sales charge. |
(c) | Although there is no sales charge for purchases with a total market value of $1 million or more, and therefore no re-allowance, the distributor may pay a selling and/or servicing agent the following out of its own resources: 1.00% on purchases from $1 million up to but not including $3 million; 0.50% on purchases of $3 million up to but not including $50 million; and 0.25% on amounts of $50 million or more. The distributor may be reimbursed if a CDSC is deducted when the shares are redeemed. |
(d) | For eligible employee benefit plans, selling and/or servicing agents are eligible to receive from the distributor the following sales commissions on purchases that are coded as commission eligible trades: 1.00% on all purchases up to but not including $3 million, including those in amounts of less than $1 million; up to 0.50% on all purchases of $3 million up to but not including $50 million; and up to 0.25% on all purchases of $50 million or more. |
Net asset |
||||||||||
Fund | value | 1.0 minus maximum sales charge | Public offering price | |||||||
For funds with fiscal period ending January 31
|
||||||||||
Columbia Income Builder Fund
|
$ | 9.76 | 0.9525 | $ | 10.25 | |||||
Columbia Income Builder Fund II
|
9.47 | 0.9525 | 9.94 | |||||||
Columbia Income Builder Fund III
|
9.44 | 0.9525 | 9.91 | |||||||
Columbia Portfolio Builder Aggressive
|
8.62 | 0.9425 | 9.15 | |||||||
Columbia Portfolio Builder Conservative
|
9.77 | 0.9525 | 10.26 | |||||||
Columbia Portfolio Builder Moderate
|
9.46 | 0.9425 | 10.04 | |||||||
Columbia Portfolio Builder Moderate Aggressive
|
9.03 | 0.9425 | 9.58 | |||||||
Columbia Portfolio Builder Moderate Conservative
|
9.61 | 0.9525 | 10.09 | |||||||
Columbia Portfolio Builder Total Equity
|
8.20 | 0.9425 | 8.70 | |||||||
RiverSource S&P 500 Index (for Class D, now known as
Class A)
|
3.55 | No sales charge | 3.55 | |||||||
RiverSource Small Company Index
|
3.90 | 0.9425 | 4.14 | |||||||
For funds with fiscal period ending March 31
|
||||||||||
Columbia Equity Value
|
9.63 | 0.9425 | 10.22 | |||||||
RiverSource Precious Metals and Mining
|
12.22 | 0.9425 | 12.97 | |||||||
Net asset |
||||||||||
Fund | value | 1.0 minus maximum sales charge | Public offering price | |||||||
For funds with fiscal period ending April 30
|
||||||||||
Columbia 120/20 Contrarian Equity
|
$ | 15.27 | 0.9425 | $ | 16.20 | |||||
Columbia Recovery and Infrastructure
|
19.66 | 0.9425 | 20.86 | |||||||
Columbia Retirement Plus 2010
|
8.53 | 0.9425 | 9.05 | |||||||
Columbia Retirement Plus 2015
|
8.53 | 0.9425 | 9.05 | |||||||
Columbia Retirement Plus 2020
|
8.06 | 0.9425 | 8.55 | |||||||
Columbia Retirement Plus 2025
|
8.06 | 0.9425 | 8.55 | |||||||
Columbia Retirement Plus 2030
|
8.08 | 0.9425 | 8.57 | |||||||
Columbia Retirement Plus 2035
|
7.99 | 0.9425 | 8.48 | |||||||
Columbia Retirement Plus 2040
|
7.77 | 0.9425 | 8.24 | |||||||
Columbia Retirement Plus 2045
|
7.93 | 0.9425 | 8.41 | |||||||
For funds with fiscal period ending May 31
|
||||||||||
Columbia High Yield Bond
|
2.61 | 0.9525 | 2.74 | |||||||
Columbia Multi-Advisor Small Cap Value
|
4.91 | 0.9425 | 5.21 | |||||||
Columbia U.S. Government Mortgage
|
5.16 | 0.9525 | 5.42 | |||||||
RiverSource Partners Fundamental Value
|
4.36 | 0.9425 | 4.63 | |||||||
RiverSource Short Duration U.S. Government
|
4.75 | 0.9700 | 4.90 | |||||||
For funds with fiscal period ending June 30
|
||||||||||
Columbia Dividend Opportunity
|
6.31 | 0.9425 | 6.69 | |||||||
RiverSource Real Estate
|
9.23 | 0.9425 | 9.79 | |||||||
For funds with fiscal period ending July 31
|
||||||||||
Columbia Floating Rate
|
8.54 | 0.9700 | 8.80 | |||||||
Columbia Income Opportunities
|
9.72 | 0.9525 | 10.20 | |||||||
Columbia Inflation Protected Securities
|
10.36 | 0.9700 | 10.68 | |||||||
Columbia Large Core Quantitative
|
4.74 | 0.9425 | 5.03 | |||||||
Columbia Limited Duration Credit
|
9.94 | 0.9700 | 10.25 | |||||||
Columbia Money Market
|
1.00 | No sales charge | 1.00 | |||||||
RiverSource Disciplined Small and Mid Cap Equity
|
7.41 | 0.9425 | 7.86 | |||||||
RiverSource Disciplined Small Cap Value
|
7.89 | 0.9425 | 8.37 | |||||||
For funds with fiscal period ending August 31
|
||||||||||
Columbia Diversified Bond
|
5.07 | 0.9525 | 5.32 | |||||||
Columbia Minnesota Tax-Exempt
|
5.47 | 0.9525 | 5.74 | |||||||
RiverSource California Tax-Exempt
|
5.16 | 0.9525 | 5.42 | |||||||
RiverSource New York Tax-Exempt
|
5.13 | 0.9525 | 5.39 | |||||||
For funds with fiscal period ending September 30
|
||||||||||
Columbia Diversified Equity Income
|
9.03 | 0.9425 | 9.58 | |||||||
Columbia Large Growth Quantitative
|
8.32 | 0.9425 | 8.83 | |||||||
Columbia Large Value Quantitative
|
8.19 | 0.9425 | 8.69 | |||||||
Columbia Mid Cap Value Opportunity
|
6.94 | 0.9425 | 7.36 | |||||||
Columbia Strategic Allocation
|
9.02 | 0.9425 | 9.57 | |||||||
RiverSource Balanced
|
9.37 | 0.9425 | 9.94 | |||||||
RiverSource Strategic Income Allocation
|
10.24 | 0.9525 | 10.75 | |||||||
Seligman California Municipal High-Yield
|
6.65 | 0.9525 | 6.98 | |||||||
Seligman California Municipal Quality
|
6.62 | 0.9525 | 6.95 | |||||||
Seligman Minnesota Municipal
|
7.80 | 0.9525 | 8.19 | |||||||
Seligman National Municipal
|
8.03 | 0.9525 | 8.43 | |||||||
Seligman New York Municipal
|
8.31 | 0.9525 | 8.72 | |||||||
Net asset |
||||||||||
Fund | value | 1.0 minus maximum sales charge | Public offering price | |||||||
For funds with fiscal period ending October 31
|
||||||||||
Columbia Absolute Return Currency and Income
|
$ | 10.00 | 0.9700 | $ | 10.31 | |||||
Columbia Asia Pacific ex-Japan
|
13.79 | 0.9425 | 14.63 | |||||||
Columbia Emerging Markets Bond
|
11.69 | 0.9525 | 12.27 | |||||||
Columbia Emerging Markets Opportunity
|
9.75 | 0.9425 | 10.34 | |||||||
Columbia European Equity
|
5.80 | 0.9425 | 6.15 | |||||||
Columbia Frontier
|
9.71 | 0.9425 | 10.30 | |||||||
Columbia Global Bond
|
7.47 | 0.9525 | 7.84 | |||||||
Columbia Global Equity
|
7.07 | 0.9425 | 7.50 | |||||||
Columbia Global Extended Alpha
|
20.86 | 0.9425 | 22.13 | |||||||
Columbia Multi-Advisor International Value
|
6.13 | 0.9425 | 6.50 | |||||||
Columbia Seligman Global Technology
|
20.24 | 0.9425 | 21.47 | |||||||
RiverSource Disciplined International Equity
|
7.34 | 0.9425 | 7.79 | |||||||
RiverSource Partners International Select Growth
|
6.85 | 0.9425 | 7.27 | |||||||
RiverSource Partners International Small Cap
|
6.12 | 0.9425 | 6.49 | |||||||
Threadneedle Global Equity Income
|
9.99 | 0.9425 | 10.60 | |||||||
Threadneedle International Opportunity
|
8.80 | 0.9425 | 9.34 | |||||||
For funds with fiscal period ending November 30
|
||||||||||
Columbia AMT-Free Tax-Exempt Bond
|
3.74 | 0.9525 | 3.93 | |||||||
Columbia Mid Cap Growth Opportunity
|
10.54 | 0.9425 | 11.18 | |||||||
RiverSource Intermediate Tax-Exempt
|
5.28 | 0.9700 | 5.44 | |||||||
RiverSource Tax-Exempt High Income
|
4.22 | 0.9525 | 4.43 | |||||||
For funds with fiscal period ending December 31
|
||||||||||
Columbia Government Money Market
|
1.00 | No sales charge | 1.00 | |||||||
Columbia Select Large-Cap Value
|
14.70 | 0.9425 | 15.60 | |||||||
Columbia Select Smaller-Cap Value
|
15.97 | 0.9425 | 16.94 | |||||||
Columbia Seligman Communications and Information
|
44.71 | 0.9425 | 47.44 | |||||||
RiverSource LaSalle Global Real Estate
|
4.05 | 0.9425 | 4.30 | |||||||
RiverSource LaSalle Monthly Dividend Real Estate
|
4.55 | 0.9425 | 4.83 | |||||||
Seligman Capital
|
25.70 | 0.9425 | 27.27 | |||||||
Seligman Growth
|
4.76 | 0.9425 | 5.05 | |||||||
| shareholders whose original purchase was in a Strategist fund merged into a RiverSource fund in 2000. | |
| participants of eligible employee benefit plans including 403(b) plans for which Ameriprise Financial Services, Inc. (Ameriprise Financial Services) serves as broker-dealer, and the school district or group received a written proposal from Ameriprise Financial Services between November 1, 2007 and Dec. 31, 2008 (each a Qualifying 403(b) Plan). In order for participants in one of these 403(b) plans to receive this waiver, at least one participant account of the 403(b) plan must have been funded at Ameriprise Financial Services prior to Dec. 31, 2009. This waiver may be discontinued for any Qualifying 403(b) Plan, in the sole discretion of the distributor, after Dec. 31, 2009. | |
| to separate accounts established and maintained by an insurance company which are exempt from registration under Section 3(c)(11) of the 1940 Act. | |
| plans that (i) own Class B shares of any Seligman fund and (ii) participate in Seligman Growth 401(k) through Ascensuss (formerly BISYS) third party administration platform may, with new contributions, purchase Class A shares at net asset value. Class A shares purchased at net asset value on or prior to Sept. 3, 2010 are subject to a CDSC on shares purchased within 18 months prior to plan termination, charged as follows: 1.00% CDSC if redeemed within 12 months of purchase, and 0.50% CDSC if redeemed more than 12, but less than 18, months after purchase. | |
| to participants in retirement and deferred compensation plans and trusts used to fund those plans, including but not limited to, those defined in Sections 401(a), 401(k), 403(b) or 457 of the Internal Revenue Code and rabbi trusts for which Charles Schwab & Co., Inc. acts as broker dealer. | |
| to participants in plans established at the transfer agent (Seligman funds only) prior to January 7, 2008, the plan had $500,000 or 50 participants when the shares were initially purchased. | |
| to participants in retirement and benefit plans made through financial intermediaries that perform participant recordkeeping or other administrative services for the plans and that have entered into special arrangements as alliance program partners with the funds and/or the distributor specifically for such purchases. | |
| to other funds pursuant to a fund-of-funds arrangement provided that the fund is distributed by the distributor. | |
| any shareholder who owned shares of any fund of Columbia Acorn Trust (formerly named Liberty Acorn Trust) on September 29, 2000 (when all of the then outstanding shares of Columbia Acorn Trust were re-designated Class Z shares) and who since that time remained a shareholder of any Fund, may buy Class A shares of any Fund without paying a front-end sales charge in those cases when Class Z shares is not available. | |
| Galaxy Fund shareholders prior to December 1, 1995; and shareholders who (i) bought Galaxy Fund Prime A shares without paying a front-end sales charge and received Class A shares in exchange for those shares during the Galaxy/Liberty Fund reorganization; and (ii) continue to maintain the account in which the Prime A shares were originally bought. |
| (For Class T shares only) Shareholders who (i) bought Galaxy Fund Retail A shares at net asset value and received Class T shares in exchanges for those shares during the Galaxy/Liberty Fund reorganization; and (ii) continue to maintain the account in which the Retail A shares were originally bought; and Boston 1784 Fund shareholders on the date those funds were reorganized into Galaxy Funds. |
| in connection with participation in the Merrill Lynch Small Market 401(k) Program, retirement programs administered or serviced by the Princeton Retirement Group, Paychex, ADP Retirement Services, Hartford Securities Distribution Company, Inc. or NYLIM Service Company LLC, retirement programs or accounts administered or serviced by Mercer HR Services, LLC or its affiliates, or retirement programs or accounts administered or serviced by firms that have a written agreement with the distributor that contemplates a waiver of CDSCs, provided that no sales commission or transaction fee was paid to such authorized financial institution at the time of purchase. |
| after the sole shareholder on an individual account or a joint tenant on a joint tenant account becomes disabled (as defined by Section 72(m)(7) of the Internal Revenue Code). To be eligible for such a waiver: (i) the disability must arise after the account is opened and (ii) a letter from a physician must be signed under penalty of perjury stating the nature of the disability. If the account is transferred to a new registration and then shares are sold, the applicable CDSC will be charged.* | |
| by health savings accounts sponsored by third party platforms, including those sponsored by affiliates of Bank of America.* | |
| for the following purposes (i) to make medical payments that exceed 7.5% of income and (ii) to pay for insurance by an individual who has separated from employment and who has received unemployment compensation under a federal or state program for at least twelve weeks.* | |
| pursuant to the Funds Systematic Withdrawal Plan established with the Transfer Agent, to the extent that the sales do not exceed, on an annual basis, 12% of the accounts value as long as distributions are reinvested. Otherwise, a CDSC will be charged on sales through the Funds Systematic Withdrawal Plan until this requirement is met. | |
| in connection with distributions from qualified retirement plans, government (Section 457) plans, individual retirement accounts or custodial accounts under Section 403(b)(7) of the Internal Revenue Code following normal retirement or the attainment of age 591/2.** | |
| in connection with loans from qualified retirement plans to shareholders.* |
* | Fund investors and selling and/or servicing agents must inform the fund or the transfer agent in writing that the fund investor qualifies for the particular sales charge waiver and provide proof thereof. | |
** | For direct trades on non-prototype retirement accounts where the date of birth of the fund shareholder is not maintained, the shareholder or selling and/or servicing agent must inform the fund or the transfer agent in writing that the Fund investor qualifies for the particular sales charge waiver and provide proof thereof. |
| in connection with participation in the Merrill Lynch Small Market 401(k) Program, retirement programs administered or serviced by the Princeton Retirement Group, Paychex, ADP Retirement Services, Hartford Securities |
Distribution Company, Inc. or NYLIM Service Company LLC, retirement programs or accounts administered or serviced by Mercer HR Services, LLC or its affiliates, or retirement programs or accounts administered or serviced by firms that have a written agreement with the distributor that contemplates a waiver of CDSCs, provided that no sales commission or transaction fee was paid to such authorized financial institution at the time of purchase. |
| of Legacy RiverSource funds held in investment-only accounts (i.e. accounts where Ameriprise Trust Company does not act as the custodian) at Ameriprise Financial Services on behalf of a trust for an employee benefit plan. | |
| of Legacy RiverSource funds held in IRAs or certain qualified plans, on or prior to June 12, 2009, such as Keogh plans, tax-sheltered custodial accounts or corporate pension plans where Ameriprise Trust Company is acting as custodian, provided that the shareholder is: |
| at least 591/2 years old and taking a retirement distribution (if the sale is part of a transfer to an IRA or qualified plan, or a custodian-to-custodian transfer, the CDSC will not be waived)*, or | |
| selling under an approved substantially equal periodic payment arrangement. |
| of sales of Class B shares of Legacy RiverSource funds purchased prior to Sept. 7, 2010 sold under an approved substantially equal periodic payment arrangement (applies to retirement accounts when a shareholder sets up an arrangement with the Internal Revenue Service).** |
* | You must notify the fund or the transfer agent prior to redeeming shares of the applicability of the CDSC waiver, but final decision of the applicability of the CDSC waiver is contingent on approval of the fund or the transfer agent. | |
** | Fund investors and selling and/or servicing agents must inform the fund or the transfer agent in writing that the fund investor qualifies for the particular sales charge waiver and provide proof thereof. |
| 401(k) plans; 457 plans; | |
| employer-sponsored 403(b) plans; | |
| profit sharing and money purchase pension plans; | |
| defined benefit plans; and | |
| non-qualified deferred compensation plans. |
| Qualified employee benefit plans; | |
| Trust companies or similar institutions, and charitable organizations that meet the definition in Section 501(c)(3) of the Internal Revenue Code; | |
| Nonqualified deferred compensation plans; | |
| State sponsored college savings plans established under Section 529 of the Internal Revenue Code; and | |
| Health Savings Accounts (HSAs) created pursuant to public law 108-173. |
| Institutional or corporate accounts above a threshold established by the distributor (currently $1 million per fund or $10 million in all funds); and | |
| Bank Trusts. |
| Any health savings account sponsored by a third party platform, including those sponsored by affiliates of Bank of America |
| Any client of Bank of America or one of its subsidiaries buying shares through an asset management company, trust, fiduciary, retirement plan administration or similar arrangement with Bank of America or the subsidiary. | |
| Any employee (or family member of an employee) of Bank of America or one of its subsidiaries. |
| The Exchange closes for reasons other than the usual weekend and holiday closings or trading on the Exchange is restricted, or | |
| Disposal of a funds securities is not reasonably practicable or it is not reasonably practicable for the fund to determine the fair value of its net assets, or, | |
| The SEC, under the provisions of the 1940 Act, declares a period of emergency to exist. |
Total |
Amount Expiring in | |||||||||||||||||||||||||||||||||||||||
Fund | Capital Loss Carryovers | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | ||||||||||||||||||||||||||||||
For funds with fiscal period ending January 31 | ||||||||||||||||||||||||||||||||||||||||
Columbia Income Builder Fund | $ | 19,447,298 | $0 | $0 | $0 | $0 | $0 | $0 | $2,942,103 | $15,861,057 | $644,138 | |||||||||||||||||||||||||||||
Columbia Income Builder Fund II | $ | 59,928,714 | $0 | $0 | $0 | $0 | $0 | $0 | $7,376,558 | $51,037,474 | $1,514,682 | |||||||||||||||||||||||||||||
Columbia Income Builder Fund III | $ | 37,439,030 | $0 | $0 | $0 | $0 | $0 | $0 | $5,920,892 | $31,518,138 | $0 | |||||||||||||||||||||||||||||
Columbia Portfolio Builder Aggressive | $ | 37,879,654 | $0 | $0 | $0 | $0 | $0 | $0 | $6,629,032 | $28,221,611 | $3,029,011 | |||||||||||||||||||||||||||||
Columbia Portfolio Builder Conservative | $ | 4,428,658 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $4,265,389 | $163,269 | |||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate | $ | 48,604,696 | $0 | $0 | $0 | $0 | $0 | $0 | $7,597,638 | $37,758,600 | $3,248,458 | |||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive | $ | 68,142,574 | $0 | $0 | $0 | $0 | $0 | $0 | $4,898,399 | $57,879,727 | $5,364,448 | |||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative | $ | 17,455,318 | $0 | $0 | $0 | $0 | $0 | $0 | $1,062,939 | $15,811,121 | $581,258 | |||||||||||||||||||||||||||||
Columbia Portfolio Builder Total Equity | $ | 42,147,214 | $0 | $0 | $0 | $0 | $0 | $0 | $7,784,164 | $30,165,767 | $4,197,283 | |||||||||||||||||||||||||||||
RiverSource S&P 500 Index | $ | 4,733,437 | $0 | $0 | $1,980,165 | $235,890 | $66,065 | $0 | $0 | $2,105,466 | $345,851 | |||||||||||||||||||||||||||||
RiverSource Small Company Index | $ | 43,209,451 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $41,195,692 | $2,013,759 | |||||||||||||||||||||||||||||
For funds with fiscal period ending March 31 | ||||||||||||||||||||||||||||||||||||||||
Columbia Equity Value | $ | 133,819,916 | $0 | $0 | $0 | $0 | $0 | $96,368 | $40,190,239 | $93,533,309 | $0 | |||||||||||||||||||||||||||||
RiverSource Precious Metals and Mining | $ | 14,911,599 | $0 | $0 | $0 | $0 | $0 | $0 | $14,911,599 | $0 | $0 | |||||||||||||||||||||||||||||
For funds with fiscal period ending April 30
|
||||||||||||||||||||||||||||||||||||||||
Columbia 120/20 Contrarian Equity |
$ | 11,229,719 | $0 | $0 | $0 | $0 | $0 | $0 | $3,090,734 | $8,138,985 | $0 | |||||||||||||||||||||||||||||
Columbia Recovery and Infrastructure | $ | 0 | | | | | | | | | | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2010 | $ | 3,454,336 | $0 | $0 | $0 | $0 | $0 | $0 | $428,181 | $2,827,856 | $198,299 | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2015 | $ | 4,269,531 | $0 | $0 | $0 | $0 | $0 | $0 | $704,342 | $3,055,770 | $509,419 | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2020 | $ | 5,656,636 | $0 | $0 | $0 | $0 | $0 | $0 | $502,050 | $4,705,880 | $448,706 | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2025 | $ | 4,543,260 | $0 | $0 | $0 | $0 | $0 | $0 | $662,473 | $3,488,786 | $392,001 | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2030 | $ | 4,050,556 | $0 | $0 | $0 | $0 | $0 | $0 | $623,603 | $2,895,797 | $531,156 | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2035 | $ | 1,679,848 | $0 | $0 | $0 | $0 | $0 | $0 | $312,553 | $1,217,126 | $150,169 | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2040 | $ | 955,784 | $0 | $0 | $0 | $0 | $0 | $0 | $370,260 | $565,348 | $20,176 | |||||||||||||||||||||||||||||
Columbia Retirement Plus 2045 | $ | 468,723 | $0 | $0 | $0 | $0 | $0 | $0 | $84,212 | $248,395 | $136,116 | |||||||||||||||||||||||||||||
Total |
Amount Expiring in | |||||||||||||||||||||||||||||||||||||||
Fund | Capital Loss Carryovers | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | ||||||||||||||||||||||||||||||
For funds with fiscal period ending May 31
|
||||||||||||||||||||||||||||||||||||||||
Columbia High Yield Bond | $ | 815,795,304 | $552,664,309 | $0 | $0 | $19,078,058 | $0 | $9,388,877 | $179,604,128 | $55,059,932 | $0 | |||||||||||||||||||||||||||||
Columbia Multi-Advisor Small Cap Value | $ | 66,320,839 | $0 | $0 | $0 | $0 | $0 | $0 | $20,926,946 | $45,393,893 | $0 | |||||||||||||||||||||||||||||
Columbia U.S. Government Mortgage | $ | 12,077,144 | $0 | $0 | $0 | $0 | $0 | $0 | $410,120 | $11,667,024 | $0 | |||||||||||||||||||||||||||||
RiverSource Partners Fundamental Value | $ | 113,804,431 | $0 | $0 | $0 | $0 | $0 | $0 | $26,053,833 | $82,755,092 | $4,995,506 | |||||||||||||||||||||||||||||
RiverSource Short Duration U.S. Government | $ | 93,995,687 | $0 | $1,261,719 | $38,180,597 | $22,499,962 | $9,579,187 | $0 | $3,846,817 | $18,627,405 | $0 | |||||||||||||||||||||||||||||
For funds with fiscal period ending June 30
|
||||||||||||||||||||||||||||||||||||||||
Columbia Dividend Opportunity | $ | 573,711,900 | $343,927,468 | $0 | $0 | $0 | $0 | $0 | $36,972,874 | $165,774,622 | $27,036,936 | |||||||||||||||||||||||||||||
RiverSource Real Estate | $ | 45,007,629 | $0 | $0 | $0 | $0 | $0 | $0 | $1,114,883 | $43,892,746 | $0 | |||||||||||||||||||||||||||||
For funds with fiscal period ending July 31
|
||||||||||||||||||||||||||||||||||||||||
Columbia Floating Rate | $ | 69,735,278 | $0 | $0 | $0 | $0 | $33,562 | $3,488,601 | $29,093,899 | $35,393,394 | $1,725,822 | |||||||||||||||||||||||||||||
Columbia Income Opportunities | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Inflation Protected Securities | $ | 17,202,378 | $0 | $0 | $0 | $0 | $0 | $0 | $8,424,851 | $8,777,527 | $0 | |||||||||||||||||||||||||||||
Columbia Large Core Quantitative | $ | 2,641,007,182 | $0 | $0 | $0 | $0 | $0 | $420,044,596 | $1,377,208,066 | $628,476,902 | $215,277,618 | |||||||||||||||||||||||||||||
Columbia Limited Duration Credit | $ | 9,271,761 | $0 | $0 | $0 | $0 | $2,206,552 | $0 | $825,807 | $4,896,866 | $1,342,536 | |||||||||||||||||||||||||||||
Columbia Money Market | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity | $ | 7,615,730 | $0 | $0 | $0 | $0 | $0 | $0 | $7,615,730 | $0 | $0 | |||||||||||||||||||||||||||||
RiverSource Disciplined Small Cap Value | $ | 6,228,634 | $0 | $0 | $0 | $0 | $0 | $0 | $6,228,634 | $0 | $0 | |||||||||||||||||||||||||||||
For funds with fiscal period ending August 31
|
||||||||||||||||||||||||||||||||||||||||
Columbia Diversified Bond | $ | 22,648,830 | $0 | $5,227,159 | $3,354,885 | $10,357,129 | $0 | $0 | $3,709,657 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Minnesota Tax-Exempt | $ | 173,241 | $0 | $0 | $0 | $0 | $0 | $0 | $173,241 | $0 | $0 | |||||||||||||||||||||||||||||
RiverSource California Tax-Exempt | $ | 2,029,072 | $0 | $0 | $0 | $0 | $0 | $359,905 | $1,247,347 | $421,820 | $0 | |||||||||||||||||||||||||||||
RiverSource New York Tax-Exempt | $ | 643,568 | $0 | $0 | $0 | $0 | $0 | $3,664 | $341,015 | $298,889 | $0 | |||||||||||||||||||||||||||||
For funds with fiscal period ending
September 30
|
||||||||||||||||||||||||||||||||||||||||
Columbia Diversified Equity Income | $ | 1,201,620,786 | $0 | $0 | $0 | $0 | $0 | $247,351 | $47,002,150 | $1,154,371,285 | $0 | |||||||||||||||||||||||||||||
Columbia Large Growth Quantitative | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Large Value Quantitative | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Mid Cap Value Opportunity | $ | 627,066,547 | $0 | $0 | $0 | $0 | $0 | $34,137,314 | $96,087,907 | $488,027,261 | $8,814,065 | |||||||||||||||||||||||||||||
Columbia Strategic Allocation | $ | 417,943,061 | $0 | $0 | $0 | $0 | $0 | $0 | $21,514,298 | $320,258,879 | $76,169,884 | |||||||||||||||||||||||||||||
RiverSource Balanced | $ | 551,180,261 | $368,676,980 | $24,886,878 | $0 | $0 | $0 | $8,353,706 | $38,698,637 | $110,564,060 | $0 | |||||||||||||||||||||||||||||
RiverSource Strategic Income Allocation | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Seligman California Municipal High-Yield | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Seligman California Municipal Quality | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Seligman Minnesota Municipal | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Seligman National Municipal | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Seligman New York Municipal | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Total |
Amount Expiring in | |||||||||||||||||||||||||||||||||||||||
Fund | Capital Loss Carryovers | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | ||||||||||||||||||||||||||||||
For funds with fiscal period ending October 31 | ||||||||||||||||||||||||||||||||||||||||
Columbia Absolute Return Currency and Income | $ | 1,692,023 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $1,692,023 | $0 | |||||||||||||||||||||||||||||
Columbia Asia Pacific ex-Japan | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Emerging Markets Bond | $ | 5,545,654 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $5,545,654 | $0 | |||||||||||||||||||||||||||||
Columbia Emerging Markets Opportunity | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia European Equity | $ | 28,018,651 | $0 | $5,021,215 | $0 | $0 | $0 | $0 | $4,272,956 | $18,724,480 | $0 | |||||||||||||||||||||||||||||
Columbia Frontier | $ | 38,601,353 | $0 | $0 | $0 | 0 | 0 | 0 | 0 | 14,104,490 | 24,496,863 | |||||||||||||||||||||||||||||
Columbia Global Bond | $ | 11,380,428 | $0 | $0 | $0 | $0 | $498,771 | $0 | $2,328,738 | $8,552,919 | $0 | |||||||||||||||||||||||||||||
Columbia Global Equity | $ | 194,881,637 | $0 | $30,509,951 | $0 | $0 | $0 | $1,766,232 | $62,625,028 | $99,980,426 | $0 | |||||||||||||||||||||||||||||
Columbia Global Extended Alpha | $ | 415,463 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $415,463 | $0 | |||||||||||||||||||||||||||||
Columbia Multi-Advisor International Value | $ | 343,027,537 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $340,858,587 | $2,168,950 | |||||||||||||||||||||||||||||
Columbia Seligman Global Technology | $ | 83,037,245 | $0 | $17,073,210 | $0 | $0 | $0 | $1,968,461 | $37,526,708 | $26,468,866 | $0 | |||||||||||||||||||||||||||||
RiverSource Disciplined International Equity | $ | 390,115,334 | $0 | $0 | $0 | $0 | $0 | $0 | $24,531,187 | $262,961,946 | $102,622,201 | |||||||||||||||||||||||||||||
RiverSource Partners International Select Growth | $ | 149,891,453 | $0 | $0 | $0 | $0 | $0 | $0 | $33,693,010 | $116,198,443 | $0 | |||||||||||||||||||||||||||||
RiverSource Partners International Small Cap | $ | 83,153,018 | $0 | $0 | $0 | $0 | $0 | $0 | $18,328,621 | $64,824,397 | $0 | |||||||||||||||||||||||||||||
Threadneedle Global Equity Income | $ | 429,635 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $429,635 | $0 | |||||||||||||||||||||||||||||
Threadneedle International Opportunity | $ | 145,483,337 | $0 | $38,262,972 | $0 | $0 | $0 | $0 | $12,069,463 | $95,150,902 | $0 | |||||||||||||||||||||||||||||
For funds with fiscal period ending November 30
|
||||||||||||||||||||||||||||||||||||||||
Columbia Mid Cap Growth Opportunity | $ | 112,027,415 | $26,407,071 | $0 | $0 | $0 | $0 | $54,181,922 | $31,438,422 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond | $ | 10,227,823 | $0 | $0 | $0 | $0 | $0 | $1,847,874 | $8,379,949 | $0 | $0 | |||||||||||||||||||||||||||||
RiverSource Intermediate Tax-Exempt | $ | 795,140 | $0 | $0 | $0 | $177,579 | $0 | $361,418 | $165,166 | $90,977 | $0 | |||||||||||||||||||||||||||||
RiverSource Tax-Exempt High Income | $ | 71,108,443 | $0 | $0 | $0 | $0 | $0 | $13,239,272 | $57,869,171 | $0 | $0 | |||||||||||||||||||||||||||||
For funds with fiscal period ending December 31
|
||||||||||||||||||||||||||||||||||||||||
Columbia Government Money Market | $ | 66 | $0 | $0 | $66 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Select Large-Cap Value | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Select Smaller-Cap Value | $ | 178,764,371 | $0 | $0 | $0 | $0 | $16,240,577 | $119,073,494 | $43,450,300 | $0 | $0 | |||||||||||||||||||||||||||||
Columbia Seligman Communications and Information | $ | 0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | $0 | |||||||||||||||||||||||||||||
RiverSource LaSalle Global Real Estate | $ | 18,263,773 | $0 | $0 | $0 | $0 | $585,168 | $5,289,122 | $9,443,735 | $2,931,454 | $14,294 | |||||||||||||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate | $ | 39,897,335 | $0 | $0 | $0 | $0 | $0 | $13,539,836 | $26,357,499 | $0 | $0 | |||||||||||||||||||||||||||||
Seligman Capital | $ | 124,124,638 | $0 | $0 | $0 | $0 | $0 | $63,824,881 | $60,299,757 | $0 | $0 | |||||||||||||||||||||||||||||
Seligman Growth | $ | 959,448,439 | $0 | $0 | $0 | $0 | $0 | $933,955,524 | $25,492,915 | $0 | $0 | |||||||||||||||||||||||||||||
Percent of
dividends qualifying |
Qualified
dividend income |
|||
Fund | for corporate deduction | for individuals | ||
For funds with fiscal period ending January 31
|
||||
Columbia Income Builder Fund
|
20.79% | 23.21% | ||
Columbia Income Builder Fund II
|
19.04 | 22.16 | ||
Columbia Income Builder Fund III
|
13.81 | 17.15 | ||
Columbia Portfolio Builder Aggressive
|
60.55 | 90.45 | ||
Columbia Portfolio Builder Conservative
|
100.00 | 100.00 | ||
Columbia Portfolio Builder Moderate
|
27.70 | 41.29 | ||
Columbia Portfolio Builder Moderate Aggressive
|
43.07 | 64.31 | ||
Columbia Portfolio Builder Moderate Conservative
|
18.56 | 27.43 | ||
Columbia Portfolio Builder Total Equity
|
91.77 | 100.00 | ||
RiverSource S&P 500 Index
|
100.00 | 100.00 | ||
RiverSource Small Company Index
|
100.00 | 100.00 | ||
For funds with fiscal period ending March 31
|
||||
Columbia Equity Value
|
100.00 | 100.00 | ||
RiverSource Precious Metals and Mining
|
5.22 | 20.29 | ||
For funds with fiscal period ending April 30
|
||||
Columbia 120/20 Contrarian Equity
|
100.00 | 100.00 | ||
Columbia Recovery and Infrastructure
|
35.61 | 42.61 | ||
Columbia Retirement Plus 2010
|
45.41 | 50.54 | ||
Columbia Retirement Plus 2015
|
47.80 | 54.77 | ||
Columbia Retirement Plus 2020
|
53.80 | 62.70 | ||
Columbia Retirement Plus 2025
|
60.75 | 70.54 | ||
Columbia Retirement Plus 2030
|
61.11 | 70.71 | ||
Columbia Retirement Plus 2035
|
60.82 | 70.52 | ||
Columbia Retirement Plus 2040
|
61.81 | 71.38 | ||
Columbia Retirement Plus 2045
|
67.54 | 77.42 | ||
Percent of
dividends qualifying |
Qualified
dividend income |
|||
Fund | for corporate deduction | for individuals | ||
For funds with fiscal period ending May 31
|
||||
Columbia High Yield Bond
|
0% | 0% | ||
Columbia Multi-Advisor Small Cap Value
|
0 | 0 | ||
Columbia U.S. Government Mortgage
|
0 | 0 | ||
RiverSource Partners Fundamental Value
|
100.00 | 100.00 | ||
RiverSource Short Duration U.S. Government
|
0 | 0 | ||
For funds with fiscal period ending June 30
|
||||
Columbia Dividend Opportunity
|
91.83 | 100.00 | ||
RiverSource Real Estate
|
0.35 | 7.02 | ||
For funds with fiscal period ending July 31
|
||||
Columbia Floating Rate
|
0.06 | 0.06 | ||
Columbia Income Opportunities
|
0 | 0 | ||
Columbia Inflation Protected Securities
|
0 | 0 | ||
Columbia Limited Duration Credit
|
0 | 0 | ||
Columbia Large Core Quantitative
|
100.00 | 100.00 | ||
Columbia Money Market
|
0 | 0 | ||
RiverSource Disciplined Small and Mid Cap Equity
|
100.00 | 100.00 | ||
RiverSource Disciplined Small Cap Value
|
100.00 | 100.00 | ||
For funds with fiscal period ending August 31
|
||||
Columbia Diversified Bond
|
0 | 0 | ||
Columbia Minnesota Tax-Exempt
|
0 | 0 | ||
RiverSource California Tax-Exempt
|
0 | 0 | ||
RiverSource New York Tax-Exempt
|
0 | 0 | ||
For funds with fiscal period ending September 30
|
||||
Columbia Diversified Equity Income
|
100.00 | 100.00 | ||
Columbia Large Growth Quantitative
|
85.76 | 86.24 | ||
Columbia Large Value Quantitative
|
28.01 | 28.85 | ||
Columbia Mid Cap Value Opportunity
|
100.00 | 100.00 | ||
Columbia Strategic Allocation
|
65.79 | 81.93 | ||
RiverSource Balanced
|
66.79 | 77.86 | ||
RiverSource Strategic Income Allocation
|
0.01 | 0.06 | ||
Seligman California Municipal High-Yield
|
0 | 0 | ||
Seligman California Municipal Quality
|
0 | 0 | ||
Seligman Minnesota Municipal
|
0 | 0 | ||
Seligman National Municipal
|
0 | 0 | ||
Seligman New York Municipal
|
0 | 0 | ||
For funds with fiscal period ending October 31
|
||||
Columbia Absolute Return Currency and Income
|
0 | 0 | ||
Percent of
dividends qualifying |
Qualified
dividend income |
|||
Fund | for corporate deduction | for individuals | ||
Columbia Asia Pacific ex-Japan
|
0.07% | 75.55% | ||
Columbia Emerging Markets Bond
|
0 | 0 | ||
Columbia Emerging Markets Opportunity
|
4.66 | 100.00 | ||
Columbia European Equity
|
0 | 100.00 | ||
Columbia Frontier
|
0 | 0 | ||
Columbia Global Bond
|
0 | 0 | ||
Columbia Global Equity
|
90.45 | 100.00 | ||
Columbia Global Extended Alpha
|
24.76 | 100.00 | ||
Columbia Multi-Advisor International Value
|
1.87 | 89.22 | ||
Columbia Seligman Global Technology
|
0 | 0 | ||
RiverSource Disciplined International Equity
|
0.42 | 100.00 | ||
RiverSource Partners International Select Growth
|
0.67 | 85.47 | ||
RiverSource Partners International Small Cap
|
1.49 | 58.03 | ||
Threadneedle Global Equity Income
|
25.41 | 52.34 | ||
Threadneedle International Opportunity
|
0 | 100.00 | ||
For funds with fiscal period ending November 30
|
||||
Columbia AMT-Free Tax-Exempt Bond
|
0 | 0 | ||
Columbia Mid Cap Growth Opportunity
|
0 | 0 | ||
RiverSource Intermediate Tax-Exempt
|
0 | 0 | ||
RiverSource Tax-Exempt High Income
|
0 | 0 | ||
For funds with fiscal period ending December 31
|
||||
Columbia Government Money Market
|
0 | 0 | ||
Columbia Select Large-Cap Value
|
100.00 | 100.00 | ||
Columbia Select Smaller-Cap Value
|
0 | 0 | ||
Columbia Seligman Communications and Information
|
0 | 0 | ||
RiverSource LaSalle Global Real Estate
|
0 | 28.65 | ||
RiverSource LaSalle Monthly Dividend Real Estate
|
0 | 1.38 | ||
Seligman Capital
|
0 | 0 | ||
Seligman Growth
|
100.00 | 100.00 | ||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Columbia 120/20 Contrarian Equity
|
First $0.25 | 0.950 | % | 0.950% | ||||
Next $0.25 | 0.930 | % | ||||||
Next $0.50 | 0.910 | % | ||||||
Over $1.0 | 0.890 | % | ||||||
Columbia Absolute Return Currency
|
First $1.0 | 0.890 | % | 0.890% | ||||
and Income
|
Next $1.0 | 0.865 | % | |||||
Next $1.0 | 0.840 | % | ||||||
Next $3.0 | 0.815 | % | ||||||
Next $1.5 | 0.790 | % | ||||||
Next $1.5 | 0.775 | % | ||||||
Next $1.0 | 0.770 | % | ||||||
Next $5.0 | 0.760 | % | ||||||
Next $5.0 | 0.750 | % | ||||||
Next $4.0 | 0.740 | % | ||||||
Next $26.0 | 0.720 | % | ||||||
Over $50.0 | 0.700 | % | ||||||
Columbia AMT-Free Tax-Exempt Bond
|
First $1.0 | 0.410 | % | 0.410% | ||||
Next $1.0 | 0.385 | % | ||||||
Next $1.0 | 0.360 | % | ||||||
Next $3.0 | 0.335 | % | ||||||
Next $1.5 | 0.310 | % | ||||||
Next $2.5 | 0.300 | % | ||||||
Next $5.0 | 0.290 | % | ||||||
Next $9.0 | 0.280 | % | ||||||
Next $26.0 | 0.260 | % | ||||||
Over $50.0 | 0.250 | % | ||||||
Columbia Asia Pacific ex-Japan
|
First $0.25 | 0.800 | % | Columbia Asia Pacific ex-Japan 0.787% | ||||
Columbia European Equity
|
Next $0.25 | 0.775 | % | Columbia European Equity 0.800% | ||||
RiverSource Disciplined International
|
Next $0.25 | 0.750 | % | RiverSource Disciplined International Equity 0.790% | ||||
Equity
|
Next $0.25 | 0.725 | % | Threadneedle Global Equity Income 0.800% | ||||
Threadneedle Global Equity Income
|
Next $1.0 | 0.700 | % | Threadneedle International Opportunity 0.791% | ||||
Threadneedle International Opportunity
|
Next $5.5 | 0.675 | % | |||||
Next $2.5 | 0.660 | % | ||||||
Next $5.0 | 0.645 | % | ||||||
Next $5.0 | 0.635 | % | ||||||
Next $4.0 | 0.610 | % | ||||||
Next $26.0 | 0.600 | % | ||||||
Over $50.0 | 0.570 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Columbia Diversified Bond
|
First $1.0 | 0.480 | % | Columbia Diversified Bond 0.442% | ||||
Columbia Limited Duration Credit
|
Next $1.0 | 0.455 | % | Columbia Limited Duration Credit 0.480% | ||||
Next $1.0 | 0.430 | % | ||||||
Next $3.0 | 0.405 | % | ||||||
Next $1.5 | 0.380 | % | ||||||
Next $1.5 | 0.365 | % | ||||||
Next $1.0 | 0.360 | % | ||||||
Next $5.0 | 0.350 | % | ||||||
Next $5.0 | 0.340 | % | ||||||
Next $4.0 | 0.330 | % | ||||||
Next $26.0 | 0.310 | % | ||||||
Over $50.0 | 0.290 | % | ||||||
Columbia Diversified Equity Income
|
First $1.0 | 0.600 | % | Columbia Diversified Equity Income 0.559% | ||||
Columbia Large Core Quantitative
|
Next $1.0 | 0.575 | % | Columbia Large Core Quantitative 0.565% | ||||
Columbia Large Growth Quantitative
|
Next $1.0 | 0.550 | % | Columbia Large Growth Quantitative 0.600% | ||||
Next $3.0 | 0.525 | % | ||||||
Next $1.5 | 0.500 | % | ||||||
Next $2.5 | 0.485 | % | ||||||
Next $5.0 | 0.470 | % | ||||||
Next $5.0 | 0.450 | % | ||||||
Next $4.0 | 0.425 | % | ||||||
Next $26.0 | 0.400 | % | ||||||
Over $50.0 | 0.375 | % | ||||||
Columbia Dividend Opportunity
|
First $0.50 | 0.610 | % | 0.542% | ||||
Next $0.50 | 0.585 | % | ||||||
Next $1.0 | 0.560 | % | ||||||
Next $1.0 | 0.535 | % | ||||||
Next $3.0 | 0.510 | % | ||||||
Next $4.0 | 0.480 | % | ||||||
Next $5.0 | 0.470 | % | ||||||
Next $5.0 | 0.450 | % | ||||||
Next $4.0 | 0.425 | % | ||||||
Next $26.0 | 0.400 | % | ||||||
Over $50.0 | 0.375 | % | ||||||
Columbia Emerging Markets Bond
|
First $0.25 | 0.720 | % | Columbia Emerging Markets Bond 0.720% | ||||
Columbia Global Bond
|
Next $0.25 | 0.695 | % | Columbia Global Bond 0.705% | ||||
Next $0.25 | 0.670 | % | ||||||
Next $0.25 | 0.645 | % | ||||||
Next $6.5 | 0.620 | % | ||||||
Next $2.5 | 0.605 | % | ||||||
Next $5.0 | 0.590 | % | ||||||
Next $5.0 | 0.580 | % | ||||||
Next $4.0 | 0.560 | % | ||||||
Next $26.0 | 0.540 | % | ||||||
Over $50.0 | 0.520 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Columbia Emerging Markets
|
First $0.25 | 1.100 | % | 1.081% | ||||
Opportunity
|
Next $0.25 | 1.080 | % | |||||
Next $0.25 | 1.060 | % | ||||||
Next $0.25 | 1.040 | % | ||||||
Next $1.0 | 1.020 | % | ||||||
Next $5.5 | 1.000 | % | ||||||
Next $2.5 | 0.985 | % | ||||||
Next $5.0 | 0.970 | % | ||||||
Net $5.0 | 0.960 | % | ||||||
Next $4.0 | 0.935 | % | ||||||
Next $26.0 | 0.920 | % | ||||||
Over $50.0 | 0.900 | % | ||||||
Columbia Equity Value
|
First $0.50 | 0.530 | % | 0.521% | ||||
Next $0.50 | 0.505 | % | ||||||
Next $1.0 | 0.480 | % | ||||||
Next $1.0 | 0.455 | % | ||||||
Next $3.0 | 0.430 | % | ||||||
Over $6.0 | 0.400 | % | ||||||
Columbia Frontier
|
First $0.75 | 0.885 | % | 0.885% | ||||
Over $0.75 | 0.790 | % | ||||||
Columbia Floating Rate
|
First $1.0 | 0.610 | % | 0.610% | ||||
Next $1.0 | 0.585 | % | ||||||
Next $1.0 | 0.560 | % | ||||||
Next $3.0 | 0.535 | % | ||||||
Next $1.5 | 0.510 | % | ||||||
Next $1.5 | 0.495 | % | ||||||
Next $1.0 | 0.470 | % | ||||||
Next $5.0 | 0.455 | % | ||||||
Next $5.0 | 0.445 | % | ||||||
Next $4.0 | 0.420 | % | ||||||
Next $26.0 | 0.405 | % | ||||||
Over $50.0 | 0.380 | % | ||||||
Columbia Global
Equity(c)
|
First $0.25 | 0.800 | % | 0.789% | ||||
Next $0.25 | 0.775 | % | ||||||
Next $0.25 | 0.750 | % | ||||||
Next $0.25 | 0.725 | % | ||||||
Next $0.5 | 0.700 | % | ||||||
Next $1.5 | 0.650 | % | ||||||
Next $3.0 | 0.640 | % | ||||||
Next $6.0 | 0.620 | % | ||||||
Next $8.0 | 0.620 | % | ||||||
Next $4.0 | 0.610 | % | ||||||
Next $26.0 | 0.600 | % | ||||||
Over $50.0 | 0.570 | % | ||||||
Columbia Global Extended Alpha
|
First $0.25 | 1.050 | % | 1.050% | ||||
Next $0.25 | 1.030 | % | ||||||
Next $0.50 | 1.010 | % | ||||||
Over $1.0 | 0.990 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Columbia Government Money Market
|
First $1.0 | 0.330 | % | Columbia Government Money Market 0.330% | ||||
Columbia Money Market
|
Next $0.5 | 0.313 | % | Columbia Money Market 0.306% | ||||
Next $0.5 | 0.295 | % | ||||||
Next $0.5 | 0.278 | % | ||||||
Next $2.5 | 0.260 | % | ||||||
Next $1.0 | 0.240 | % | ||||||
Next $1.5 | 0.220 | % | ||||||
Next $1.5 | 0.215 | % | ||||||
Next $1.0 | 0.190 | % | ||||||
Next $5.0 | 0.180 | % | ||||||
Next $5.0 | 0.170 | % | ||||||
Next $4.0 | 0.160 | % | ||||||
Over $24.0 | 0.150 | % | ||||||
Columbia High Yield Bond
|
First $1.0 | 0.590 | % | 0.580% | ||||
Next $1.0 | 0.565 | % | ||||||
Next $1.0 | 0.540 | % | ||||||
Next $3.0 | 0.515 | % | ||||||
Next $1.5 | 0.490 | % | ||||||
Next $1.5 | 0.475 | % | ||||||
Next $1.0 | 0.450 | % | ||||||
Next $5.0 | 0.435 | % | ||||||
Next $5.0 | 0.425 | % | ||||||
Next $4.0 | 0.400 | % | ||||||
Next $26.0 | 0.385 | % | ||||||
Over $50.0 | 0.360 | % | ||||||
Columbia Income Builder Fund
|
N/A | N/A | N/A | |||||
Columbia Income Builder Fund II
|
||||||||
Columbia Income Builder Fund III
|
||||||||
Columbia Portfolio Builder Aggressive
|
||||||||
Columbia Portfolio Builder Conservative
|
||||||||
Columbia Portfolio Builder Moderate
|
||||||||
Columbia Portfolio Builder Moderate Aggressive
|
||||||||
Columbia Portfolio Builder Moderate Conservative
|
||||||||
Columbia Portfolio Builder Total Equity
|
||||||||
Columbia Retirement Plus 2010
|
||||||||
Columbia Retirement Plus 2015
|
||||||||
Columbia Retirement Plus 2020
|
||||||||
Columbia Retirement Plus 2025
|
||||||||
Columbia Retirement Plus 2030
|
||||||||
Columbia Retirement Plus 2035
|
||||||||
Columbia Retirement Plus 2040
|
||||||||
Columbia Retirement Plus 2045
|
||||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Columbia Income
Opportunities(d)
|
First $0.25 | 0.590 | % | 0.610% | ||||
Next $0.25 | 0.575 | % | ||||||
Next $0.25 | 0.570 | % | ||||||
Next $0.25 | 0.560 | % | ||||||
Next $1.0 | 0.550 | % | ||||||
Next $1.0 | 0.540 | % | ||||||
Next $3.0 | 0.515 | % | ||||||
Next $1.5 | 0.490 | % | ||||||
Next $1.5 | 0.475 | % | ||||||
Next $1.0 | 0.450 | % | ||||||
Next $5.0 | 0.435 | % | ||||||
Next $5.0 | 0.425 | % | ||||||
Next $4.0 | 0.400 | % | ||||||
Next $26.0 | 0.385 | % | ||||||
Over $50.0 | 0.360 | % | ||||||
Columbia Inflation Protected
|
First $1.0 | 0.440 | % | 0.440% | ||||
Securities
|
Next $1.0 | 0.415 | % | |||||
Next $1.0 | 0.390 | % | ||||||
Next $3.0 | 0.365 | % | ||||||
Next $1.5 | 0.340 | % | ||||||
Next $1.5 | 0.325 | % | ||||||
Next $1.0 | 0.320 | % | ||||||
Next $5.0 | 0.310 | % | ||||||
Next $5.0 | 0.300 | % | ||||||
Next $4.0 | 0.290 | % | ||||||
Next $26.0 | 0.270 | % | ||||||
Over $50.0 | 0.250 | % | ||||||
Columbia Large Value
|
First $0.5 | 0.690 | % | 0.600% | ||||
Quantitative(e)
|
Next $0.5 | 0.645 | % | |||||
Next $0.5 | 0.600 | % | ||||||
Next $1.5 | 0.550 | % | ||||||
Next $3.0 | 0.540 | % | ||||||
Over $6.0 | 0.520 | % | ||||||
Columbia Marsico Flexible Capital
|
First $0.5 | 0.890 | % | N/A(a) | ||||
Next $0.5 | 0.840 | % | ||||||
Next $2.0 | 0.790 | % | ||||||
Next $3.0 | 0.770 | % | ||||||
Over $6.0 | 0.750 | % | ||||||
Columbia Mid Cap Growth Opportunity
|
First $1.0 | 0.700 | % | Columbia Mid Cap Growth Opportunity 0.698% | ||||
RiverSource Disciplined Small and Mid
|
Next $1.0 | 0.675 | % | RiverSource Disciplined Small and Mid Cap Equity 0.700% | ||||
Cap Equity
|
Next $1.0 | 0.650 | % | |||||
Next $3.0 | 0.625 | % | ||||||
Next $1.5 | 0.600 | % | ||||||
Next $2.5 | 0.575 | % | ||||||
Next $5.0 | 0.550 | % | ||||||
Next $9.0 | 0.525 | % | ||||||
Next $26.0 | 0.500 | % | ||||||
Over $50.0 | 0.475 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Columbia Mid Cap Value Opportunity
|
First $1.0 | 0.700 | % | 0.684% | ||||
Next $1.0 | 0.675 | % | ||||||
Next $1.0 | 0.650 | % | ||||||
Next $3.0 | 0.625 | % | ||||||
Next $1.5 | 0.600 | % | ||||||
Next $2.5 | 0.575 | % | ||||||
Next $5.0 | 0.550 | % | ||||||
Next $9.0 | 0.525 | % | ||||||
Next $26.0 | 0.500 | % | ||||||
Over $50.0 | 0.475 | % | ||||||
Columbia Minnesota
Tax-Exempt(f)
|
First $0.5 | 0.400 | % | 0.403% | ||||
Next $0.5 | 0.350 | % | ||||||
Next $2.0 | 0.320 | % | ||||||
Next $3.0 | 0.290 | % | ||||||
Next $1.5 | 0.280 | % | ||||||
Over $7.5 | 0.270 | % | ||||||
Columbia Multi-Advisor International
|
First $0.25 | 0.900 | % | 0.878% | ||||
Value
|
Next $0.25 | 0.875 | % | |||||
Next $0.25 | 0.850 | % | ||||||
Next $0.25 | 0.825 | % | ||||||
Next $1.0 | 0.800 | % | ||||||
Over $2.0 | 0.775 | % | ||||||
Columbia Multi-Advisor Small Cap
|
First $0.25 | 0.970 | % | 0.960% | ||||
Value
|
Next $0.25 | 0.945 | % | |||||
Next $0.25 | 0.920 | % | ||||||
Next $0.25 | 0.895 | % | ||||||
Over $1.0 | 0.870 | % | ||||||
Columbia Recovery and Infrastructure
|
First $1.0 | 0.650 | % | 0.650% | ||||
Next $1.0 | 0.600 | % | ||||||
Next $4.0 | 0.550 | % | ||||||
Over $6.0 | 0.500 | % | ||||||
Columbia Select Large-Cap Value
|
First $0.5 | 0.755 | % | 0.755% | ||||
Next $0.5 | 0.660 | % | ||||||
Over $1.0 | 0.565 | % | ||||||
Columbia Select Smaller-Cap Value
|
First $0.5 | 0.935 | % | 0.935% | ||||
Next $0.5 | 0.840 | % | ||||||
Over $1.0 | 0.745 | % | ||||||
Columbia Seligman Communications
|
First $3.0 | 0.855 | % | 0.847% | ||||
and Information
|
Next $3.0 | 0.825 | % | |||||
Over $6.0 | 0.725 | % | ||||||
Columbia Seligman Global
Technology(b)
|
First $3.0 | 0.855 | % | 0.950% | ||||
Next $3.0 | 0.825 | % | ||||||
Over $6.0 | 0.725 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Columbia Strategic Allocation
|
First $1.0 | 0.570 | % | 0.569% | ||||
Next $1.0 | 0.545 | % | ||||||
Next $1.0 | 0.520 | % | ||||||
Next $3.0 | 0.495 | % | ||||||
Next $1.5 | 0.470 | % | ||||||
Next $2.5 | 0.450 | % | ||||||
Next $5.0 | 0.430 | % | ||||||
Next $9.0 | 0.410 | % | ||||||
Over $24.0 | 0.390 | % | ||||||
Columbia U.S. Government Mortgage
|
First $1.0 | 0.480 | % | 0.480% | ||||
Next $1.0 | 0.455 | % | ||||||
Next $1.0 | 0.430 | % | ||||||
Next $3.0 | 0.405 | % | ||||||
Next $1.5 | 0.380 | % | ||||||
Next $1.5 | 0.365 | % | ||||||
Next $1.0 | 0.360 | % | ||||||
Next $5.0 | 0.350 | % | ||||||
Next $5.0 | 0.340 | % | ||||||
Next $4.0 | 0.330 | % | ||||||
Next $26.0 | 0.310 | % | ||||||
Over $50.0 | 0.290 | % | ||||||
RiverSource Balanced
|
First $1.0 | 0.530 | % | 0.530% | ||||
Next $1.0 | 0.505 | % | ||||||
Next $1.0 | 0.480 | % | ||||||
Next $3.0 | 0.455 | % | ||||||
Next $1.5 | 0.430 | % | ||||||
Next $2.5 | 0.410 | % | ||||||
Next $5.0 | 0.390 | % | ||||||
Next $9.0 | 0.370 | % | ||||||
Over $24.0 | 0.350 | % | ||||||
RiverSource California
Tax-Exempt
|
First $0.25 | 0.410 | % | 0.410% | ||||
RiverSource New York Tax-Exempt
|
Next $0.25 | 0.385 | % | |||||
Next $0.25 | 0.360 | % | ||||||
Next $0.25 | 0.345 | % | ||||||
Next $6.5 | 0.320 | % | ||||||
Next $2.5 | 0.310 | % | ||||||
Next $5.0 | 0.300 | % | ||||||
Next $9.0 | 0.290 | % | ||||||
Next $26.0 | 0.270 | % | ||||||
Over $50.0 | 0.250 | % | ||||||
RiverSource Disciplined Small Cap
|
First $0.25 | 0.850 | % | 0.850% | ||||
Value
|
Next $0.25 | 0.825 | % | |||||
Next $0.25 | 0.800 | % | ||||||
Next $0.25 | 0.775 | % | ||||||
Next $1.0 | 0.750 | % | ||||||
Over $2.0 | 0.725 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
RiverSource Intermediate Tax-Exempt
|
First $1.0 | 0.390 | % | 0.390% | ||||
Next $1.0 | 0.365 | % | ||||||
Next $1.0 | 0.340 | % | ||||||
Next $3.0 | 0.315 | % | ||||||
Next $1.5 | 0.290 | % | ||||||
Next $2.5 | 0.280 | % | ||||||
Next $5.0 | 0.270 | % | ||||||
Next $35.0 | 0.260 | % | ||||||
Over $50.0 | 0.250 | % | ||||||
RiverSource LaSalle Global Real Estate
|
All |
0.915 |
% |
0.915% |
||||
RiverSource LaSalle Monthly Dividend Real Estate
|
All |
0.855 |
% |
0.855% |
||||
RiverSource Partners Fundamental
|
First $0.50 | 0.730 | % | 0.728% | ||||
Value
|
Next $0.50 | 0.705 | % | |||||
Next $1.0 | 0.680 | % | ||||||
Next $1.0 | 0.655 | % | ||||||
Next $3.0 | 0.630 | % | ||||||
Over $6.0 | 0.600 | % | ||||||
RiverSource Partners International
|
First $0.25 | 1.000 | % | 0.991% | ||||
Select Growth
|
Next $0.25 | 0.975 | % | |||||
Next $0.25 | 0.950 | % | ||||||
Next $0.25 | 0.925 | % | ||||||
Next $1.0 | 0.900 | % | ||||||
Over $2.0 | 0.875 | % | ||||||
RiverSource Partners International
|
First $0.25 | 1.120 | % | 1.120% | ||||
Small Cap
|
Next $0.25 | 1.095 | % | |||||
Next $0.25 | 1.070 | % | ||||||
Next $0.25 | 1.045 | % | ||||||
Next $1.0 | 1.020 | % | ||||||
Over $2.0 | 0.995 | % | ||||||
RiverSource Precious Metals and
|
First $0.25 | 0.800 | % | 0.800% | ||||
Mining
|
Next $0.25 | 0.775 | % | |||||
Next $0.25 | 0.750 | % | ||||||
Next $0.25 | 0.725 | % | ||||||
Next $1.0 | 0.700 | % | ||||||
Over $2.0 | 0.675 | % | ||||||
RiverSource Real Estate
|
First $1.0 | 0.840 | % | 0.840% | ||||
Next $1.0 | 0.815 | % | ||||||
Next $1.0 | 0.790 | % | ||||||
Next $3.0 | 0.765 | % | ||||||
Next $6.0 | 0.740 | % | ||||||
Next $12.0 | 0.730 | % | ||||||
Over $24.0 | 0.720 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
RiverSource S&P 500 Index
|
First $1.0 | 0.220 | % | 0.220% | ||||
Next $1.0 | 0.210 | % | ||||||
Next $1.0 | 0.200 | % | ||||||
Next $4.5 | 0.190 | % | ||||||
Next $2.5 | 0.180 | % | ||||||
Next $5.0 | 0.170 | % | ||||||
Next $9.0 | 0.160 | % | ||||||
Next $26.0 | 0.140 | % | ||||||
Over $50.0 | 0.120 | % | ||||||
RiverSource Short Duration
|
First $1.0 | 0.480 | % | 0.480% | ||||
U.S. Government
|
Next $1.0 | 0.455 | % | |||||
Next $1.0 | 0.430 | % | ||||||
Next $3.0 | 0.405 | % | ||||||
Next $1.5 | 0.380 | % | ||||||
Next $1.5 | 0.365 | % | ||||||
Next $1.0 | 0.340 | % | ||||||
Next $5.0 | 0.325 | % | ||||||
Next $5.0 | 0.315 | % | ||||||
Next $4.0 | 0.290 | % | ||||||
Next $26.0 | 0.275 | % | ||||||
Over $50.0 | 0.250 | % | ||||||
RiverSource Small Company Index
|
First $0.25 | 0.360 | % | 0.357% | ||||
Next $0.25 | 0.350 | % | ||||||
Next $0.25 | 0.340 | % | ||||||
Next $0.25 | 0.330 | % | ||||||
Next $6.5 | 0.320 | % | ||||||
Next $7.5 | 0.300 | % | ||||||
Next $9.0 | 0.280 | % | ||||||
Next $26.0 | 0.260 | % | ||||||
Over $50.0 | 0.240 | % | ||||||
RiverSource Strategic Income
|
First $0.25 | 0.550 | % | 0.542% | ||||
Allocation
|
Next $0.25 | 0.525 | % | |||||
Next $0.25 | 0.500 | % | ||||||
Over $0.75 | 0.475 | % | ||||||
RiverSource Tax-Exempt High Income
|
First $1.0 | 0.470 | % | 0.454% | ||||
Next $1.0 | 0.445 | % | ||||||
Next $1.0 | 0.420 | % | ||||||
Next $3.0 | 0.395 | % | ||||||
Next $1.5 | 0.370 | % | ||||||
Next $2.5 | 0.360 | % | ||||||
Next $5.0 | 0.350 | % | ||||||
Next $9.0 | 0.340 | % | ||||||
Next $26.0 | 0.320 | % | ||||||
Over $50.0 | 0.300 | % | ||||||
Daily rate on |
||||||||
Assets |
Annual rate at |
last day of
most |
||||||
Fund | (billions) | each asset level | recent fiscal period | |||||
Seligman California Municipal
|
First $0.25 | 0.410 | % | 0.410% | ||||
High-Yield
|
Next $0.25 | 0.385 | % | |||||
Seligman California Municipal Quality
|
Next $0.25 | 0.360 | % | |||||
Seligman Minnesota Municipal
|
Next $0.25 | 0.345 | % | |||||
Seligman New York Municipal
|
Next $6.5 | 0.320 | % | |||||
Next $2.5 | 0.310 | % | ||||||
Next $5.0 | 0.300 | % | ||||||
Next $9.0 | 0.290 | % | ||||||
Next $26.0 | 0.270 | % | ||||||
Over $50.0 | 0.250 | % | ||||||
Seligman Capital
|
First $1.0 | 0.805 | % | 0.805% | ||||
Next $1.0 | 0.765 | % | ||||||
Over $2.0 | 0.715 | % | ||||||
Seligman Growth
|
First $1.0 | 0.655 | % | 0.639% | ||||
Next $1.0 | 0.615 | % | ||||||
Over $2.0 | 0.565 | % | ||||||
Seligman National Municipal
|
First $1.0 | 0.410 | % | 0.410% | ||||
Next $1.0 | 0.385 | % | ||||||
Next $1.0 | 0.360 | % | ||||||
Next $3.0 | 0.335 | % | ||||||
Next $1.5 | 0.310 | % | ||||||
Next $2.5 | 0.300 | % | ||||||
Next $5.0 | 0.290 | % | ||||||
Next $9.0 | 0.280 | % | ||||||
Next $26.0 | 0.260 | % | ||||||
Over $50.0 | 0.250 | % | ||||||
(a)
|
The fund is new as of Sept. 28, 2010 and has not passed its fiscal period end; therefore no reporting is available. |
(b)
|
Prior to March 1, 2011, the investment manager received an annual fee ranging from 0.950% to 0.870% as assets increased. |
(c)
|
Prior to March 1, 2011, the investment manager received an annual fee ranging from 0.800% to 0.570% as assets increased. |
(d)
|
Prior to March 1, 2011, the investment manager received an annual fee ranging from 0.610% to 0.380% as assets increased. |
(e)
|
Prior to March 1, 2011, the investment manager received an annual fee ranging from 0.600% to 0.375% as assets increased. |
(f)
|
Prior to March 1, 2011, the investment manager received an annual fee ranging from 0.410% to 0.250% as assets increased. |
Fee Increase
or |
||||||
Fund | PIA Index | (Decrease) | ||||
Fiscal year ending March 31
|
||||||
Columbia Equity Value
|
Lipper Large-Cap Value Funds Index | $ | (84,713 | ) | ||
RiverSource Precious Metals and Mining
|
Lipper Precious Metals Funds Index | 5,214 | ||||
Fiscal year ending April 30
|
||||||
Columbia 120/20 Contrarian Equity
|
Russell 3000 Index | (16,065 | ) | |||
Fee Increase
or |
||||||
Fund | PIA Index | (Decrease) | ||||
Columbia Recovery and Infrastructure
|
S&P 500 Index | N/A | (a) | |||
Fiscal year ending May 31
|
||||||
Columbia Multi-Advisor Small Cap Value
|
Lipper Small-Cap Value Funds Index | $ | 353,598 | |||
RiverSource Partners Fundamental Value
|
Lipper Large-Cap Core Funds Index | 135,795 | ||||
Fiscal year ending June 30
|
||||||
Columbia Dividend Opportunity
|
Lipper Equity Income Funds Index | 902,715 | ||||
RiverSource Real Estate
|
Lipper Real Estate Funds Index | 52,237 | ||||
Fiscal year ending July 31
|
||||||
Columbia Large Core Quantitative
|
Lipper Large-Cap Core Funds Index | (789,031 | ) | |||
RiverSource Disciplined Small and Mid Cap Equity
|
Lipper Mid-Cap Core Funds Index | (126,252 | ) | |||
RiverSource Disciplined Small Cap Value
|
Lipper Small-Cap Value Funds Index | (56,412 | ) | |||
Fiscal year ending September 30
|
||||||
Columbia Diversified Equity Income
|
Lipper Equity Income Funds Index | 1,808,565 | ||||
Columbia Large Growth Quantitative
|
Lipper Large-Cap Growth Funds Index | 88,566 | ||||
Columbia Large Value Quantitative
|
Lipper Large-Cap Value Funds Index | 102,873 | ||||
Columbia Mid Cap Value Opportunity
|
Lipper Mid-Cap Value Funds Index | (606,320 | ) | |||
Columbia Strategic Allocation
|
Lipper Flexible Portfolio Funds Index | (920,753 | ) | |||
RiverSource Balanced
|
Lipper Balanced Funds Index | 8,367 | ||||
Fiscal year ending October 31
|
||||||
Columbia Asia Pacific ex-Japan
|
MSCI All Country Asia Pacific Ex-Japan Index | (69,322 | ) | |||
Columbia Emerging Markets Opportunity
|
Lipper Emerging Markets Funds Index | (66,600 | ) | |||
Columbia European Equity
|
Lipper European Funds Index | (15,810 | ) | |||
Columbia Global Equity
|
Lipper Global Funds Index | (177,692 | ) | |||
Columbia Global Extended Alpha
|
MSCI All Country World Index | 5,960 | ||||
Columbia Multi-Advisor International Value
|
Lipper International Multi-Cap Value Funds Index | (593,194 | ) | |||
RiverSource Disciplined International Equity
|
Lipper International Large-Cap Core Funds Index | (319,765 | ) | |||
RiverSource Partners International Select Growth
|
Lipper International Multi-Cap Growth Funds Index | (223,017 | ) | |||
RiverSource Partners International Small Cap
|
Lipper International Small-Cap Funds Index | (33,567 | ) | |||
Threadneedle Global Equity Income
|
MSCI All Country World Index | (9,164 | ) | |||
Threadneedle International Opportunity
|
Lipper International Large-Cap Core Funds Index | (61,165 | ) | |||
Fiscal year ending November 30
|
||||||
Columbia Mid Cap Growth Opportunity
|
Lipper Mid-Cap Growth Funds Index | (31,091 | ) | |||
(a) | The first performance incentive adjustment will be made on March 1, 2011. See section titled Transaction Period below. |
Equity Funds | Balanced Funds | ||||||
Performance |
Performance |
||||||
Difference | Adjustment Rate | Difference | Adjustment Rate | ||||
0.00% 0.50%
|
0 | 0.00% 0.50% | 0 | ||||
0.50% 1.00%
|
6 basis points times the performance difference over 0.50%, times 100 (maximum of 3 basis points if a 1% performance difference) | 0.50% 1.00% | 6 basis points times the performance difference over 0.50%, times 100 (maximum of 3 basis points if a 1% performance difference) | ||||
1.00% 2.00%
|
3 basis points, plus 3 basis points times the performance difference over 1.00%, times 100 (maximum 6 basis points if a 2% performance difference) | 1.00% 2.00% | 3 basis points, plus 3 basis points times the performance difference over 1.00%, times 100 (maximum 6 basis points if a 2% performance difference) | ||||
2.00% 4.00%
|
6 basis points, plus 2 basis points times the performance difference over 2.00%, times 100 (maximum 10 basis points if a 4% performance difference) | 2.00% 3.00% | 6 basis points, plus 2 basis points times the performance difference over 2.00%, times 100 (maximum 8 basis points if a 3% performance difference) | ||||
4.00% 6.00%
|
10 basis points, plus 1 basis point times the performance difference over 4.00%, times 100 (maximum 12 basis points if a 6% performance difference) |
3.00% or more |
8 basis points | ||||
6.00% or more
|
12 basis points | N/A | |||||
Columbia 120/20
Contrarian Equity |
|||||||
Columbia Recovery and Infrastructure | Columbia Global Extended Alpha | ||||||
Performance |
Performance |
||||||
Difference | Adjustment Rate | Difference | Adjustment Rate | ||||
0.00% 0.50%
|
0 | 0.00% 1.00% | 0 | ||||
0.50% 1.00%
|
6 basis points times the performance difference over 0.50%, times 100 (maximum of 3 basis points if a 1% performance difference) | 1.00% 6.00% | 10 basis points times the performance difference over 1.00%, times 100 (maximum 50 basis points if a 6% performance difference) | ||||
1.00% 2.00%
|
3 basis points, plus 3 basis points times the performance difference over 1.00%, times 100 (maximum 6 basis points if a 2% performance difference) |
6.00% or more |
50 basis points | ||||
2.00% 4.00%
|
6 basis points, plus 2 basis points times the performance difference over 2.00%, times 100 (maximum 10 basis points if a 4% performance difference) | N/A | |||||
4.00% 6.00%
|
10 basis points, plus 1 basis point times the performance difference over 4.00%, times 100 (maximum 12 basis points if a 6% performance difference) | N/A | |||||
6.00% or more
|
12 basis points | N/A | |||||
Management Fees | Nonadvisory expenses | ||||||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | 2010 | 2009 | 2008 | |||||||||||||||||||||
For funds with fiscal period ending January 31
|
|||||||||||||||||||||||||||
Columbia Income Builder Fund
|
N/A | N/A | N/A | $ | 101,055 | $ | 139,640 | $ | 103,636 | (a) | |||||||||||||||||
Columbia Income Builder Fund II
|
N/A | N/A | N/A | 109,874 | 175,842 | 129,062 | (a) | ||||||||||||||||||||
Columbia Income Builder Fund III
|
N/A | N/A | N/A | 112,467 | 118,255 | 134,546 | (a) | ||||||||||||||||||||
Columbia Portfolio Builder Aggressive
|
N/A | N/A | N/A | 107,162 | 199,501 | 168,942 | |||||||||||||||||||||
Columbia Portfolio Builder Conservative
|
N/A | N/A | N/A | 151,416 | 146,492 | 96,147 | |||||||||||||||||||||
Columbia Portfolio Builder Moderate
|
N/A | N/A | N/A | 272,479 | 278,861 | 247,980 | |||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive
|
N/A | N/A | N/A | 290,338 | 299,503 | 247,472 | |||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative
|
N/A | N/A | N/A | 164,289 | 170,774 | 117,533 | |||||||||||||||||||||
Columbia Portfolio Builder Total Equity
|
N/A | N/A | N/A | 28,299 | 149,589 | 173,675 | |||||||||||||||||||||
RiverSource S&P 500 Index
|
$ | 255,644 | $ | 371,178 | $ | 579,548 | (29,594 | ) | (194,370 | ) | (254,777 | ) | |||||||||||||||
RiverSource Small Company Index
|
1,306,919 | 1,990,095 | 3,292,392 | (1,051,278 | ) | (1,171,627 | ) | (1,007,306 | ) | ||||||||||||||||||
For funds with fiscal period ending March 31
|
|||||||||||||||||||||||||||
Columbia Equity Value
|
3,406,527 | 4,340,117 | 6,797,853 | 309,679 | 343,552 | 413,170 | |||||||||||||||||||||
RiverSource Precious Metals and Mining
|
1,112,166 | 824,176 | 956,280 | 144,675 | 242,615 | 175,405 | |||||||||||||||||||||
Management Fees | Nonadvisory expenses | ||||||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | 2010 | 2009 | 2008 | |||||||||||||||||||||
For funds with fiscal period ending April 30
|
|||||||||||||||||||||||||||
Columbia 120/20 Contrarian Equity
|
$ | 360,835 | $ | 368,969 | $ | 159,311 | (b) | $ | 31,738 | $ | 34,475 | $ | 21,297 | (b) | |||||||||||||
Columbia Recovery and Infrastructure
|
2,163,593 | 45,652 | (c) | N/A | 232,888 | 18,717 | (c) | N/A | |||||||||||||||||||
Columbia Retirement Plus 2010
|
N/A | N/A | N/A | (2,671 | ) | (4,254 | ) | 41 | |||||||||||||||||||
Columbia Retirement Plus 2015
|
N/A | N/A | N/A | (7,079 | ) | (7,894 | ) | 310 | |||||||||||||||||||
Columbia Retirement Plus 2020
|
N/A | N/A | N/A | (7,779 | ) | (9,956 | ) | 745 | |||||||||||||||||||
Columbia Retirement Plus 2025
|
N/A | N/A | N/A | (11,346 | ) | (12,026 | ) | 332 | |||||||||||||||||||
Columbia Retirement Plus 2030
|
N/A | N/A | N/A | (9,157 | ) | (9,748 | ) | 431 | |||||||||||||||||||
Columbia Retirement Plus 2035
|
N/A | N/A | N/A | (8,136 | ) | (7,948 | ) | 487 | |||||||||||||||||||
Columbia Retirement Plus 2040
|
N/A | N/A | N/A | (7,439 | ) | (6,946 | ) | (796 | ) | ||||||||||||||||||
Columbia Retirement Plus 2045
|
N/A | N/A | N/A | (7,533 | ) | (6,418 | ) | (2,131 | ) | ||||||||||||||||||
For funds with fiscal period ending May 31
|
|||||||||||||||||||||||||||
Columbia High Yield Bond
|
9,691,900 | 6,353,707 | 9,610,610 | (400,525 | ) | (748,008 | ) | 665,785 | |||||||||||||||||||
Columbia Multi-Advisor Small Cap Value
|
3,968,159 | 3,098,591 | 6,511,571 | (684,318 | ) | (963,886 | ) | (972,781 | ) | ||||||||||||||||||
Columbia U.S. Government Mortgage
|
1,247,010 | 1,731,277 | 1,958,404 | (256,078 | ) | (327,855 | ) | (389,262 | ) | ||||||||||||||||||
RiverSource Partners Fundamental Value
|
4,305,601 | 4,416,792 | 7,668,633 | (775,463 | ) | (939,055 | ) | (213,716 | ) | ||||||||||||||||||
RiverSource Short Duration U.S. Government
|
3,287,540 | 3,665,529 | 3,816,196 | (877,297 | ) | (610,585 | ) | (771,512 | ) | ||||||||||||||||||
For funds with fiscal period ending June 30
|
|||||||||||||||||||||||||||
Columbia Dividend Opportunity
|
8,065,963 | 6,381,215 | 12,015,660 | (91,086 | ) | (502,682 | ) | 626,341 | |||||||||||||||||||
RiverSource Real Estate
|
1,498,361 | 1,227,857 | 1,667,040 | (83,163 | ) | (18,514 | ) | 138,649 | |||||||||||||||||||
For funds with fiscal period ending July 31
|
|||||||||||||||||||||||||||
Columbia Floating Rate
|
2,466,113 | 2,210,544 | 3,509,190 | 226,409 | (61,933 | ) | 293,676 | ||||||||||||||||||||
Columbia Income Opportunities
|
4,451,807 | 1,913,521 | 1,767,885 | 313,169 | 291,601 | 196,944 | |||||||||||||||||||||
Columbia Inflation Protected Securities
|
2,886,405 | 3,322,371 | 2,554,103 | (354,181 | ) | (115,062 | ) | (238,396 | ) | ||||||||||||||||||
Columbia Large Core Quantitative
|
21,017,705 | 9,909,438 | 17,556,244 | (4,112,307 | ) | 268,796 | 726,080 | ||||||||||||||||||||
Columbia Limited Duration Credit
|
2,186,361 | 844,435 | 792,200 | (272,368 | ) | (68,816 | ) | (78,320 | ) | ||||||||||||||||||
Columbia Money Market
|
8,951,478 | 12,658,313 | 15,026,220 | (13,410,378 | ) | (1,868,463 | ) | 1,290,897 | |||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity
|
851,036 | 853,191 | 365,578 | 162,170 | 143,015 | 125,645 | |||||||||||||||||||||
RiverSource Disciplined Small Cap Value
|
375,114 | 363,926 | 286,759 | 55,844 | 47,195 | 33,868 | |||||||||||||||||||||
For funds with fiscal period ending August 31
|
|||||||||||||||||||||||||||
Columbia Diversified Bond
|
19,593,287 | 15,648,683 | 14,772,880 | (1,381,496 | ) | (2,314,025 | ) | (461,298 | ) | ||||||||||||||||||
Columbia Marsico Flexible
Capital(g)
|
N/A | N/A | N/A | N/A | N/A | N/A | |||||||||||||||||||||
Columbia Minnesota Tax-Exempt
|
1,360,384 | 1,230,393 | 1,246,083 | 44,953 | 196,213 | 506,328 | |||||||||||||||||||||
RiverSource California Tax-Exempt
|
645,263 | 663,711 | 715,946 | 31,789 | 73,054 | 44,499 | |||||||||||||||||||||
RiverSource New York Tax-Exempt
|
224,128 | 220,172 | 242,807 | (994 | ) | 9,792 | 75,790 | ||||||||||||||||||||
Management Fees | Nonadvisory expenses | ||||||||||||||||||||||||||
2010 | 2009 | 2008 | 2010 | 2009 | 2008 | ||||||||||||||||||||||
For funds with fiscal period ending
September 30
|
|||||||||||||||||||||||||||
Columbia Diversified Equity Income
|
$ | 27,123,619 | $ | 17,053,076 | $ | 44,177,652 | $ | 942,822 | $ | 1,037,819 | $ | 1,905,627 | |||||||||||||||
Columbia Large Growth Quantitative
|
4,488,490 | 2,033,555 | 905,956 | 239,308 | 214,462 | 195,661 | |||||||||||||||||||||
Columbia Large Value Quantitative
|
1,711,964 | 661,677 | 6,618 | (d) | 175,996 | 168,055 | 2,877 | (d) | |||||||||||||||||||
Columbia Mid Cap Value Opportunity
|
14,465,693 | 9,896,881 | 18,813,340 | 480,913 | 776,726 | 992,201 | |||||||||||||||||||||
Columbia Strategic Allocation
|
5,680,661 | 6,604,411 | 10,108,947 | 541,596 | 585,299 | 1,047,907 | |||||||||||||||||||||
RiverSource Balanced
|
3,318,704 | 2,483,462 | 3,977,541 | 304,130 | 346,693 | 437,940 | |||||||||||||||||||||
RiverSource Strategic Income Allocation
|
1,810,439 | 1,081,850 | 904,660 | 269,484 | 246,334 | 294,099 | |||||||||||||||||||||
Seligman California Municipal High-Yield
|
142,520 | 164,150 | 173,288 | 4,712 | 32,933 | 53,665 | |||||||||||||||||||||
Seligman California Municipal Quality
|
164,593 | 192,624 | 196,281 | 5,518 | 60,833 | 90,615 | |||||||||||||||||||||
Seligman Minnesota Municipal
|
277,610 | 324,501 | 351,237 | 2,894 | 68,180 | 99,131 | |||||||||||||||||||||
Seligman National Municipal
|
2,692,664 | 1,147,080 | 304,747 | 24,719 | 62,006 | 106,685 | |||||||||||||||||||||
Seligman New York Municipal
|
341,577 | 352,211 | 332,574 | 16,001 | 75,556 | 88,770 | |||||||||||||||||||||
For funds with fiscal period ending October 31
|
|||||||||||||||||||||||||||
Columbia Absolute Return Currency and Income
|
1,811,957 | 4,698,565 | 4,188,137 | 198,087 | 205,127 | 313,877 | |||||||||||||||||||||
Columbia Asia Pacific ex-Japan
|
1,639,719 | 78,072 | (e) | N/A | 432,652 | 21,500 | (e) | N/A | |||||||||||||||||||
Columbia Emerging Markets Bond
|
1,777,437 | 1,320,292 | 1,182,004 | 274,761 | 82,201 | 172,124 | |||||||||||||||||||||
Columbia Emerging Markets Opportunity
|
6,678,651 | 3,791,476 | 7,352,591 | 1,214,163 | 524,327 | 1,138,897 | |||||||||||||||||||||
Columbia European Equity
|
552,061 | 600,499 | 980,629 | 5,098 | (31,736 | ) | 223,792 | ||||||||||||||||||||
Columbia Frontier
|
884,356 | 321,582 | 579,499 | (85,171 | ) | (20,898 | ) | 200,110 | |||||||||||||||||||
Columbia Global Bond
|
3,543,599 | 3,551,274 | 5,074,934 | 27,675 | (33,836 | ) | 165,694 | ||||||||||||||||||||
Columbia Global Equity
|
3,435,736 | 2,918,784 | 5,825,153 | 372,343 | 350,276 | 554,139 | |||||||||||||||||||||
Columbia Global Extended Alpha
|
96,692 | 64,424 | 16,485 | (f) | 5,453 | 4,234 | 1,122 | (f) | |||||||||||||||||||
Columbia Multi-Advisor International Value
|
5,751,275 | 5,749,639 | 13,239,202 | 566,858 | 511,602 | 1,054,830 | |||||||||||||||||||||
Columbia Seligman Global Technology
|
4,825,096 | 2,551,543 | 3,571,473 | 218,202 | 386,252 | 680,094 | |||||||||||||||||||||
RiverSource Disciplined International Equity
|
3,607,751 | 2,174,525 | 5,209,129 | 495,117 | 252,387 | 512,793 | |||||||||||||||||||||
RiverSource Partners International Select Growth
|
3,647,785 | 3,240,723 | 5,965,413 | (499,992 | ) | (660,493 | ) | 334,550 | |||||||||||||||||||
RiverSource Partners International Small Cap
|
1,149,239 | 496,177 | 1,057,146 | (190,000 | ) | (45,193 | ) | 63,912 | |||||||||||||||||||
Threadneedle Global Equity Income
|
235,459 | 177,834 | 15,723 | (f) | 42,445 | 25,200 | 2,989 | (f) | |||||||||||||||||||
Threadneedle International Opportunity
|
3,025,818 | 3,074,518 | 4,661,800 | 334,330 | 283,182 | 486,074 | |||||||||||||||||||||
Management Fees | Nonadvisory expenses | ||||||||||||||||||||||||||
2010 | 2009 | 2008 | 2010 | 2009 | 2008 | ||||||||||||||||||||||
For funds with fiscal period ending
November 30
|
|||||||||||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond
|
$ | 2,716,984 | $ | 2,699,258 | $ | 2,764,541 | $ | 108,977 | $ | 48,345 | $ | 506,736 | |||||||||||||||
Columbia Mid Cap Growth Opportunity
|
6,667,459 | 4,488,355 | 4,726,590 | 305,174 | 281,069 | 437,496 | |||||||||||||||||||||
RiverSource Intermediate Tax-Exempt
|
375,256 | 339,947 | 291,762 | 8,060 | 8,313 | 2,588 | |||||||||||||||||||||
RiverSource Tax-Exempt High Income
|
10,262,645 | 10,226,940 | 11,447,732 | (1,135,129 | ) | (1,338,742 | ) | 2,984,232 | |||||||||||||||||||
For funds with fiscal period ending
December 31
|
|||||||||||||||||||||||||||
Columbia Government Money Market
|
462,678 | 518,174 | 893,335 | (651,865 | ) | (1,105,030 | ) | 6,551 | |||||||||||||||||||
Columbia Select Large-Cap Value
|
2,692,204 | 1,486,938 | 1,732,331 | 355,259 | 292,721 | 282,371 | |||||||||||||||||||||
Columbia Select Smaller-Cap Value
|
3,887,422 | 1,687,329 | 2,048,229 | (1,052,710 | ) | (186,016 | ) | 295,691 | |||||||||||||||||||
Columbia Seligman Communications and Information
|
31,300,872 | 25,152,110 | 28,854,808 | 1,980,670 | 1,991,333 | 2,540,656 | |||||||||||||||||||||
RiverSource LaSalle Global Real Estate
|
129,289 | 114,310 | 243,213 | 15,591 | (8,058 | ) | 221,303 | ||||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate
|
248,730 | 208,539 | 460,038 | 22,235 | (107,139 | ) | 177,277 | ||||||||||||||||||||
Seligman Capital
|
1,896,811 | 1,731,065 | 2,912,130 | 299,997 | 370,916 | 386,885 | |||||||||||||||||||||
Seligman Growth
|
10,292,584 | 4,254,428 | 2,534,267 | 43,368 | 85,442 | 387,623 | |||||||||||||||||||||
(a) | The fund changed its fiscal year end effective Jan. 31, 2008 from May 31 to Jan. 31. For 2008, the information shown is for the period from June 1, 2007 through Jan. 31, 2008. For years prior to 2008, the fiscal period ended on May 31. | |
(b) | For the period from Oct. 18, 2007 (when shares became publicly available) to April 30, 2008. | |
(c) | For the fiscal period from Feb. 19, 2009 (when shares became publicly available) to April 30, 2009. | |
(d) | For the period from Aug. 1, 2008 (when shares became publicly available) to Sept. 30, 2008. | |
(e) | For the period from July 15, 2009 (when the Fund became available) to Oct. 31, 2009. | |
(f) | For the period from Aug. 1, 2008 (when shares became publicly available) to Oct. 31, 2008. |
(g) | The fund is new as of Sept. 28, 2010 and has not passed its fiscal period end; therefore no reporting is available. |
Parent |
||||||
Fund | Subadviser | Company | Fee Schedule | |||
For funds with fiscal period ending May 31 | ||||||
Columbia Multi-Advisor Small Cap Value |
Barrow, Hanley, Mewhinney & Strauss (BHMS)(a) (effective March 12, 2004) |
A |
1.00% on the first $10 million, reducing to 0.30% as assets increase |
|||
Donald Smith & Co., Inc. | N/A | 0.60% on the first $175 million, | ||||
(Donald Smith)(a) | reducing to 0.55% as assets | |||||
(effective March 12, 2004) | increase | |||||
Metropolitan West Capital Management, LLC (MetWest
Capital) (effective April 24, 2006) |
B | 0.50% on all assets | ||||
Turner Investment Partners, Inc. (Turner) (effective Feb. 19, 2010) |
N/A | 0.50% on the first $50 million, reducing to 0.35% as assets increase.(a) | ||||
RiverSource Partners Fundamental Value |
Davis Selected Advisers, LP (Davis)(a), (b) (effective June 18, 2001) |
N/A | 0.45% on the first $100 million, reducing to 0.25% as assets increase | |||
For funds with fiscal period ending August 31
|
||||||
Columbia Marsico Flexible Capital Fund |
Marsico Capital Management, LLC (Marsico Capital) (effective Sept. 22, 2010) |
C | 0.45% on all assets | |||
For funds with fiscal period ending October 31
|
||||||
Columbia Asia Pacific ex-Japan |
Threadneedle International
Limited(b)
(Threadneedle) (effective July 15, 2009) |
D | 0.50% on the first $250 million, reducing to 0.40% as assets increase, and subject to a performance incentive adjustment(c) | |||
Columbia Emerging Markets Opportunity |
Threadneedle(b) (effective July 9, 2004) |
D | 0.45% of the first $150 million, reducing to 0.30% as assets increase, and subject to a performance incentive adjustment(c) | |||
Columbia European Equity |
Threadneedle(b) (effective July 9, 2004) |
D | 0.35% of the first $150 million, reducing to 0.20% as assets increase, and subject to a performance incentive adjustment(c) | |||
Columbia Global Equity |
Threadneedle(b) (effective July 9, 2004) |
D | 0.35% of the first $150 million, reducing to 0.20% as assets increase, and subject to a performance incentive adjustment(b) | |||
Parent |
||||||
Fund | Subadviser | Company | Fee Schedule | |||
Columbia Global Extended Alpha |
Threadneedle(b) (effective Aug. 1, 2008) |
D | 0.70% of the first $250 million, reducing to 0.60% as assets increase, and subject to a performance incentive adjustment(c) | |||
Columbia Multi-Advisor International Value |
AllianceBernstein L.P. (AllianceBernstein) (effective Sept. 17, 2001) |
N/A | 0.65% on the first $75 million, reducing to 0.30% as assets increase | |||
Mondrian Investment Partners Limited (Mondrian) (effective August 18, 2008) |
N/A | 0.70% on all assets | ||||
Tradewinds Global Investors, LLC (Tradewinds) (effective August 18, 2008) |
N/A | 0.50% on the first $250 million, reducing to 0.40 as assets increase | ||||
RiverSource Partners International Select Growth |
Columbia Wanger Asset Management LLC (Columbia
WAM)(a),(d) (effective Sept. 5, 2001) |
E | 0.70% on the first $150 million, reducing to 0.50% as assets increase | |||
RiverSource Partners International Small Cap |
Columbia
WAM(a),(d) (effective Aug. 10, 2009) |
E | 0.70% on the first $150 million, reducing to 0.50% as assets increase | |||
Threadneedle Global Equity Income |
Threadneedle(b) (effective Aug. 1, 2008) |
D | 0.45% of the first $250 million, reducing to 0.35% as assets increase, and subject to a performance incentive adjustment(c) | |||
Threadneedle International Opportunity |
Threadneedle(b) (effective July 9, 2004) |
D | 0.35% of the first $150 million, reducing to 0.20% as assets increase, and subject to a performance incentive adjustment(c) | |||
For funds with fiscal period ended December 31
|
||||||
RiverSource LaSalle Global Real Estate |
LaSalle Investment Management (Securities), L.P. (LaSalle
Securities U.S.) (since inception) |
F | 0.30% on the first $37 million, 0.65% on the next $43 million, and 0.49% thereafter. | |||
RiverSource LaSalle Monthly Dividend Real Estate |
LaSalle Securities U.S. (since inception) |
F | 0.30% on the first $58 million, 0.65% on the next $42 million, and 0.45% thereafter. | |||
(a) | The fee is calculated based on the combined net assets subject to the subadvisers investment management. | |
(b) | Davis is a 1940 Act affiliate of the investment manager because it owns or has owned more than 5% of the publicly issued securities of the investment managers parent company, Ameriprise Financial. Threadneedle is an affiliate of the investment manager as an indirect, wholly-owned subsidiary of Ameriprise Financial. | |
(c) | The adjustment for Threadneedle is based on the performance of one Class A share of the fund and the change in the PIA Index described in Table 14. The performance of the fund and the Index will be calculated using the method described above for the performance incentive adjustment paid to the investment manager under the terms of the Investment Management Services Agreement. The amount of the adjustment to Threadneedles fee, whether positive or negative, shall be equal to the following amount of the performance incentive adjustment made to the investment management fee payable to the investment manager under the terms of the Investment Management Services Agreement: 50% for Threadneedle Emerging Markets, Threadneedle European Equity, Threadneedle Global Equity and Threadneedle International Opportunity; 100% for Threadneedle Global Equity Income and Threadneedle Global Extended Alpha. The performance incentive adjustment was effective Dec. 1, 2004. | |
(d) | On May 1, 2010, Ameriprise Financial announced the closing of its acquisition of the long-term asset management business of Columbia Management Group, LLC, including Columbia WAM, from Bank of America (the Columbia Transaction). As a result of the Columbia Transaction, Columbia WAM is an indirect, wholly-owned subsidiary of Ameriprise Financial. | |
A | BHMS is an independent-operating subsidiary of Old Mutual Asset Management. | |
B | Metropolitan West Capital Management, LLC (MetWest Capital) is a subsidiary of Wells Fargo & Company and operates within the Evergreen Investments unit of its asset management division. |
C | Marsico Capital is an indirect subsidiary of Marsico Management Equity, LLC, a Delaware Limited Liability Company. |
D | Threadneedle is an indirect wholly-owned subsidiary of Ameriprise Financial. |
E | Columbia WAM is an indirect wholly-owned subsidiary of Columbia Management Group, Inc., which in turn is a wholly-owned subsidiary of Bank of America Corporation. |
F | LaSalle Investment Management (Securities), L.P. is an affiliate of Jones Lang LaSalle Incorporated. |
Subadvisory Fees Paid | ||||||||||||||||
Fund | Subadviser | 2010 | 2009 | 2008 | ||||||||||||
For funds with fiscal period ending May 31
|
||||||||||||||||
Columbia Multi-Advisor Small Cap Value | BHMS | $ | 491,375 | $ | 437,027 | $ | 865,372 | |||||||||
Donald Smith | 587,548 | 497,789 | 984,692 | |||||||||||||
MetWest Capital | 491,635 | 466,432 | 955,503 | |||||||||||||
Turner | 89,142 | N/A | (a) | N/A | ||||||||||||
Former subadviser: Franklin Portfolio Associates (from March 2004 to June 6, 2008) |
N/A | 22,583 | (b) | 964,510 | ||||||||||||
Former subadviser: Federated MDTA, LLC (from June 6, 2008 to Feb. 19, 2010) |
325,109 | (c) | 443,715 | N/A | (a) | |||||||||||
RiverSource Partners Fundamental Value | Davis | 1,688,264 | 2,020,698 | 3,220,929 | ||||||||||||
For funds with fiscal period ending August 31
|
||||||||||||||||
Columbia Marsico Flexible Capital(k) | Marsico Capital | N/A | N/A | N/A | ||||||||||||
For funds with fiscal period ending October 31
|
||||||||||||||||
Columbia Asia Pacific ex-Japan | Threadneedle | 995,409 | 42,462 | (d) | N/A | |||||||||||
Columbia Emerging Markets Opportunity | Threadneedle | 2,539,990 | 1,469,749 | 2,801,637 | ||||||||||||
Columbia European Equity | Threadneedle | 247,803 | 260,772 | 443,279 | ||||||||||||
Columbia Global Equity | Threadneedle | 1,364,749 | 1,168,151 | 2,269,177 | ||||||||||||
Columbia Global Extended Alpha | Threadneedle | 69,698 | 43,117 | 11,750 | (e) | |||||||||||
Columbia Multi-Advisor International Value | AllianceBernstein | 1,719,844 | 2,170,338 | 6,268,208 | ||||||||||||
Mondrian | 751,416 | 714,196 | 77,048 | (f) | ||||||||||||
Tradewinds | 974,854 | 1,116,798 | 129,124 | (f) | ||||||||||||
RiverSource Partners International Select Growth | Columbia WAM | 1,628,321 | 956,567 | 1,557,963 | ||||||||||||
Former subadviser: Principal Global Investors, LLC (from April 24, 2006 to May 6, 2010) | 706,892 | (g) | 866,239 | 1,849,485 | ||||||||||||
RiverSource Partners International Small Cap | Columbia WAM | 507,839 | 41,203 | (h) | N/A | |||||||||||
Former subadviser: Batterymarch Financial Management, Inc. (from April 24, 2006 to April 30, 2010) | 179,169 | (i) | 188,913 | 386,194 | ||||||||||||
Former subadviser: AIG Global Investment Corp. (from April 24, 2006 to Aug. 7, 2009) | N/A | 127,498 | (j) | 355,245 | ||||||||||||
Threadneedle Global Equity Income | Threadneedle | 132,036 | 104,654 | 9,057 | (e) | |||||||||||
Threadneedle International Opportunity | Threadneedle | 1,244,364 | 1,254,178 | 1,907,215 | ||||||||||||
Subadvisory Fees Paid | ||||||||||||||||
Fund | Subadviser | 2009 | 2008 | 2007 | ||||||||||||
For funds with fiscal period ended December 31
|
||||||||||||||||
RiverSource LaSalle Global Real Estate | LaSalle Securities U.S. | 42,384 | $ | 36,482 | $ | 121,606 | ||||||||||
RiverSource LaSalle Monthly Dividend Real Estate | LaSalle Securities U.S. | 87,307 | 71,093 | 230,019 | ||||||||||||
(a) | The subadviser did not begin managing the fund until after the funds fiscal year end. | |
(b) | For the fiscal period from June 1, 2008 to June 6, 2008. | |
(c) | For the fiscal period from June 1, 2009 to Feb. 19, 2010. | |
(d) | For the fiscal period from July 15, 2009 to Oct. 31, 2009. | |
(e) | For the fiscal period from Aug. 1, 2008 to Oct. 31, 2008. | |
(f) | For the fiscal period from Aug. 18, 2008 to Oct. 31, 2008. | |
(g) | For the fiscal period from Nov. 1, 2009 to May 6, 2010. | |
(h) | For the fiscal period from Aug. 10, 2009 to Oct. 31, 2009. | |
(i) | For the fiscal period from Nov. 1, 2009 to April 30, 2010. | |
(j) | For the fiscal period from Nov. 1, 2008 to Aug. 7, 2009. | |
(k) | The fund is new as of Sept. 28, 2010 and has not passed its fiscal period end; therefore no reporting is available. |
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
For funds with fiscal period ending January 31 | ||||||||||||||
Columbia Income Builder Fund |
Colin Lundgren |
16 RICs 16 other accounts |
$1.34 billion $271.73 million |
None | None |
(15) |
(18) |
|||||||
Gene R. Tannuzzo(i) |
1 RIC 2 other accounts |
$341.48 million $0.08 million |
None | None | ||||||||||
Columbia Income Builder Fund II | Colin Lundgren |
16 RICs 16 other accounts |
$1.18 billion $271.73 million |
None |
$100,001 $500,000 |
(15) |
(18) |
|||||||
Gene R. Tannuzzo(i) |
1 RIC 2 other accounts |
$341.48 million $0.08 million |
None | None | ||||||||||
Columbia Income Builder Fund III | Colin Lundgren |
16 RICs 16 other accounts |
$1.38 billion $271.73 million |
None | None |
(15) |
(18) |
|||||||
Gene R. Tannuzzo(i) |
1 RIC 2 other accounts |
$341.48 million $0.08 million |
None | None | ||||||||||
Columbia Portfolio Builder Aggressive | Kent M. Bergene(b) |
5 RICs 7 other accounts |
$3.30 billion $1.36 million |
None |
$50,001 $100,000 |
(1) |
(19) |
|||||||
Colin Moore(j) |
19 RICs 26 PIVs 21 other accounts |
$3.62 billion $2.4 billion $299.0 million |
None | None | (3) | (19) | ||||||||
David M. Joy |
5 RICs 6 other accounts |
$3.30 billion $1.01 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(j) |
17 RICs 26 PIVs 22 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None |
(3) |
(20) |
||||||||
Kent Peterson(j) |
17 RICs 26 PIVs 21 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None | ||||||||||
Marie M. Schofield(j) |
17 RICs 26 PIVs 16 other accounts |
$2.1 million $2.4 million $296.0 million |
None | None | ||||||||||
Columbia Portfolio Builder Conservative | Kent M. Bergene(b) |
5 RICs 7 other accounts |
$3.30 billion $1.36 million |
None |
$50,001 $100,000 |
(1) |
(19) |
|||||||
Colin Moore(j) |
19 RICs 26 PIVs 21 other accounts |
$3.62 billion $2.4 billion $299.0 million |
None | None |
(3) |
(19) |
||||||||
David M. Joy |
5 RICs 6 other accounts |
$3.30 billion $1.01 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(j) |
17 RICs 26 PIVs 22 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None |
(3) |
(20) |
||||||||
Kent Peterson(j) |
17 RICs 26 PIVs 21 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None | ||||||||||
Marie M. Schofield(j) |
17 RICs 26 PIVs 16 other accounts |
$2.1 million $2.4 million $296.0 million |
None | None | ||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
Columbia Portfolio Builder Moderate | Kent M. Bergene(b) |
5 RICs 7 other accounts |
$3.30 billion $1.36 million |
None |
$50,001 $100,000 |
(1) | (19) | |||||||
Colin Moore(j) |
19 RICs 26 PIVs 21 other accounts |
$3.62 billion $2.4 billion $299.0 million |
None | None |
(3) |
(19) |
||||||||
David M. Joy |
5 RICs 6 other accounts |
$3.30 billion $1.01 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(j) |
17 RICs 26 PIVs 22 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None |
(3) |
(20) |
||||||||
Kent Peterson(j) |
17 RICs 26 PIVs 21 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None | ||||||||||
Marie M. Schofield(j) |
17 RICs 26 PIVs 16 other accounts |
$2.1 million $2.4 million $296.0 million |
None | None | ||||||||||
Columbia Portfolio Builder Moderate Aggressive | Kent M. Bergene(b) |
5 RICs 7 other accounts |
$3.30 billion $1.36 million |
None |
$50,001 $100,000 |
(1) | (19) | |||||||
Colin Moore(j) |
19 RICs 26 PIVs 21 other accounts |
$3.62 billion $2.4 billion $299.0 million |
None | None |
(3) |
(19) |
||||||||
David M. Joy |
5 RICs 6 other accounts |
$3.30 billion $1.01 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(j) |
17 RICs 26 PIVs 22 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None |
(3) |
(20) |
||||||||
Kent Peterson(j) |
17 RICs 26 PIVs 21 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None | ||||||||||
Marie M. Schofield(j) |
17 RICs 26 PIVs 16 other accounts |
$2.1 million $2.4 million $296.0 million |
None | None | ||||||||||
Columbia Portfolio Builder Moderate Conservative | Kent M. Bergene(b) |
5 RICs 7 other accounts |
$3.56 billion $1.36 million |
None |
$10,001 $50,000 |
(1) | (19) | |||||||
Colin Moore(j) |
19 RICs 26 PIVs 21 other accounts |
$3.62 billion $2.4 billion $299.0 million |
None | None |
(3) |
(19) |
||||||||
David M. Joy |
5 RICs 6 other accounts |
$3.56 billion $1.01 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(j) |
17 RICs 26 PIVs 22 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None |
(3) |
(20) |
||||||||
Kent Peterson(j) |
17 RICs 26 PIVs 21 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None | ||||||||||
Marie M. Schofield(j) |
17 RICs 26 PIVs 16 other accounts |
$2.1 million $2.4 million $296.0 million |
None | None | ||||||||||
Columbia Portfolio Builder Total Equity | Kent M. Bergene(b) |
5 RICs 7 other accounts |
$3.30 billion $1.36 million |
None |
$50,001 $100,000 |
(1) | (19) | |||||||
Colin Moore(j) |
19 RICs 26 PIVs 21 other accounts |
$3.62 billion $2.4 billion $299.0 million |
None | None | (3) | (19) | ||||||||
David M. Joy |
5 RICs 6 other accounts |
$3.30 billion $1.01 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(j) |
17 RICs 26 PIVs 22 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None |
(3) |
(20) |
||||||||
Kent Peterson(j) |
17 RICs 26 PIVs 21 other accounts |
$2.1 billion $2.4 billion $296.0 million |
None | None | ||||||||||
Marie M. Schofield(j) |
17 RICs 26 PIVs 16 other accounts |
$2.1 million $2.4 million $296.0 million |
None | None | ||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
RiverSource S&P 500 Index | Alfred F. Alley III(j) |
4 RICs 3 PIVs 19 other accounts |
$6.5 billion $175.0 million $4.0 billion |
None | None | (3) | (31) | |||||||
RiverSource Small Company Index | Alfred F. Alley III(j) |
4 RICs 3 PIVs 19 other accounts |
$6.5 billion $175.0 million $4.0 billion |
None | None | (3) | (31) | |||||||
For funds with fiscal period ending March 31 | ||||||||||||||
Columbia Equity Value | Steve Schroll |
12 RICs 2 PIVs 18 other accounts(c) |
$14.61 billion $69.61 million $538.36 million |
8 RICs ($14.05 B) |
$50,001 $100,000 |
(2) |
(18) |
|||||||
Laton Spahr |
12 RICs 2 PIVs 17 other accounts(c) |
$14.61 billion $69.61 million $538.66 million |
8 RICs ($14.05 B) |
$100,001 $500,000 |
||||||||||
Paul Stocking |
12 RICs 2 PIVs 21 other accounts(c) |
$14.61 billion $69.61 million $543.80 million |
8 RICs ($14.05 B) |
$50,001 $100,000 |
||||||||||
RiverSource Precious Metals and Mining | Michael E. Hoover(j) |
1 RIC 3 PIVs 3 other accounts |
$689.7 million $689.7 million $0.74 million |
None | None | (3) | (31) | |||||||
For funds with fiscal period ending April 30 | ||||||||||||||
Columbia 120/20 Contrarian Equity | Steve Schroll |
12 RICs 2 PIVs 18 other accounts(c) |
$14.76 billion $70.44 million $539.06 million |
8 RICs ($14.2 B) |
$10,001- $50,000 |
(2) |
(18) |
|||||||
Laton Spahr |
12 RICs 2 PIVs 17 other accounts(c) |
$14.76 billion $70.44 million $539.57 million |
8 RICs ($14.2 B) |
$500,001- $1,000,000 |
||||||||||
Paul Stocking |
12 RICs 2 PIVs 21 other accounts(c) |
$14.76 billion $70.44 million $544.59 million |
8 RICs ($14.2 B) |
$100,001- $500,000 |
||||||||||
Columbia Recovery and Infrastructure | Warren Spitz | None | None | None |
Over $1,000,000 |
(2) | (18) | |||||||
Columbia Retirement Plus 2010 | Kent M. Bergene(b),(k) |
6 RICs 8 other accounts |
$4.13 billion $1.50 million |
None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
Columbia Retirement Plus 2015 | Kent M. Bergene(b),(k) |
6 RICs 8 other accounts |
$4.13 billion $1.50 million |
None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | $1- $10,000 | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
Columbia Retirement Plus 2020 | Kent M. Bergene(b),(k) | 8 other accounts | $1.50 million | None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
Columbia Retirement Plus 2025 | Kent M. Bergene(b),(k) |
6 RICs 8 other accounts |
$4.13 billion $1.50 million |
None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
Columbia Retirement Plus 2030 | Kent M. Bergene(b),(k) |
6 RICs 8 other accounts |
$4.13 billion $1.50 million |
None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
Columbia Retirement Plus 2035 | Kent M. Bergene(b),(k) |
6 RICs 8 other accounts |
$4.13 billion $1.50 million |
None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
Columbia Retirement Plus 2040 | Kent M. Bergene(b),(k) |
6 RICs 8 other accounts |
$4.13 billion $1.50 million |
None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
Columbia Retirement Plus 2045 | Kent M. Bergene(b),(k) |
6 RICs 8 other accounts |
$4.13 billion $1.50 million |
None | None | (1) | (19) | |||||||
Colin Moore(k) | 19 RICs | $3.56 billion | None | None | (3) | (19) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $246 million | |||||||||||||
David M. Joy(k) |
6 RICs 7 other accounts |
$4.13 billion $1.13 million |
None | None | (1) | (20) | ||||||||
Anwiti Bahuguna(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
21 other accounts | $243 million | |||||||||||||
Kent Peterson(k) | 17 RICs | $2.1 billion | None | None | (3) | (20) | ||||||||
26 PIVs | $2.5 billion | |||||||||||||
20 other accounts | $243 million | |||||||||||||
Marie M. Schofield(k) | 17 RICs | $2.1 billion | None | None | ||||||||||
26 PIVs | $2.5 billion | |||||||||||||
17 other accounts | $243 million | |||||||||||||
For funds with fiscal period ending May 31 | ||||||||||||||
Columbia High Yield Bond | Jennifer Ponce de Leon |
6 RICs 1 PIV 27 other accounts |
$4.04 billion $9.33 million $4.58 billion |
2 RICs ($527.4 M) | None | (2) | (18) | |||||||
Brian Lavin |
12 RICs 1 PIV 4 other account |
$8.92 billion $9.33 million $683.4 million |
None | None | ||||||||||
Columbia Multi-Advisor Small Cap Value |
Donald Smith: Donald G. Smith |
2 RICs |
$832.0 million |
1 RIC ($790 M); |
||||||||||
Richard L. Greenberg |
1 PIV 33 other accounts |
$67.0 million $2.0 billion |
1 other account ($68 M) | None | (9) | (25) | ||||||||
BHMS: | ||||||||||||||
James S. McClure | 4 RICs | $824.6 million | ||||||||||||
John P. Harloe |
1 PIV 15 other accounts |
$5.4 million $572.3 million |
None | None | (11) | (26) | ||||||||
MetWest: | ||||||||||||||
Samir Sikka |
5 RICs 3 PIVs 12 other accounts |
$472.7 million $84.3 million $193.8 million |
1 other account ($53.9 M) |
None | (12) | (27) | ||||||||
Turner: | ||||||||||||||
David Kovacs |
4 RICs 7 PIVs 6 other accounts |
$315.0 million $46.0 million $23930 million |
1 PIV ($2 M) | None | (4) | (19) | ||||||||
Columbia U.S. Government Mortgage | Jason J. Callan |
4 RICs 3 other accounts |
$1.84 billion $0.34 million |
None | None | (2) | (18) | |||||||
Tom Heuer |
4 RICs 2 other accounts |
$1.84 billion $0.40 million |
None | None | ||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
RiverSource Partners Fundamental Value |
Davis: Christopher C. Davis |
26 RICs 12 PIVs 117 other accounts(d) |
$54.0 billion $1.0 billion $8.0 billion |
None | None(f) | (8) | (24) | |||||||
Kenneth C. Feinberg |
24 RICs 11 PIVs 107 other accounts(d) |
$54.0 billion $1.0 billion $7.0 billion |
||||||||||||
RiverSource Short Duration U.S. Government | Leonard A. Aplet(l) |
11 RICs 8 PIVs 85 other accounts |
$2.90 billion $3.56 billion $10.93 billion |
None | None |
(3) |
(31) |
|||||||
Gregory S. Liechty(l) |
1 RICs 13 other accounts |
$2.48 billion $71.3 million |
None | None | ||||||||||
Ronald B. Stahl(l) |
11 RICs 6 PIVs 53 other accounts |
$2.90 billion $785.66 million $3.88 billion |
None | None | ||||||||||
For funds with fiscal period ending June 30 | ||||||||||||||
Columbia Dividend Opportunity | Steve Schroll |
12 RICs 2 PIVs 21 other accounts(c) |
$12.06 billion $58.92 million $467.85 million |
8 RICs ($11.57 M) | $100,001-$500,000 | |||||||||
Laton Spahr |
12 RICs 2 PIVs 17 other accounts(c) |
$12.06 billion $58.92 million $468.59 million |
8 RICs ($11.57 M) | $100,001-$500,000 | ||||||||||
Paul Stocking |
12 RICs 2 PIVs 18 other accounts(c) |
$12.06 billion $58.92 million $473.07 million |
8 RICs ($11.57 M) |
$10,001- $50,000 |
(2) | (18) | ||||||||
RiverSource Real Estate | Arthur J. Hurley |
1 RIC 7 other accounts |
$332.0 million $0.40 million |
None | None | (3) | (31) | |||||||
For funds with fiscal period ending July 31 | ||||||||||||||
Columbia Floating Rate | Lynn Hopton |
11 PIVs 11 other accounts |
$4.85 billion $440.11 million |
None | None | (2) | (28) | |||||||
Yvonne Stevens |
11 PIVs 11 other accounts |
$4.85 billion $436.48 million |
None | None | ||||||||||
Steve Staver | 5 other accounts | $0.81 million | None | None | ||||||||||
Columbia Income Opportunities | Brian Lavin |
12 RICs 1 PIV 3 other account |
$8.19 billion $10.40 million $684.85 million |
None | None | (2) | (18) | |||||||
Columbia Inflation Protected Securities | Nicholas Pifer(l) |
6 RICs 3 PIVs 19 other accounts |
$4.67 billion $21.58 million $4.99 billion |
None | None | (2) | (22) | |||||||
VishaI Khanduja |
1 RIC 3 other accounts |
$2.24 billion $0.09 million |
None | None | ||||||||||
Columbia Large Core Quantitative | Brian M. Condon |
12 RICs 8 PIVs 43 other accounts |
$4.92 billion $707 million $2.63 billion |
1 PIV ($23 M) | None | (3) | (31) | |||||||
Columbia Limited Duration Credit | Tom Murphy |
6 RICs 2 PIVs 17 other accounts |
$12.38 billion $715.72 million $12.88 billion |
2 RICs ($1.53 B); 1 other account ($30.68 M) |
Over 1,000,000 |
(2) | (18) | |||||||
Timothy J. Doubek |
1 RIC 5 other account |
$2.05 billion $31.88 million |
1 other account ($30.68 M) |
$10,001 $50,000 |
||||||||||
RiverSource Disciplined Small and Mid Cap Equity | Brian M. Condon |
12 RICs 8 PIVs 43 other accounts |
$8.52 billion $707 million $2.63 billion |
1 PIV ($23 M) | None | (3) | (31) | |||||||
Alfred F. Alley III |
6 RICs 6 PIVs 17 other accounts |
$6.81 billion $846.76 million $1.28 billion |
None | None | ||||||||||
RiverSource Disciplined Small and Mid Cap Value | Brian M. Condon |
12 RICs 8 PIVs 43 other accounts |
$8.61 billion $707 million $2.63 billion |
1 PIV ($23 M) | None | (3) | (31) | |||||||
Alfred F. Alley III |
6 RICs 6 PIVs 17 other accounts |
$6.90 billion $846.76 million $1.28 billion |
None | None | ||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
For funds with fiscal period ending August 31 | ||||||||||||||
Columbia Diversified Bond | Tom Murphy |
5 RICs 2 PIVs 18 other accounts |
$7.96 billion $709.69 million $13.30 billion |
2 RICs ($1.46 B); 1 other account ($29.94 M) |
$10,001 $50,000 |
(2) | (18) | |||||||
Jennifer Ponce de Leon |
6 RICs 27 other accounts |
$5.60 billion $4.68 billion |
2 RICs ($1.46 B); 1 other account ($29.94 M) |
None | ||||||||||
Colin Lundgren |
22 RICs 9 other accounts |
$38.96 billion $272.65 million |
2 RICs ($1.46 B) |
$100,001 $500,000 |
||||||||||
Columbia Marsico Flexible Capital | A. Douglas Rao(n) |
23 RICs 9 PIVs 111 other accounts(d) |
$15.22 billion $1.14 billion $11.46 billion |
None | None | (17) | (37) | |||||||
Columbia Minnesota Tax-Exempt | Catherine Stienstra |
10 RICs 12 other accounts |
$4.15 billion $6.80 billion |
None | None | (2) | (18) | |||||||
Mary Grindland(m) |
1 RIC 6 other accounts |
$67.34 billion $0.42 million |
None |
$10,001 $50,000 |
||||||||||
RiverSource California Tax-Exempt | Catherine Stienstra |
10 RICs 12 other accounts |
$4.35 billion $6.80 billion |
None | None | (2) | (18) | |||||||
RiverSource New York Tax-Exempt | Catherine Stienstra |
10 RICs 12 other accounts |
$4.45 billion $6.80 billion |
None | None | (2) | (18) | |||||||
For fund with fiscal period ending September 30 | ||||||||||||||
Columbia Diversified Equity Income | Laton Spahr |
12 RICs 2 PIVs 16 other accounts |
$9.94 billion $59.51 million $544.22 million |
8 RICs ($9.42 B) | $100,001-$500,000 | |||||||||
Steve Schroll |
12 RICs 2 PIVs 18 other accounts |
$9.94 billion $59.51 million $543.14 million |
8 RICs ($9.42 B) | $50,001-$100,000 | (2) | (18) | ||||||||
Paul Stocking |
12 RICs 2 PIVs 20 other accounts |
$9.94 billion $59.51 million $549.37 million |
8 RICs ($9.42 B) | Over $1,000,000 | ||||||||||
Columbia Large Growth Quantitative | Brian M. Condon |
11 RICs 9 PIVs 40 other accounts |
$7.92 billion $757 million $2.798 billion |
1 PIV ($22 M) | None | (3) | (31) | |||||||
Columbia Large Value Quantitative | Brian M. Condon |
11 RICs 9 PIVs 40 other accounts |
$8.429 billion $757 million $2.798 billion |
1 PIV ($22 M) | None | (3) | (31) | |||||||
Columbia Mid Cap Value Opportunity | Laton Spahr |
12 RICs 2 PIVs 16 other accounts |
$12.18 billion $59.51 million $544.22 million | 8 RICs ($9.42 B) | $50,001-$100,000 | |||||||||
Steve Schroll |
12 RICs 2 PIVs 18 other accounts |
$12.18 billion $59.51 million $543.14 million | 8 RICs ($9.42 B) | $50,001-$100,000 | (2) | (18) | ||||||||
Paul Stocking |
12 RICs 2 PIVs 20 other accounts |
$12.18 billion $59.51 million $549.37 million | 8 RICs ($9.42 B) | $50,001-$100,000 | ||||||||||
Columbia Strategic Allocation | Anwiti Bahuguna |
36 RICs 35 PIVs 21 other accounts |
$6.558 billion $4.45 billion $252 million |
None | None | |||||||||
Kent Peterson |
36 RICs 35 PIVs 16 other accounts |
$6.558 billion $4.45 billion $252 million |
None | None | (3) | (31) | ||||||||
Marie M. Schofield |
36 RICs 35 PIVs 17 other accounts |
$6.558 billion $4.45 billion $253 million |
None | None | ||||||||||
Colin Moore |
38 RICs 35 PIVs 20 other accounts |
$7.93 billion $4.45 billion $255 million |
None | None | (3) | (19) | ||||||||
David M. Joy |
31 RICs 6 other accounts |
$6.27 billion $1.14 million |
None | None | (2) | (20) | ||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
RiverSource Balanced | Steve Schroll |
12 RICs 2 PIVs 18 other accounts |
$13.77 billion $59.51 million $543.14 million | 8 RICs ($9.42 B) | None | (2) | (18) | |||||||
Laton Spahr |
12 RICs 2 PIVs 16 other accounts |
$13.77 billion $59.51 million $544.22 million | 8 RICs ($9.42 B) | None | ||||||||||
Paul Stocking |
12 RICs 2 PIVs 20 other accounts |
$13.77 billion $59.51 million $549.37 million | 8 RICs ($9.42 B) | None | ||||||||||
Tom Murphy |
5 RICs 2 PIVs 17 other accounts |
$12.73 billion $716.23 million $13.57 billion |
1 RIC ($933.4 M); 1 other account ($23.54 M) |
None | ||||||||||
Jennifer Ponce de Leon |
6 RICs 1 PIV 25 other accounts |
$3.34 billion $10.56 million $4.88 billion |
1 RIC ($933.4 M); 1 other account ($6.21 M) |
None | ||||||||||
Colin Lundgren |
14 RICs 9 other accounts |
$48.53 billion $277.27 million | 1 RIC ($933.4 M) | None | ||||||||||
RiverSource Strategic Income Allocation | Colin Lundgren |
14 RICs 9 other accounts |
$48.78 billion $277.27 million | 2 RICs ($1.54 B) | None | |||||||||
Gene R. Tannuzzo |
11 RICs 2 other accounts |
$43.37 billion $0.09 million |
None | $1-$10,000 | (2) | (18) | ||||||||
Brian Lavin |
12 RICs 1 PIV 3 other account |
$9.49 billion $10.56 million $695.44 million |
None | None | ||||||||||
Seligman California Municipal High-Yield | Catherine Stienstra |
11 RICs 12 other accounts |
$4.07 billion $6.70 billion |
None | None | (2) | (18) | |||||||
Seligman California Municipal Quality | Catherine Stienstra |
11 RICs 12 other accounts |
$4.07 billion $6.70 billion |
None | None | (2) | (18) | |||||||
Seligman Minnesota Municipal | Catherine Stienstra |
11 RICs 12 other accounts |
$4.04 billion $6.70 billion |
None | None | (2) | (18) | |||||||
Mary Grindland |
1 RIC 6 other accounts |
$355.48 million $0.3 million |
None | None | ||||||||||
Seligman National Municipal | Kimberly Campbell |
7 RICs 18 other accounts |
$3.45 billion $960,000 |
None | None | (3) | (31) | |||||||
Seligman New York Municipal | Catherine Stienstra |
11 RICs 12 other accounts |
$4.02 billion $6.70 billion |
None | (2) | (18) | ||||||||
For funds with fiscal period ending October 31 | ||||||||||||||
Columbia Absolute Return Currency and Income | Nicholas Pifer |
6 RICs 1 PIV 18 other accounts |
$5.38 billion $7.44 million $4.99 billion |
2 other accounts ($92.12 M) | $50,001-$100,000 | (2) | (18) | |||||||
Columbia Asia Pacific ex-Japan | Threadneedle: | |||||||||||||
Vanessa Donegan |
5 RICs 9 other accounts |
$3.86 billion $4.62 billion |
2 RICs | None(f) | (13) | (35) | ||||||||
Rafael Polatinsky |
2 RICs 3 other accounts |
$1.66 billion $840.0 million |
2 RICs | |||||||||||
Columbia Emerging Markets Bond | Nicholas Pifer |
6 RICs 1 PIV 18 other accounts |
$5.02 billion $7.44 million $4.99 billion |
2 other accounts ($92.12 M) | $10,001-$50,000 |
(2) |
(18) |
|||||||
Jim Carlene |
6 PIVs 5 other accounts |
$63.99 million $1.32 million |
None | $10,001-$50,000 | ||||||||||
Columbia Emerging | Threadneedle: | |||||||||||||
Markets Opportunity | Vanessa Donegan |
5 RICs 9 other accounts |
$4.64 billion $4.62 billion |
2 RICs | None(f) | (13) | (35) | |||||||
Rafael Polatinsky |
2 RICs 3 other accounts |
$1.66 billion $840.0 million |
2 RICs | |||||||||||
Columbia European | Threadneedle: | |||||||||||||
Equity | Dan Ison | 4 RICs | $1.07 billion | 1 RIC ($95 M) | None(f) | (13) | (35) | |||||||
Columbia Frontier | John K. Schonberg |
8 RICs 2 PIVs 6 other accounts |
$1.85 billion $29.31 million $1.58 million |
2 RICs ($1.46 B) | None | (2) | (18) | |||||||
Sam Murphy |
2 RICs 3 other accounts |
$1.46 billion $0.14 million |
None | |||||||||||
Mike Marzolf |
2 RICs 3 other accounts |
$1.46 billion $0.08 million |
None | |||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
Columbia Global Bond | Nicholas Pifer |
6 RICs 1 PIV 18 other accounts |
$5.02 billion $7.44 million $4.99 billion |
2 other accounts ($92.12 M) | $50,001-$100,000 | (2) | (18) | |||||||
Columbia Global | Threadneedle: | |||||||||||||
Equity | Stephen Thornber |
3 RICs 1 other account |
$114.0 million $455.0 million |
2 RICs ($79 M) | None(f) | (13) | (36) | |||||||
Andrew Holliman |
3 RICs 1 other account |
$164.0 million $253.0 million |
1 RIC ($10 M) | |||||||||||
Columbia Global Extended Alpha | Threadneedle: | |||||||||||||
Andrew Holliman |
3 RICs 1 other account |
$154.0 million $253.0 million |
1 RIC ($10 M) | None(f) | (13) | (36) | ||||||||
Jeremy Podger |
4 RICs 2 other accounts |
$2.92 billion $64.0 million |
1 RIC ($2 M) | |||||||||||
Columbia Multi- | AllianceBernstein: | |||||||||||||
Advisor International Value |
Kevin F. Simms |
210 RICs 339 PIVs 33,200 other accounts |
$35.55 billion $20.71 billion $83.31 billion |
3 RICs ($6.74 B); 13 PIVs ($1.26 B); 66 other accounts ($8.53 B) |
None | (15) | (33) | |||||||
Henry S. DAuria |
165 RICs 247 PIVs 33,196 other accounts |
$33.38 billion $18.70 billion $82.94 billion |
3 RICs ($6.74 B); 10 PIVs ($1.21 B); 66 other accounts ($8.53 B) |
|||||||||||
Sharon E. Fay |
212 RICs 363 PIVs 33,374 other accounts |
$36.11 billion $24.01 billion $92.72 billion |
3 RICs ($6.74 B); 15 PIVs ($1.53 B); 87 other accounts ($9.38 B) | |||||||||||
Eric J. Franco |
74 RICs 122 PIVs 142 other accounts |
$16.54 billion $6.40 billion $17.14 billion |
1 RIC ($2.12 B); 1 PIV ($0); 8 other accounts ($1.16 B) |
|||||||||||
Mondrian: | ||||||||||||||
Ormala Krishnan |
1 RIC 1 PIV 9 other accounts |
$456.0 million $1.54 billion $1.19 million |
None | None | (7) | (34) | ||||||||
Tradewinds: | ||||||||||||||
Peter Boardman |
6 RICs 11 PIVs 40,383 other accounts |
$2.17 billion $984.8 million $13.31 billion |
None | None | (10) | (35) | ||||||||
Alberto Jimenez Crespo |
6 RICs 11 PIVs 40,380 other accounts |
$2.19 billion $985.0 million $13.11 billion |
||||||||||||
Columbia Seligman Global Technology | Richard M. Parower |
3 RICs 5 PIVs 9 other accounts |
$3.97 billion $1.96 billion $416.27 million |
None | None | (2) | (30) | |||||||
Paul H. Wick |
4 RICs 5 PIVs 6 other accounts |
$4.27 billion $1.96 billion $411.85 million |
None | |||||||||||
Reema D. Shah |
3 RICs 5 PIVs 10 other accounts |
$3.97 billion $1.96 billion $412.34 million |
None | |||||||||||
Ajay Diwan |
4 RICs 5 PIVs 10 other accounts |
$4.27 billion $1.96 billion $410.98 million |
None | |||||||||||
Benjamin Lu |
1 RIC 2 PIVs 1 other account |
$5.58 million $26.89 million $0.001 million |
None | |||||||||||
RiverSource Disciplined International Equity | Fred Copper |
8 RICs 2 PIVs 22 other accounts |
$1.5 billion $569.2 million $69.9 million |
None | None | (3) | (32) | |||||||
RiverSource | Columbia WAM: | |||||||||||||
Partners | P. Zachary Egan | 3 RICs | $6.3 billion | None | None | (14) | (31) | |||||||
International Select | ||||||||||||||
Growth | Louis J. Mendes III | 4 RICs | $7.1 billion | |||||||||||
RiverSource | Columbia WAM: | |||||||||||||
Partners | P. Zachary Egan | 3 RICs | $6.5 billion | None | None | (14) | (31) | |||||||
International Small | ||||||||||||||
Cap | Louis Mendes III | 4 RICs | $7.4 billion | |||||||||||
Threadneedle | Threadneedle: | |||||||||||||
Global | Stephen Thornber |
3 RICs 1 other account |
$486.0 million $455.0 million |
2 RICs ($79 M) | None(f) | (13) | (36) | |||||||
Equity Income | ||||||||||||||
Jeremy Podger |
4 RICs 2 other accounts |
$2.92 billion $64.0 million |
1 RIC ($2 M) | |||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
Threadneedle | Threadneedle: | |||||||||||||
International | Alex Lyle |
16 PIVs 33 other accounts |
$1.88 billion $2.37 billion |
None | None(f) | (13) | (36) | |||||||
Opportunity | ||||||||||||||
Esther Perkins | 4 other accounts | $986.0 million | ||||||||||||
For funds with fiscal period ending November 30 | ||||||||||||||
Columbia AMT-Free Tax-Exempt Bond | Catherine Stienstra |
13 RICs 12 other accounts |
$4.24 billion $39.69 billion |
None | None | (2) | (18) | |||||||
Columbia Mid Cap Growth Opportunity | John K. Schonberg |
8 RICs 2 PIVs 7 other accounts |
$859.83 million $29.81 million $1.57 million |
None | ||||||||||
Sam Murphy |
2 RICs 3 other accounts |
$138.59 million $0.14 million |
1 RIC ($384.03 M) | $10,001-$50,000 | (2) | (18) | ||||||||
Mike Marzolf |
2 RICs 4 other accounts |
$138.59 million $0.08 million |
None | |||||||||||
RiverSource Intermediate Tax-Exempt | Brian M. McGreevy |
7 RICs 6 other accounts |
$3.99 billion $553.36 million |
None | None | (3) | (31) | |||||||
RiverSource Tax-Exempt High Income | Kimberly Campbell |
5 RICs 1 PIV 6 other accounts |
$2.77 billion $152.36 million $0.11 million |
None | None | (3) | (31) | |||||||
For funds with fiscal period ending December 31 | ||||||||||||||
Columbia Select Large-Cap Value
|
Neil Eigen |
5 RICs 1 PIV 70 other accounts(d) |
$700.17 million $165.58 million $3.02 billion |
None | None | (2) | (18) | |||||||
Richard Rosen |
5 RICs 1 PIV 46 other accounts(d) |
$700.17 million $165.58 million $2.97 billion |
None | None | ||||||||||
Columbia Select Smaller-Cap Value
|
Neil Eigen |
5 RICs 1 PIV 70 other accounts(d) |
$638.76 million $165.58 million $3.02 billion |
None | $10,001-$50,000 | (2) | (18) | |||||||
Richard Rosen |
5 RICs 1 PIV 46 other accounts(d) |
$638.76 million $165.58 million $2.97 billion |
None | None | ||||||||||
Columbia Seligman Communications and Information
|
Paul Wick |
6 RICs 5 PIVs 5 other accounts |
$1.12 billion $2.04 billion $299.97 million |
None | Over $1,000,000 | (2) | (29) | |||||||
Richard Parower |
5 RICs 5 PIVs 10 other accounts |
$807.99 million $1.82 billion $347.38 million |
None | None | ||||||||||
Sangeeth Peruri |
3 RICs 3 PIVs 9 other accounts |
$201.24 million $50.03 million $22.10 million |
None | None | ||||||||||
Vishal Saluja(o) |
6 PIVs 4 other accounts |
$773.62 million $15.36 million |
None | None | ||||||||||
Sushil Wagle(o) | None | N/A | N/A | None | ||||||||||
RiverSource | LaSalle Securities: | |||||||||||||
LaSalle Global | Stan J. Kraska | 2 RICs | $0.13 billion | 4 other accounts | $10,001-$50,000 | (16) | (36) | |||||||
Real Estate
|
George J. Noon | 16 PIVs | $6.89 billion | ($0.46 B) | None | |||||||||
Keith R. Pauley | 24 other accounts | $2.41 billion | None | |||||||||||
Ernst Jan de Leeuw |
1 RIC 16 PIV 12 other accounts |
$0.10 billion $6.97 billion $1.18 billion |
2 other accounts ($0.30 B) |
None | ||||||||||
Other Accounts Managed (excluding the fund) |
Ownership |
Potential |
||||||||||||
Number and
Type |
Approximate |
Performance
Based |
of Fund |
Conflicts |
Structure of |
|||||||||
Fund | Portfolio Manager | of Account* | Total Net Assets | Accounts(a) | Shares | of Interest | Compensation | |||||||
RiverSource | LaSalle Securities: | |||||||||||||
LaSalle Monthly | Stan J. Kraska | 2 RICs | $0.11 billion | 4 other accounts | $10,001-$50,000 | |||||||||
Dividend | George J. Noon | 16 PIVs | $6.89 billion | ($0.46 B) | None | |||||||||
Real Estate | Keith R. Pauley | 24 other accounts | $2.41 billion | None | (16) | (36) | ||||||||
Seligman Capital
|
Wayne Collette |
7 RICs 1 PIV 12 other accounts |
$3.33 billion $124.83 million $106.08 million |
None | None | (3) | (31) | |||||||
George Myers |
6 RICs 4 other accounts |
$3.04 billion $111.61 million |
None | None | ||||||||||
Lawrence W. Lin |
6 RICs 5 other accounts |
$3.04 billion $0.56 million |
None | None | ||||||||||
Brian D. Neigut |
6 RICs 6 other accounts |
$3.04 billion $0.42 million |
None | None | ||||||||||
Seligman Growth
|
John Wilson |
3 RICs 1 PIV 13 other accounts |
$1.51 billion $286.18 million $525.86 million |
None | None | (3) | (31) | |||||||
Peter Deininger |
3 RICs 1 other account |
$1.51 billion $0.007 million |
None | None | ||||||||||
* | RIC refers to a Registered Investment Company; PIV refers to a Pooled Investment Vehicle. | |
(a) | Number of accounts for which the advisory fee paid is based in part or wholly on performance and the aggregate net assets in those accounts. | |
(b) | Mr. Bergene has overall accountability for the group that monitors the subadvisers for the funds and for making recommendations to the Boards of Directors on changes to those subadvisers. | |
(c) | Reflects each wrap program strategy as a single client, rather than counting each participant in the program as a separate client. | |
(d) | Wrap accounts have been counted at the sponsor level. | |
(e) | Neither Christopher Davis nor Kenneth Feinberg own any shares of RiverSource Partners Fundamental Value Fund. However, both portfolio managers have over $1 million invested in the Davis Funds, which are managed in a similar style. | |
(f) | The fund is available for sale only in the U.S. The portfolio managers do not reside in the U.S. and therefore do not hold any shares of the fund. | |
(g) | The portfolio manager began managing the fund after its last fiscal year end; reporting information is as of Oct. 31, 2008. | |
(h) | The portfolio manager began managing the fund after its last fiscal year end; reporting information is provided as of Jan. 31, 2009. | |
(i) | The portfolio manager began managing the fund after its last fiscal year end; reporting information is provided as of Dec. 31, 2009. | |
(j) | The portfolio manager began managing the fund after its last fiscal year end; reporting information is provided as of March 31, 2010. | |
(k) | The portfolio manager began managing the fund after its last fiscal year end; reporting information is provided as of April 30, 2010. | |
(l) | The portfolio manager began managing the fund effective Oct. 1, 2010; reporting is provided as of Aug. 31, 2010. | |
(m) | The portfolio manager began managing the fund effective Oct. 1, 2010; reporting is provided as of July 31, 2010. | |
(n) | The portfolio manager reporting is provided as of July 31, 2010. |
(o) | The portfolio manager began managing the fund effective Feb. 28, 2011; reporting is provided as of Dec. 31, 2010. |
(1) | Columbia Management: Management of funds-of-funds differs from that of the other funds. The portfolio management process is set forth generally below and in more detail in the funds prospectus. | |
Portfolio managers of the fund-of-funds may be involved in determining each funds-of-funds allocation among the three main asset classes (equity, fixed income and cash) and the allocation among investment categories within each asset class, as well as each funds-of-funds allocation among the underlying funds. | ||
Because of the structure of the funds-of-funds, the
potential conflicts of interest for the portfolio managers may
be different than the potential conflicts of interest for
portfolio managers who manage other funds.
|
||
In addition to the accounts above, portfolio managers may manage accounts in a personal capacity that may include holdings that are similar to, or the same as, those of the fund. The investment manager has in place a Code of Ethics that is designed to address conflicts and that, among other things, imposes restrictions on the ability of the portfolio managers and other investment access persons to invest in securities that may be recommended or traded in the fund and other client accounts. | ||
(2) | Columbia Management: Portfolio managers may manage one or more mutual funds as well as other types of accounts, including hedge funds, proprietary accounts, separate accounts for institutions and individuals, and other pooled investment vehicles. Portfolio managers make investment decisions for an account or portfolio based on its investment objectives and policies, and other relevant investment considerations. A portfolio manager may manage another account whose fees may be materially greater than the management fees paid by the fund and may include a performance-based fee. Management of multiple funds and accounts may create potential conflicts of interest relating to the allocation of investment opportunities, competing investment decisions made for different accounts and the aggregation and |
allocation of trades. In addition, the investment manager monitors a variety of areas (e.g., allocation of investment opportunities) and compliance with the firms Code of Ethics, and places additional investment restrictions on portfolio managers who manage hedge funds and certain other accounts. | ||
The investment manager has a fiduciary responsibility to all of the clients for which it manages accounts. The investment manager seeks to provide best execution of all securities transactions and to aggregate securities transactions and then allocate securities to client accounts in a fair and equitable basis over time. The investment manager has developed policies and procedures, including brokerage and trade allocation policies and procedures, designed to mitigate and manage the potential conflicts of interest that may arise from the management of multiple types of accounts for multiple clients. | ||
In addition to the accounts above, portfolio managers may manage accounts in a personal capacity that may include holdings that are similar to, or the same as, those of the fund. The investment managers Code of Ethics is designed to address conflicts and, among other things, imposes restrictions on the ability of the portfolio managers and other investment access persons to invest in securities that may be recommended or traded in the fund and other client accounts. | ||
For portfolio managers Marzolf and Murphy, their responsibilities also include working as a securities analyst. This dual role may give rise to conflicts with respect to making investment decisions for accounts that the portfolio manager manages versus communicating his or her analyses to other portfolio managers concerning securities that he or she follows as an analyst. | ||
(3) | Columbia Management: Like other investment professionals with multiple clients, a funds portfolio manager(s) may face certain potential conflicts of interest in connection with managing both the fund and other accounts at the same time. The investment manager and the funds have adopted compliance policies and procedures that attempt to address certain of the potential conflicts that portfolio managers face in this regard. Certain of these conflicts of interest are summarized below. | |
The management of accounts with different advisory fee rates and/or fee structures, including accounts that pay advisory fees based on account performance (performance fee accounts), may raise potential conflicts of interest for a portfolio manager by creating an incentive to favor higher fee accounts. | ||
Potential conflicts of interest also may arise when a portfolio manager has personal investments in other accounts that may create an incentive to favor those accounts. As a general matter and subject to the investment managers Code of Ethics and certain limited exceptions, the investment managers investment professionals do not have the opportunity to invest in client accounts, other than the funds. | ||
A portfolio manager who is responsible for managing multiple funds and/or accounts may devote unequal time and attention to the management of those funds and/or accounts. The effects of this potential conflict may be more pronounced where funds and/or accounts managed by a particular portfolio manager have different investment strategies. | ||
A portfolio manager may be able to select or influence the selection of the broker/dealers that are used to execute securities transactions for the funds. A portfolio managers decision as to the selection of broker/dealers could produce disproportionate costs and benefits among the funds and the other accounts the portfolio manager manages. | ||
A potential conflict of interest may arise when a portfolio manager buys or sells the same securities for a fund and other accounts. On occasions when a portfolio manager considers the purchase or sale of a security to be in the best interests of a fund as well as other accounts, the investment managers trading desk may, to the extent consistent with applicable laws and regulations, aggregate the securities to be sold or bought in order to obtain the best execution and lower brokerage commissions, if any. Aggregation of trades may create the potential for unfairness to a fund or another account if a portfolio manager favors one account over another in allocating the securities bought or sold. | ||
Cross trades, in which a portfolio manager sells a particular security held by a fund to another account (potentially saving transaction costs for both accounts), could involve a potential conflict of interest if, for example, a portfolio manager is permitted to sell a security from one account to another account at a higher price than an independent third party would pay. The investment manager and the funds have adopted compliance procedures that provide that any transactions between a fund and another account managed by the investment manager are to be made at a current market price, consistent with applicable laws and regulations. | ||
Another potential conflict of interest may arise based on the different investment objectives and strategies of a fund and other accounts managed by its portfolio manager(s). Depending on another accounts objectives and other factors, a portfolio manager may give advice to and make decisions for a fund that may differ from advice given, or the timing or nature of decisions made, with respect to another account. A portfolio managers investment decisions are the product of many factors in addition to basic suitability for the particular account involved. Thus, a portfolio manager may buy or sell a particular security for certain accounts, and not for a fund, even though it could have been bought or sold for |
the fund at the same time. A portfolio manager also may buy a particular security for one or more accounts when one or more other accounts are selling the security (including short sales). There may be circumstances when a portfolio managers purchases or sales of portfolio securities for one or more accounts may have an adverse effect on other accounts, including the funds. | ||
A funds portfolio manager(s) also may have other potential conflicts of interest in managing the fund, and the description above is not a complete description of every conflict that could exist in managing the fund and other accounts. Many of the potential conflicts of interest to which the investment managers portfolio managers are subject are essentially the same or similar to the potential conflicts of interest related to the investment management activities of the investment manager and its affiliates. | ||
(4) | Turner: As is typical for many money managers, potential conflicts of interest may arise related to Turners management of accounts including the fund where not all accounts are able to participate in a desired IPO, or other limited opportunity, relating to use of soft dollars and other brokerage practices, related to the voting of proxies, employee personal securities trading, and relating to a variety of other circumstances. In all cases, however, Turner believes it has written policies and procedures in place reasonably designed to prevent violations of the federal securities laws and to prevent material conflicts of interest from arising. Please also see Turners Form ADV, Part II for a description of some of its policies and procedures in this regard. | |
(5) | Columbia Management: Management of the Income Builder Funds-of-Funds differs from that of the other funds. The portfolio management process is set forth generally below and in more detail in the funds prospectus. | |
The investment manager uses quantitative models combined with qualitative factors to determine the funds allocations to the underlying funds. Using these methodologies, a group of the investment managers investment professionals allocates each funds assets within and across different asset classes in an effort to achieve the funds objective of providing a high level of current income and growth of capital. The fund will typically be rebalanced monthly in an effort to maximize the level of income and capital growth, incorporating various measures of relative value subject to constraints that set minimum or maximum exposure within asset classes, as set forth in the prospectus. Within the equity and fixed income asset classes, the investment manager establishes allocations for the funds, seeking to achieve each funds objective by investing in defined investment categories. The target allocation range constraints are intended, in part, to promote diversification within the asset classes. | ||
Because of the structure of the funds-of-funds, the potential conflicts of interest for the portfolio managers may be different than the potential conflicts of interest for portfolio managers who manage other funds. These potential conflicts of interest include: | ||
In certain cases, the portfolio managers of the
underlying funds are the same as the portfolio managers of the
Income Builder Funds-of-Funds, and could influence the
allocation of funds-of-funds assets to or away from the
underlying funds that they manage.
|
||
The investment manager and its affiliates may
receive higher compensation as a result of allocations to
underlying funds with higher fees.
|
||
The investment manager monitors the performance of the underlying funds and may, from time to time, recommend to the Board of Directors of the funds a change in portfolio management or fund strategy or the closure or merger of an underlying fund. In addition, the investment manager may believe that certain funds may benefit from additional assets or could be harmed by redemptions. All of these factors may also influence decisions in connection with the allocation of funds-of-funds assets to or away from certain underlying funds. | ||
In addition to the accounts above, portfolio managers may manage accounts in a personal capacity that may include holdings that are similar to, or the same as, those of the fund. The investment manager has in place a Code of Ethics that is designed to address conflicts and that, among other things, imposes restrictions on the ability of the portfolio managers and other investment access persons to invest in securities that may be recommended or traded in the fund and other client accounts. | ||
(6) | American Century: Certain conflicts of interest may arise in connection with the management of multiple portfolios. Potential conflicts include, for example, conflicts among investment strategies and conflicts in the allocation of investment opportunities. American Century has adopted policies and procedures that are designed to minimize the effects of these conflicts. | |
Responsibility for managing American Century client portfolios is organized according to investment discipline. Investment disciplines include, for example, quantitative equity, small- and mid-cap growth, large-cap growth, value, international, fixed income, asset allocation, and sector funds. Within each discipline are one or more portfolio teams responsible for managing specific client portfolios. Generally, client portfolios with similar strategies are managed by |
the same team using the same objective, approach, and philosophy. Accordingly, portfolio holdings, position sizes, and industry and sector exposures tend to be similar across similar portfolios, which minimizes the potential for conflicts of interest. | ||
For each investment strategy, one portfolio is generally designated as the policy portfolio. Other portfolios with similar investment objectives, guidelines and restrictions are referred to as tracking portfolios. When managing policy and tracking portfolios, a portfolio team typically purchases and sells securities across all portfolios that the team manages. American Centurys trading systems include various order entry programs that assist in the management of multiple portfolios, such as the ability to purchase or sell the same relative amount of one security across several funds. In some cases a tracking portfolio may have additional restrictions or limitations that cause it to be managed separately from the policy portfolio. Portfolio managers make purchase and sale decisions for such portfolios alongside the policy portfolio to the extent the overlap is appropriate, and separately, if the overlap is not. | ||
American Century may aggregate orders to purchase or sell the same security for multiple portfolios when it believes such aggregation is consistent with its duty to seek best execution on behalf of its clients. Orders of certain client portfolios may, by investment restriction or otherwise, be determined not available for aggregation. American Century has adopted policies and procedures to minimize the risk that a client portfolio could be systematically advantaged or disadvantaged in connection with the aggregation of orders. To the extent equity trades are aggregated, shares purchased or sold are generally allocated to the participating portfolios pro rata based on order size. Because initial public offerings (IPOs) are usually available in limited supply and in amounts too small to permit across-the-board pro rata allocations, American Century has adopted special procedures designed to promote a fair and equitable allocation of IPO securities among clients over time. Fixed income securities transactions are not executed through a centralized trading desk. Instead, portfolio teams are responsible for executing trades with broker/dealers in a predominantly dealer marketplace. Trade allocation decisions are made by the portfolio manager at the time of trade execution and orders entered on the fixed income order management system. | ||
Finally, investment of American Centurys corporate assets in proprietary accounts may raise additional conflicts of interest. To mitigate these potential conflicts of interest, American Century has adopted policies and procedures intended to provide that trading in proprietary accounts is performed in a manner that does not give improper advantage to American Century to the detriment of client portfolios. | ||
(7) | Mondrian: Mondrian does not foresee any material conflicts of interest that may arise in the management of the funds and any other accounts managed with similar investment guidelines. Mondrian acts solely as an investment manager and does not engage in any other business activities. The following is a list of some potential conflicts of interest that can arise in the course of normal investment management business activities. Mondrian maintains and operates various policies and procedures which are designed to prevent or manage any of the conflicts identified below so that the interests of its clients are always put ahead of Mondrians own interests or those of its employees and directors: | |
Access to non-public information | ||
As an Investment Manager Mondrian may come in to contact with information about a company that is not generally available to the investing public. Mondrians policy and procedures for handling any conflicts of interest arising from access to nonpublic information are set out in the Mondrian Investment Partners Limited Code of Ethics under Policy Statement on Insider Trading and Securities Fraud. If an employee is uncertain as to whether an interest or relationship is material or adverse, they should consult the Chief Compliance Officer for guidance. | ||
Allocation of aggregated trades | ||
Mondrian may from time to time aggregate trades for a number of its clients. | ||
Mondrians policy requires that all allocations of aggregated trades must be fair between clients. Transactions involving commingled orders are allocated in a manner deemed equitable to each account. When a combined order is executed in a series of transactions, at different prices, each account participating in the order may be allocated an average price obtained from the broker/dealer. When a trade can be allocated in a cost efficient manner to our clients, it will be prorated across all participating accounts. Mondrian may randomly allocate purchases or sales among participating accounts when the amounts involved are too small to be evenly proportioned in a cost efficient manner. In performing random allocations, Mondrian will consider consistency of strategy implementation among participating accounts. | ||
Allocation of investment opportunities | ||
Mondrian is an investment manager of multiple client portfolios. As such, it has to ensure that investment opportunities are allocated fairly between clients. There is a potential risk that Mondrian may favor one client over another client in making allocations of investment opportunities. | ||
Mondrian makes security selection decisions at committee level. Those securities identified as investment opportunities are added to a list of approved securities; portfolios will hold only such approved securities. |
All portfolios governed by the same or a similar mandate will be structured similarly (that is, will hold the same or comparable stocks), and will exhibit similar characteristics. Sale and purchase opportunities identified at regular investment meetings will be applied to portfolios across the board, subject to the requirements of individual client mandates. See also Side-by-side management of hedge funds below. | ||
Cherry picking | ||
Cherry picking is an abusive practice whereby an investment firm misrepresents its stock selecting skills by only showing top performing securities in promoting its investment services. Mondrians production of marketing materials is centrally controlled and independently reviewed to ensure that all materials are fair and not misleading. | ||
Dealing in investments as agent for more than one party | ||
Conflicts of interest exist when a portfolio management firm manages multiple client portfolios. Mondrian addresses these potential conflicts through the operation of dealing policies designed to ensure the fair and equal treatment of all clients e.g. the allocation of aggregated trades among clients. | ||
Allocation of IPO opportunities | ||
Initial Public Offerings (IPOs) present a potential conflict of interest when they are priced at a discount to the anticipated secondary market price and the issuer has restricted or scaled back its allocation due to market demand. In such instances, the IPO allocation could be divided among a small select group of clients with others not receiving the allocation they would otherwise be entitled to. Mondrian clients with relevant mandates are given an equal opportunity, proportionate to the size of their portfolio, to participate in IPO trades. All IPO purchases are allocated on a strict pro-rata basis. | ||
Dealing in investments as principal in connections with the provision of seed capital | ||
A conflict of interest exists when a portfolio management firm manages its own money alongside client money. | ||
Mondrian generally does not trade for its own account. However, Mondrian and its affiliates have provided the seed capital to certain investment vehicles that have been established by Mondrian group entities. Mondrian serves as the investment manager to these investment vehicles. | ||
Mondrian operates dealing policies designed to ensure the fair and equal treatment of all clients e.g. the allocation of aggregated trades among clients. These policies ensure that any portfolios in which Mondrian has an investment interest do not receive favorable treatment relative to other client portfolios. | ||
Directorships and external arrangements | ||
Certain Mondrian staff may hold positions in external organizations. There is a potential risk that Mondrian personnel may place their own interests (resulting from outside employment/directorships) ahead of the interests of Mondrian clients. Before accepting an executive or non-executive directorship or any other appointment in another company, employees, including executive directors, must obtain the prior approval of the Chief Executive Officer. The Chief Compliance Officer must also be informed of all such appointments and changes. The CEO and CCO will only permit appointments that would not present a conflict of interest with the individuals responsibilities to Mondrian clients. | ||
Dual agency | ||
Dual Agency (also known as Cross Trading) concerns those transactions where Mondrian may act as agent for both the buyer and seller. In such circumstances there is a potential conflict of interest as it may be possible to favor one client over another when establishing the execution price and/or commission rate. | ||
Although it rarely does so, Mondrian may act as agent for both buying and selling parties with respect to transactions in investments. If Mondrian proposes to act in such capacity, the Portfolio Manager will first obtain approval from the Chief Compliance Officer. The CCO has an obligation to ensure that both parties are treated fairly in any such trade. | ||
Employee compensation | ||
There is a potential risk that Mondrians compensation structure may incentivize employees to place their interests ahead of client interests, or, place one clients interests ahead of another. Mondrians compensation structure does not provide incentives for any member staff to favor any client (or group of clients). Incentives (Bonus and Equity Programs) focus on the key areas of research quality, long-term and short-term performance, teamwork, client service and marketing. At Mondrian, the investment management of particular portfolios is not star manager based but uses a team system. This means that Mondrians investment professionals are primarily assessed on their contribution to the teams effort and results, though with an important element of their assessment being focused on the quality of their individual research contribution. | ||
Employee personal account dealing | ||
There are a number of potential conflicts when staff of an investment firm engage in buying and selling securities for their personal account. Mondrian has arrangements in place to ensure that none of its directors, officers or employees |
(or persons connected to them by way of a business or domestic relationship) effects any transaction on their own account which conflicts with client interests. Mondrians rules which govern personal account dealing and general ethical standards are set out in the Mondrian Investment Partners Code of Ethics. | ||
Gifts and entertainment (received) | ||
In the normal course of business Mondrian employees may receive gifts and entertainment from third parties e.g. brokers and other service providers. This results in a potential conflict of interest when selecting third parties to provide services to Mondrian and its clients. Mondrian has a policy which requires that gifts and entertainment received are reported to the Chief Compliance Officer (any items in excess of £100 require pre-approval). All gifts and entertainment are reviewed to ensure that they are not inappropriate and that staff have not been unduly influenced by them. | ||
Gifts and entertainment (given) | ||
In the normal course of business, Mondrian employees may provide gifts and entertainment to third parties. Excessively lavish gifts and entertainment would be inappropriate. Mondrian has a policy which requires that any gifts and entertainment provided are reported to the Chief Compliance Officer (any items in excess of £200 require pre-approval). All gifts and entertainment are reviewed to ensure that they are not inappropriate and that staff have not attempted to obtain undue influence from them. | ||
Investment in shares issued by Companies who are clients of Mondrian | ||
Mondrian has client relationships with a number of entities which are associated with companies that issue securities in which Mondrian could invest client assets. This results in a potential conflict of interest. Mondrian makes stock selection decisions at a committee level. If a security is identified as offering a good investment opportunity it is added to Mondrians list of approved securities. All portfolios governed by the same or a similar mandate are structured similarly, that is, will hold the same or comparable securities. Mondrian would not consider client relationships when analyzing securities and would not add a holding to, or remove one from, the approved list because of a client relationship. | ||
Management of investment capacity | ||
Where there is limited capacity in Mondrians investment products, there is a potential for a conflict of interest in relation to how that capacity is allocated when there is strong demand. With regard to a closing policy, Mondrian recognizes the importance and the challenge of managing the growth of assets under management without compromising the interests of existing clients. To this end, the company has a track record of closing products early. In recent years Mondrian has soft closed its core EAFE and all-cap Emerging Markets equity products. These closures have been carried out early to give existing clients some further, albeit limited, scope for contribution to funds invested. Also, capacity in these styles has been reserved for Mondrians co-mingled vehicles. | ||
Performance fees | ||
Where an investment firm has clients with a performance fee arrangement there is a risk that those clients could be favored over clients without performance fees. Mondrian charges fees as a proportion of assets under management. In a very limited number of situations, in addition to this fee basis, certain accounts also include a performance fee basis. The potential conflict of interest arising from these fee arrangements is addressed by Mondrians procedures for the allocation of aggregated trades among clients. Investment opportunities are allocated totally independently of fee arrangements. | ||
Portfolio holdings disclosure | ||
Detailed portfolio holdings information can potentially be used by one or more clients/shareholders to obtain advantage over others who do not have access to that information. There is a potential risk that Mondrian could make nonpublic portfolio holdings information available to one or more select clients before it is made available to all relevant clients. Conflicts of interest arising from access to nonpublic information are addressed in the Mondrian Investment Partners Limited Code of Ethics under Policy Statement on Insider Trading and Securities Fraud. Additionally, Mondrian has procedures in place to ensure that client portfolio holdings information (including co-mingled funds) is kept confidential and is not inappropriately released to one or more clients/shareholders ahead of others. | ||
Portfolio pumping | ||
Portfolio pumping is the act of bidding up the value of a clients holdings immediately before the end of a calendar quarter, or other period when portfolio performance is measured. This is done by using a clients funds to place an excessive volume of trades in securities held by another client. This may drive up the value of the holdings on a temporary basis. Mondrian does not permit trading for the purpose of temporarily improving the performance of a portfolio. Mondrians investment procedures require all changes to portfolio holdings to be approved by the relevant Investment Committee. Although portfolio performance is measured and reported to clients on a monthly basis, |
Mondrians clients assess portfolio returns and relative performance on a longer term basis, in accordance with Mondrians long-term investment approach. | ||
Pricing and valuation | ||
There is a potential conflict of interest inherent in every valuation where an investment management firm is compensated on asset size and/or portfolio performance. Mondrian has policies and procedures in place to ensure that an appropriate independent pricing source is used for all security types. Adherence to these policies and procedures is monitored using exception reporting, as well as regular review, testing and evaluation of the adequacy of the procedures. | ||
Proxy voting | ||
Mondrian has a potential conflict of interest with its underlying clients when it has discretion to exercise voting authority in respect to client securities. Mondrian has implemented Proxy Voting policies and procedures that are designed to ensure that it votes client securities in the best interest of clients. In order to facilitate the actual process of voting proxies, Mondrian has contracted with an independent company, Institutional Shareholder Services (ISS) to analyze proxy statements on behalf of its clients and vote proxies in accordance with its procedures. | ||
Relationships with consultants | ||
Investment consultants typically provide advisory services to Mondrians clients and Mondrian occasionally purchases services from these consultants. The conflict of interest in these relationships rests mainly with the investment consulting firm itself. However, Mondrian will take care to ensure that any services it purchases from such firms are appropriate and would not reasonably be considered to be an inducement to that firm. | ||
Side-by-side management of hedge funds (Mondrian Alpha Funds) | ||
Where an investment manager has responsibility for managing long only portfolios alongside portfolios that can take short positions there is potential for a conflict of interest to arise between the two types of portfolio. Mondrian acts as investment manager for a Fixed Income Alpha and an Equity Alpha fund. The Alpha Funds are permitted to take short positions and are also permitted to invest in some or all of the same securities that Mondrian manages for other clients. Mondrian is satisfied that the investment styles of these different products significantly reduce the likelihood of a conflict of interest arising. However, Mondrian has a number of policies and procedures in place that are designed to ensure that any potential conflicts are correctly managed and monitored so that all clients are treated fairly. | ||
Soft dollar arrangements | ||
Where an investment manager has soft dollar arrangements in place with a broker/dealer there is a potential conflict of interest as trading volumes through that broker/dealer are usually important in ensuring that soft dollar targets are met. As is typical in the investment management industry, Mondrian client funds are used to pay brokerage commissions for the execution of transactions in the clients portfolio. As part of that execution service, brokers generally provide proprietary research to their clients as to the value of securities, the advisability of investing in, purchasing or selling securities, and the availability of securities or purchasers or sellers of securities; furnishing of analyses and reports concerning issuers, securities or industries; and providing information on economic factors and trends. Proprietary research may be used by Mondrian in connection with its investment decision-making process with respect to one or more accounts managed by it, and it may or may not be used, or used exclusively, with respect to the account generating the brokerage. With the exception of the receipt of proprietary research, Mondrian has no other soft dollar or commission sharing arrangements in place with brokers. | ||
Step-Out Trades | ||
A step-out trade occurs when a brokerage firm executes an order, but gives other firms credit and some of the commission for the trade. Mondrian has no incentive to use step-out trades. | ||
Transactions with affiliated brokers | ||
Mondrian does not currently have any affiliated brokers. | ||
Window dressing | ||
Window dressing is a strategy which can be used by portfolio managers near the end of a reporting period to improve the appearance of portfolio performance before presenting it to clients. To window dress, a portfolio manager may sell securities with large losses and purchase stocks that have done well, near the end of the reporting period. The list of holdings sent to clients will thus include the high performing securities, and exclude the poor performing securities. Window dressing can also be used to invest in securities that do not meet the style of an account, without clients being aware. Mondrian does not permit window dressing or other trading for the purpose of improving the appearance of a clients performance. Mondrians investment procedures require all changes to portfolio holdings to be approved by the relevant Investment Committee. Although portfolio holdings are reported to clients on a monthly basis, Mondrians |
clients assess portfolio returns and relative performance on a longer term basis, in accordance with Mondrians long-term investment approach. | ||
(8) | Davis: Actual or apparent conflicts of interest may arise when a portfolio manager has day-to-day management responsibilities with respect to more than one portfolio or other account. More specifically, portfolio managers who manage multiple portfolios and/or other accounts are presented with the following potential conflicts: | |
The management of multiple portfolios and/or other
accounts may result in a portfolio manager devoting unequal time
and attention to the management of each portfolio and/or other
account. Davis Advisors seeks to manage such competing interests
for the time and attention of portfolio managers by having
portfolio managers focus on a particular investment discipline.
Most other accounts managed by a portfolio manager are managed
using the same investment models that are used in connection
with the management of the portfolios.
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If a portfolio manager identifies a limited
investment opportunity which may be suitable for more than one
portfolio or other account, a portfolio may not be able to take
full advantage of that opportunity due to an allocation of
filled purchase or sale orders across all eligible portfolios
and other accounts. To deal with these situations, Davis
Advisors has adopted procedures for allocating portfolio
transactions across multiple accounts.
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With respect to securities transactions for the
portfolios, Davis Advisors determines which broker to use to
execute each order, consistent with its duty to seek best
execution of the transaction. However, with respect to certain
other accounts (such as mutual funds, other pooled investment
vehicles that are not registered mutual funds, and other
accounts managed for organizations and individuals), Davis
Advisors may be limited by the client with respect to the
selection of brokers or may be instructed to direct trades
through a particular broker. In these cases, Davis Advisors may
place separate, non-simultaneous, transactions for a portfolio
and another account which may temporarily affect the market
price of the security or the execution of the transaction, or
both, to the detriment of the portfolio or the other account.
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Finally, substantial investment of Davis Advisor or
Davis Family assets in certain mutual funds may lead to
conflicts of interest. To mitigate these potential conflicts of
interest, Davis Advisors has adopted policies and procedures
intended to ensure that all clients are treated fairly over
time. Davis Advisors does not receive an incentive based fee on
any account.
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(9) | Donald Smith: Donald Smith & Co., Inc. is very sensitive to conflicts of interest that could possibly arise in its capacity of serving as an investment adviser. It remains committed to resolving any and all conflicts in the best interest of its clients. | |
Donald Smith & Co., Inc. is an independent investment advisor with no parent or subsidiary organizations. Additionally, it has no affiliated organizations, brokerage, nor any investment banking activities. | ||
Clients include mutual funds, public and corporate pension plans, endowments and foundations, and other separate accounts. Donald Smith & Co., Inc. has put in place systems, policies and procedures, which have been designed to maintain fairness in portfolio management across all clients. Potential conflicts between funds or with other types of accounts are managed via allocation policies and procedures, internal review processes, and direct oversight by Donald G. Smith, President. | ||
(10) | Tradewinds: Actual or apparent conflicts of interest may arise when a portfolio manager has day-to-day management responsibilities with respect to more than one account. More specifically, portfolio managers who manage multiple accounts are presented with the following potential conflicts, which is not intended to be an exhaustive list: | |
The management of multiple accounts may result in a
portfolio manager devoting unequal time and attention to the
management of each account. Tradewinds seeks to manage such
competing interests for the time and attention of portfolio
managers by having portfolio managers focus on a particular
investment discipline. Most accounts managed by a portfolio
manager in a particular investment strategy are managed using
the same investment models.
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If a portfolio manager identifies a limited
investment opportunity which may be suitable for more than one
account, an account may not be able to take full advantage of
that opportunity due to an allocation of filled purchase or sale
orders across all eligible accounts. To deal with these
situations, Tradewinds has adopted procedures for fairly
allocating limited opportunities across multiple accounts.
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With respect to many of its clients accounts,
Tradewinds determines which broker to use to execute transaction
orders, consistent with its duty to seek best execution of the
transaction. However, with respect to certain other accounts,
Tradewinds may be limited by the client with respect to the
selection of brokers or may be instructed to direct trades
through a particular broker. In these cases, Tradewinds may
place separate, non-simultaneous, transactions for a Fund and
other accounts which may temporarily affect the market price of
the security or the execution of the transaction, or both, to
the detriment of the Fund or the other accounts.
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Some clients are subject to different regulations.
As a consequence of this difference in regulatory requirements,
some clients may not be permitted to engage in all the
investment techniques or transactions or to engage in these
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transactions to the same extent as the other accounts managed by the portfolio manager. Finally, the appearance of a conflict of interest may arise where Tradewinds has an incentive, such as a performance-based management fee, which relates to the management of some accounts, with respect to which a portfolio manager has day-to-day management responsibilities. | ||
Tradewinds has adopted certain compliance procedures which are designed to address these types of conflicts common among investment managers. However, there is no guarantee that such procedures will detect each and every situation in which a conflict arises. | ||
(11) | BHMS: Actual or potential conflicts of interest may arise when a portfolio manager has management responsibilities to more than one account (including the Fund). BHMS manages potential conflicts between funds or with other types of accounts through allocation policies and procedures, internal review processes and oversight by directors and independent third parties to ensure that no client, regardless of type or fee structure, is intentionally favored at the expense of another. Allocation policies are designed to address potential conflicts in situations where two or more funds or accounts participate in investment decisions involving the same securities. | |
(12) | MetWest: MetWest Capitals portfolio managers generally face two types of conflicts of interest: (1) conflicts between and among the interests of the various accounts they manage, and (2) conflicts between the interests of the accounts they manage and their own personal interests. The policies of MetWest Capital require that portfolio managers treat all accounts they manage equitably and fairly in the face of such real or potential conflicts, The management of multiple funds and other accounts may require the portfolio manager to devote less than all of his or her time to a fund, particularly if the funds and accounts have different objectives, benchmarks and time horizons. The portfolio manager may also be required to allocate his or her investment ideas across multiple funds and accounts. In addition, if a portfolio manager identifies a limited investment opportunity, such as an IPO that may be suitable for more than one fund or other account, a fund may not be able to take full advantage of that opportunity due to an allocation of that investment across all eligible funds and accounts. Further, security purchase and sale orders for multiple accounts often are aggregated for purpose of execution. Although such aggregation generally benefits clients, it may cause the price or brokerage costs to be less favorable to a particular client than if similar transactions were not being executed concurrently for other accounts. It may also happen that a funds adviser or sub-adviser will determine that it would be in the best interest, and consistent with the investment policies, of another account to sell a security (including by means of a short sale) that a fund holds long, potentially resulting in a decrease in the market value of the security held by the fund. | |
As noted above, portfolio managers may also experience certain conflicts between the interests of the accounts they manage and their own personal interests (which may include interests in advantaging MetWest Capital). The structure of a portfolio managers or an investment advisors compensation may create an incentive for the manager or advisor to favor accounts whose performance has a greater impact on such compensation. The portfolio manager may, for example, have an incentive to allocate favorable or limited opportunity investments or structure the timing of investments to favor such accounts. Similarly, if a portfolio manager holds a larger personal investment in one fund than he or she does in another, the portfolio manager may have an incentive to favor the fund in which he or she holds a larger stake. In general, MetWest Capital has policies and procedures to address the various potential conflicts of interest described above. It has policies and procedures designed to ensure that portfolio managers have sufficient time and resources to devote to the various accounts they manage. Similarly, it has policies and procedures designed to ensure that investments and investment opportunities are allocated fairly across accounts, and that the interests of client accounts are placed ahead of a portfolio managers personal interests. However, there is no guarantee that such procedures will detect or address each and every situation where a conflict arises. | ||
(13) | Threadneedle: Threadneedle Investments portfolio managers may manage one or more mutual funds as well as other types of accounts, including proprietary accounts, separate accounts for institutions, and other pooled investment vehicles. Portfolio managers make investment decisions for an account or portfolio based on its investment objectives and policies, and other relevant investment considerations. A portfolio manager may manage a separate account or other pooled investment vehicle whose fees may be materially greater than the management fees paid by the Fund and may include a performance-based fee. Management of multiple funds and accounts may create potential conflicts of interest relating to the allocation of investment opportunities, and the aggregation and allocation of trades. In addition, the portfolio managers responsibilities at Threadneedle Investments include working as a securities analyst. This dual role may give rise to conflicts with respect to making investment decisions for accounts that he/she manages versus communicating his/her analyses to other portfolio managers concerning securities that he/she follows as an analyst. | |
Threadneedle Investments has a fiduciary responsibility to all of the clients for which it manages accounts. Threadneedle Investments seeks to provide best execution of all securities transactions and to aggregate securities transactions and then allocate securities to client accounts in a fair and timely manner. Threadneedle Investments has developed policies and procedures, including brokerage and trade allocation policies and procedures, designed to |
mitigate and manage the potential conflicts of interest that may arise from the management of multiple types of accounts for multiple clients. | ||
(14) | Columbia WAM: Like other investment professionals with multiple clients, a Funds portfolio manager(s) may face certain potential conflicts of interest in connection with managing both the Fund and other accounts at the same time. The Advisor (Columbia Wanger Asset Management) and the Funds have adopted compliance policies and procedures that attempt to address certain of the potential conflicts that portfolio managers face in this regard. Certain of these conflicts of interest are summarized below. | |
The management of accounts with different advisory fee rates and/or fee structures, including accounts that pay advisory fees based on account performance (performance fee accounts), if any, may raise potential conflicts of interest for a portfolio manager by creating an incentive to favor higher fee accounts. | ||
Potential conflicts of interest also may arise when a portfolio manager has personal investments in other accounts that may create an incentive to favor those accounts. As a general matter and subject to the Advisors Code of Ethics and certain limited exceptions, the Advisors investment professionals do not have the opportunity to invest in client accounts, other than the Funds. | ||
A portfolio manager who is responsible for managing multiple funds and/or accounts may devote unequal time and attention to the management of those funds and/or accounts. The effects of this potential conflict may be more pronounced where funds and/or accounts managed by a particular portfolio manager have different investment strategies. | ||
A portfolio manager may be able to select or influence the selection of the broker/dealers that are used to execute securities transactions for the Funds. A portfolio managers decision as to the selection of broker/dealers could produce disproportionate costs and benefits among the Funds and the other accounts the portfolio manager manages. | ||
A potential conflict of interest may arise when a portfolio manager buys or sells the same securities for a Fund and other accounts. On occasions when a portfolio manager considers the purchase or sale of a security to be in the best interests of a Fund as well as other accounts, the Advisors trading desk may, to the extent consistent with applicable laws and regulations, aggregate the securities to be sold or bought in order to obtain the best execution and lower brokerage commissions, if any. Aggregation of trades may create the potential for unfairness to a Fund or another account if a portfolio manager favors one account over another in allocating the securities bought or sold. | ||
Cross trades, in which a portfolio manager sells a particular security held by a Fund to another account (potentially saving transaction costs for both accounts), could involve a potential conflict of interest if, for example, a portfolio manager is permitted to sell a security from one account to another account at a higher price than an independent third party would pay. The Advisor and the Funds have adopted compliance procedures that provide that any transactions between the Fund and another account managed by the Advisor are to be made at an independent current market price, consistent with applicable laws and regulation. | ||
Another potential conflict of interest may arise based on the different investment objectives and strategies of a Fund and other accounts managed by its portfolio manager(s). Depending on another accounts objectives and other factors, a portfolio manager may give advice to and make decisions for a Fund that may differ from advice given, or the timing or nature of decisions made, with respect to another account. A portfolio managers investment decisions are the product of many factors in addition to basic suitability for the particular account involved. Thus, a portfolio manager may buy or sell a particular security for certain accounts, and not for a Fund, even though it could have been bought or sold for the Fund at the same time. A portfolio manager also may buy a particular security for one or more accounts when one or more other accounts are selling the security (including short sales). There may be circumstances when a portfolio managers purchases or sales of portfolio securities for one or more accounts may have an adverse effect on other accounts, including the Funds. | ||
A Funds portfolio manager(s) also may have other potential conflicts of interest in managing the Fund, and the description above is not a complete description of every conflict that could be deemed to exist in managing both the Fund and other accounts. Many of the potential conflicts of interest to which the Advisors portfolio managers are subject are essentially the same as or similar to the potential conflicts of interest related to the investment management activities of the Advisor and its affiliates. | ||
(15) | AllianceBernstein: As an investment adviser and fiduciary, AllianceBernstein owes its clients and shareholders an undivided duty of loyalty. We recognize that conflicts of interest are inherent in our business and accordingly have developed policies and procedures (including oversight monitoring) reasonably designed to detect, manage and mitigate the effects of actual or potential conflicts of interest in the area of employee personal trading, managing multiple accounts for multiple clients, including AllianceBernstein Mutual Funds, and allocating investment opportunities. |
Investment professionals, including portfolio managers and research analysts, are subject to the above-mentioned policies and oversight monitoring to ensure that all clients are treated equitably. We place the interests of our clients first and expect all of our employees to meet their fiduciary duties. | ||
Employee Personal Trading | ||
AllianceBernstein has adopted a Code of Business Conduct and Ethics that is designed to detect and prevent conflicts of interest when investment professionals and other personnel of AllianceBernstein own, buy or sell securities which may be owned by, or bought or sold for, clients. Personal securities transactions by an employee may raise a potential conflict of interest when an employee owns or trades in a security that is owned or considered for purchase or sale by a client, or recommended for purchase or sale by an employee to a client. Subject to the reporting requirements and other limitations of its Code of Business Conduct and Ethics, AllianceBernstein permits its employees to engage in personal securities transactions. AllianceBernsteins Code of Ethics and Business Conduct requires disclosure of all personal accounts and maintenance of brokerage accounts with designated broker-dealers approved by AllianceBernstein. The Code also requires preclearance of all securities transactions and imposes a 90 day holding period for securities purchased by employees to discourage short-term trading. | ||
Managing Multiple Accounts for Multiple Clients | ||
AllianceBernstein has compliance policies and oversight monitoring in place to address conflicts of interest relating to the management of multiple accounts for multiple clients. Conflicts of interest may arise when an investment professional has responsibilities for the investments of more than one account because the investment professional may be unable to devote equal time and attention to each account. The investment professional or investment professional teams for each client may have responsibilities for managing all or a portion of the investments of multiple accounts with a common investment strategy, including other registered investment companies, unregistered investment vehicles, such as hedge funds, pension plans, separate accounts, collective trusts and charitable foundations. Among other things, AllianceBernsteins policies and procedures provide for the prompt dissemination to investment professionals of initial or changed investment recommendations by analysts so that investment professionals are better able to develop investment strategies for all accounts they manage. In addition, investment decisions by investment professionals are reviewed for the purpose of maintaining uniformity among similar accounts and ensuring that accounts are treated equitably. No investment professional that manages client accounts carrying performance fees is compensated directly or specifically for the performance of those accounts. Investment professional compensation reflects a broad contribution in multiple dimensions to long-term investment success for our clients and is not tied specifically to the performance of any particular clients account, nor is it directly tied to the level or change in the level of assets under management. | ||
Allocating Investment Opportunities | ||
AllianceBernstein has policies and procedures intended to address conflicts of interest relating to the allocation of investment opportunities. These policies and procedures are designed to ensure that information relevant to investment decisions is disseminated promptly within its portfolio management teams and investment opportunities are allocated equitably among different clients. The investment professionals at AllianceBernstein routinely are required to select and allocate investment opportunities among accounts. Portfolio holdings, position sizes, and industry and sector exposures tend to be similar across similar accounts, which minimizes the potential for conflicts of interest relating to the allocation of investment opportunities. Nevertheless, investment opportunities may be allocated differently among accounts due to the particular characteristics of an account, such as size of the account, cash position, tax status, risk tolerance and investment restrictions or for other reasons. | ||
AllianceBernsteins procedures are also designed to prevent potential conflicts of interest that may arise when AllianceBernstein has a particular financial incentive, such as a performance-based management fee, relating to an account. An investment professional may perceive that he or she has an incentive to devote more time to developing and analyzing investment strategies and opportunities or allocating securities preferentially to accounts for which AllianceBernstein could share in investment gains. | ||
To address these conflicts of interest, AllianceBernsteins policies and procedures require, among other things, the prompt dissemination to investment professionals of any initial or changed investment recommendations by analysts; the aggregation of orders to facilitate best execution for all accounts; price averaging for all aggregated orders; objective allocation for limited investment opportunities (e.g., on a rotational basis) to ensure fair and equitable allocation among accounts; and limitations on short sales of securities. These procedures also require documentation and review of justifications for any decisions to make investments only for select accounts or in a manner disproportionate to the size of the account. | ||
(16) | LaSalle: Since the Investment Team manages other accounts in addition to the Funds, conflicts of interest may arise in connection with the Investment Teams management of a Funds investments on the one hand and the investments of such other accounts on the other hand. Conflicts may arise related to: (1) aggregation and allocation of securities |
transactions (including initial public offerings), (2) the timing of purchases and sales of the same security for different accounts and (3) different advice for different accounts, primarily driven by the accounts investment objectives. LaSalle Securities US and LaSalle Securities B.V. believe that conflicts are largely mitigated by their respective Code of Ethics, which prohibits ownership by the Investment Team Members (except through a mutual fund) of securities of the type the Funds invest in, and various policies and procedures it has adopted, including the master trading schedule it maintains to proportionately allocate purchases and sales to each account by tracking the target weight for each holding and establishing the required shares to reach those targets. |
(17) | Marsico Capital: As a general matter, Marsico Capital faces the same need to balance the interests of different clients that any investment adviser with multiple clients might experience. Portfolio managers make investment decisions for each portfolio based on the investment objectives, policies, practices and other relevant investment considerations that the managers believe are applicable to that portfolio. Consequently, portfolio managers may purchase (or sell) securities for one portfolio and not another portfolio, or may take similar actions for different portfolios at different times. As a result, the mix of securities purchased in one portfolio may perform better than the mix of securities purchased for another portfolio. Similarly, the sale of securities from one portfolio may cause that portfolio to perform better than others if the value of those securities subsequently declines. The management of multiple accounts may result in a portfolio manager devoting unequal time and attention to the management of each account. Although Marsico Capital does not track the time a portfolio manager spends on a single portfolio, it does assess whether a portfolio manager has adequate time and resources to effectively manage all of the accounts for which he is responsible. Marsico Capital seeks to manage competing interests for the time and attention of portfolio managers. |
The need to balance the interests of multiple clients may also arise when allocating and/or aggregating trades. Marsico Capital often aggregates into a single trade order several individual contemporaneous client trade orders in a single security. Under Marsico Capitals Portfolio Management and Trade Management Policy and Procedures, when trades are aggregated on behalf of more than one account, Marsico Capital seeks to allocate such trades to participating client accounts in a fair and equitable manner. With respect to Initial Public Offerings (IPOs) and other syndicated or limited offerings, it is Marsico Capitals policy to seek to ensure that over the long term, accounts with the same or similar investment objectives or strategies will receive an equitable opportunity to participate meaningfully and will not be unfairly disadvantaged. To deal with these situations, Marsico Capital has adopted policies and procedures for allocating transactions across multiple accounts. Marsico Capitals policies also seek to ensure that portfolio managers do not systematically allocate other types of trades in a manner that would be more beneficial to one account than another. Marsico Capitals compliance department monitors transactions made on behalf of multiple clients to seek to ensure adherence to its policies. |
Marsico Capital has adopted and implemented policies and procedures that seek to minimize potential conflicts of interest that may arise as a result of a portfolio manager advising multiple accounts. In addition, Marsico Capital monitors a variety of areas, including compliance with primary Fund guidelines, the allocation of securities, and compliance with its Code of Ethics. |
(18) | Columbia Management: Portfolio managers received all of their compensation in the form of salary, bonus, stock options, restricted stock, and notional investments through an incentive plan, the value of which is measured by reference to the performance of the funds in which the account is invested. A portfolio managers bonus is variable and generally is based on (1) an evaluation of the portfolio managers investment performance and (2) the results of a peer and/or management review of the portfolio manager, which takes into account skills and attributes such as team participation, investment process, communication and professionalism. In evaluating investment performance, the investment manager generally considers the one, three and five year performance of mutual funds and other accounts managed by the portfolio manager relative to applicable benchmarks and peer groups, emphasizing the portfolio managers three and five year performance. The investment manager also may consider a portfolio managers performance in managing client assets in sectors and industries assigned to the portfolio manager as part of his/her investment team responsibilities, where applicable. For portfolio managers who also have group management responsibilities, another factor in their evaluation is an assessment of the groups overall investment performance. |
The size of the overall bonus pool each year depends on, among other factors, the levels of compensation generally in the investment management industry (based on market compensation data) and the investment managers profitability for the year, which is largely determined by assets under management. |
Exceptions to this general compensation approach exist for certain teams and individuals. |
(19) | Columbia Management: The compensation of specified Portfolio Builder portfolio managers consists of (i) a base salary, (ii) an annual cash bonus, and (iii) equity incentive awards in the form of stock options and/or restricted stock. The annual cash bonus is based on managements assessment of the employees performance relative to individual and |
business unit goals and objectives which, for portfolio manager Moore, may be based, in part, on achieving certain investment performance goals and retaining and attracting assets under management, and for portfolio manager Bergene, on developing competitive products, managing existing products, and selecting and monitoring subadvisers for Columbia funds. In addition, subject to certain vesting requirements, the compensation of portfolio manager Moore includes an annual award based on the performance of Ameriprise Financial over rolling three-year periods. |
(20) | Columbia Management: Specified Portfolio Builder portfolio managers received all of their compensation in the form of salary, bonus, stock options, restricted stock, and notional investments through an incentive plan, the value of which is measured by reference to the performance of the funds in which the account is invested. A portfolio managers bonus is variable and generally is based on (1) an evaluation of the portfolio managers investment performance and (2) the results of a peer and/or management review of the portfolio manager, which takes into account skills and attributes such as team participation, investment process, communication and professionalism. In evaluating investment performance, the investment manager generally considers the one, three and five year performance of mutual funds and other accounts managed by the portfolio manager relative to applicable benchmarks and peer groups, emphasizing the portfolio managers three and five year performance. The investment manager also may consider a portfolio managers performance in managing client assets in sectors and industries assigned to the portfolio manager as part of his/her investment team responsibilities, where applicable. For portfolio managers who also have group management responsibilities, another factor in their evaluation is an assessment of the groups overall investment performance. |
The size of the overall bonus pool each year depends on, among other factors, the levels of compensation generally in the investment management industry (based on market compensation data) and the investment managers profitability for the year, which is largely determined by assets under management. |
Exceptions to this general compensation approach exist for certain teams and individuals. |
(21) | Turner: Turners investment professionals receive a base salary commensurate with their level of experience. Turners goal is to maintain competitive base salaries through review of industry standards, market conditions, and salary surveys. Bonus compensation, which is a multiple of base salary, is based on the performance of each individuals sector and portfolio assignments relative to appropriate market benchmarks. In addition, each employee is eligible for equity awards. Turner believes this compensation provides incentive to attract and retain highly qualified people. |
The objective performance criteria noted above accounts for 90% of the bonus calculation. The remaining 10% is based upon subjective, good will factors including teamwork, interpersonal relations, the individuals contribution to overall success of the firm, media and client relations, presentation skills, and professional development. Portfolio managers/analysts are reviewed on an annual basis. The Chief Investment Officer, Robert E. Turner, CFA, is responsible for setting base salaries, bonus targets, and making all subjective judgments related to an investment professionals compensation. |
(22) | Columbia Management: Portfolio manager compensation is typically comprised of (i) a base salary, (ii) an annual cash bonus, and (iii) an equity incentive award in the form of stock options and/or restricted stock. The annual cash bonus and equity incentive awards are paid from a team bonus pool that is based on the performance of the accounts managed by the portfolio management team, which might include mutual funds, wrap accounts, institutional portfolios and hedge funds. The bonus pool is determined by a percentage of the aggregate assets under management in the accounts managed by the portfolio managers, including the fund, plus, where applicable, a percentage of the assets of the funds they support as research analysts, and by the short term (typically one-year) and long-term (typically three-year) performance of those accounts in relation to the relevant peer group universe. Funding for the bonus pool may also include a percentage of any performance fees earned on long/short mutual funds managed by the Team. Senior management of The investment manager has the discretion to increase or decrease the size of the part of the bonus pool and to determine the exact amount of each portfolio managers bonus paid from this portion of the bonus pool based on his/her performance as an employee. Portfolio managers are provided with a benefits package, including life insurance, health insurance, and participation in a company 401(k) plan, comparable to that received by other employees of the investment manager. Certain investment personnel are also eligible to defer a portion of their compensation. An individual making this type of election can allocate the deferral to the returns associated with one or more products they manage or support or to certain other products managed by their investment team. Depending upon their job level, portfolio managers may also be eligible for other benefits or perquisites that are available to all employees of the investment manager at the same job level. |
(23) | American Century: The compensation of American Centurys portfolio managers is structured to align the interests of portfolio managers with those of the shareholders whose assets they manage. For the fiscal year ended May 31, 2009, it included the components described below, each of which is determined with reference to a number of factors, such as overall performance, market competition, and internal equity. Compensation is not directly tied to the value of assets held in client portfolios. |
Base Salary | ||
Portfolio managers receive base pay in the form of a fixed annual salary. | ||
Bonus | ||
A significant portion of portfolio manager compensation takes the form of an annual incentive bonus tied to performance. Bonus payments are determined by a combination of factors. One factor is fund investment performance. For most American Century mutual funds, investment performance is measured by a combination of one- and three- year pre-tax performance relative to various benchmarks and/or internally-customized peer groups. The performance comparison periods may be adjusted based on a funds inception date or a portfolio managers tenure on the fund. Custom peer groups are constructed using all the funds in appropriate Lipper or Morningstar categories as a starting point. Funds are then eliminated from the peer group that is both more stable over the long-term (i.e., has less peer turnover) and that more closely represents the funds true peers based on internal investment mandates. In 2008, American Century Investments began placing increased emphasis on long-term performance and is phasing in five year performance periods. | ||
Portfolio managers may have responsibility for multiple American Century mutual funds. In such cases, the performance of each is assigned a percentage weight appropriate for the portfolio managers relative levels of responsibility. | ||
Portfolio managers also may have responsibility for portfolios that are managed in a fashion similar to that of other American Century mutual funds. This is the case for the Partners Small Cap Equity and Partners Aggressive Growth Funds. If the performance of a similarly managed account is considered for purposes of compensation, it is either measured in the same way as a comparable American Century mutual fund (i.e., relative to the performance of a benchmark and/or peer group) or relative to the performance of such mutual fund. Performance of Partners Small Cap Equity Fund is measured relative to the performance of a comparable American Century mutual fund. Performance of Partners Aggressive Growth Fund is not separately considered in determining portfolio manager compensation. | ||
A second factor in the bonus calculation relates to the performance of all American Century funds managed according to a particular investment style, such as U.S. growth, U.S. value, international, quantitative or fixed income. Performance is measured for each product individually as described above and then combined to create an overall composite for the product group. These composites may measure one-year performance (equal weighted) or a combination of one- and three-year performance (asset weighted) depending on the portfolio managers responsibilities and products managed. This feature is designed to encourage effective teamwork among portfolio management teams in achieving long-term investment success for similarly styled portfolios. | ||
A portion of some portfolio managers bonuses may be tied to individual performance goals, such as research projects and the development of new products. | ||
Restricted Stock Plans | ||
Portfolio managers are eligible for grants of restricted stock of ACC. These grants are discretionary, and eligibility and availability can vary from year to year. The size of an individuals grant is determined by individual and product performance as well as other product-specific considerations. Grants can appreciate/depreciate in value based on the performance of the ACC stock during the restriction period (generally three to four years). | ||
Deferred Compensation Plans | ||
Portfolio managers are eligible for grants of deferred compensation. These grants are used in very limited situations, primarily for retention purposes. Grants are fixed and can appreciate/depreciate in value based on the performance of the American Century mutual funds in which the portfolio manager chooses to invest them. | ||
(24) | Davis: Kenneth Feinbergs compensation as a Davis Advisors employee consists of (i) a base salary, (ii) an annual bonus equal to a percentage of growth in Davis Advisors profits, (iii) awards of equity (Units) in Davis Advisors including Units, options on Units, and/or phantom Units, and (iv) an incentive plan whereby Davis Advisors purchases shares in selected funds managed by Davis Advisors. At the end of specified periods, generally five years following the date of purchase, some, all, or none of the fund shares will be registered in the employees name based on fund performance after expenses on a pre-tax basis versus the S&P 500 Index and versus peer groups as defined by Morningstar or Lipper. Davis Advisors portfolio managers are provided benefits packages including life insurance, health insurance, and participation in company 401(k) plan comparable to that received by other company employees. | |
Christopher Daviss annual compensation as an employee of Davis Advisors consists of a base salary. Davis Advisors portfolio managers are provided benefits packages including life insurance, health insurance, and participation in company 401(k) plan comparable to that received by other company employees. | ||
(25) | Donald Smith: All employees at Donald Smith & Co., Inc. are compensated on incentive plans. The compensation for portfolio managers, analysts and traders at Donald Smith consists of a base salary, a partnership interest in the firms profits, and possibly an additional, discretionary bonus. This discretionary bonus can exceed 100% of the base salary if |
performance for clients exceeds established benchmarks. The current benchmark utilized is the Russell 2000 Value Index. Additional distribution of firm ownership is a strong motivation for continued employment at Donald Smith & Co., Inc. Administrative personnel are also given a bonus as a function of their contribution and the profitability of the firm. | ||
(26) | BHMS: In addition to base salary, all portfolio managers and analysts at BHMS share in a bonus pool that is distributed semi-annually. Analysts and portfolio managers are rated on their value added to the team-oriented investment process. Overall compensation applies with respect to all accounts managed and compensation does not differ with respect to distinct accounts managed by a portfolio manager. Compensation is not tied to a published or private benchmark. It is important to understand that contributions to the overall investment process may include not recommending securities in an analysts sector if there are no compelling opportunities in the industries covered by that analyst. | |
The compensation of portfolio managers is not directly tied to fund performance or growth in assets for any fund or other account managed by a portfolio manager and portfolio managers are not compensated for bringing in new business. Of course, growth in assets from the appreciation of existing assets and/or growth in new assets will increase revenues and profit. The consistent, long-term growth in assets at any investment firm is to a great extent, dependent upon the success of the portfolio management team. The compensation of the portfolio management team at the Adviser will increase over time, if and when assets continue to grow through competitive performance. | ||
(27) | MetWest: MetWest Capitals compensation system is designed not only to attract and retain experienced, highly qualified investment personnel, but also to closely align employees interests with clients interests. Compensation for investment professionals consists of a base salary, bonus, and generous benefits. Benefits include a comprehensive insurance benefits program (medical, vision and dental), 401(k) plan with an employer-matched contribution. A material portion of each such professionals annual compensation is in the form of a bonus tied to results relative to clients benchmarks and overall client satisfaction. Bonuses may range from 20% to over 100% of salary. | |
MetWest Capitals compensation system is not determined on an account-specific basis. Rather, bonuses are tied to overall firm profitability and composite performance relative to the benchmark. The primary benchmark for the Small Cap Intrinsic Value strategy is the Russell 2000 Value Index. To reinforce long-term focus, performance is measured over MetWest Capitals investment horizon (typically two to four years). Analysts are encouraged to maintain a long-term focus and are not compensated for the number of their recommendations that are purchased in the portfolio. Rather, their bonuses are tied to overall strategy performance. | ||
Mr. Lisenbee is an owner of MetWest Capital. As such, his compensation consists of a fixed salary and participation in the firms profits. |
(28) | Columbia Management: Portfolio manager compensation is typically comprised of (i) a base salary, (ii) an annual cash bonus and may include (iii) an equity incentive award in the form of stock options and/or restricted stock. The annual cash bonus is paid from a team bonus pool that is based on the performance of the accounts managed by the portfolio management team, which might include mutual funds, wrap accounts, institutional portfolios and hedge funds. Funding for the bonus pool is based upon a percentage of profits generated by the institutional portfolios they manage. Lynn Hopton and Yvonne Stevens may also be paid from a bonus pool based upon the performance of the mutual fund(s) they manage. Funding for this bonus pool is determined by a percentage of the aggregate assets under management in the mutual fund(s) they manage, and by the short term (typically one-year) and long-term (typically three-year) performance of the mutual fund(s) in relation to the relevant peer group universe. Senior management of Columbia Management has the discretion to increase or decrease the size of the bonus pool related to mutual funds and to determine the exact amount of each portfolio managers bonus paid from this portion of the bonus pool based on his/her performance as an employee. Senior management of Columbia Management does not have discretion over the size of the bonus pool related to institutional portfolios. Columbia Management portfolio managers are provided with a benefits package, including life insurance, health insurance, and participation in a company 401(k) plan, comparable to that received by other Columbia Management employees. Certain investment personnel are also eligible to defer a portion of their compensation. An individual making this type of election can allocate the deferral to the returns associated with one or more products they manage or support or to certain other products managed by their investment team. Depending upon their job level, Columbia Management portfolio managers may also be eligible for other benefits or perquisites that are available to all Columbia Management employees at the same job level. |
(29) | Columbia Management: Portfolio manager compensation is typically comprised of (i) a base salary, (ii) an annual cash bonus, and may include (iii) an equity incentive award in the form of stock options and/or restricted stock. The annual cash bonus, and in some instances the base salary, are paid from a team bonus pool that is based on the performance of the accounts managed by the portfolio management team, which might include mutual funds, wrap accounts, institutional portfolios and hedge funds. The bonus pool is determined by a percentage of the management fees on the accounts managed by the portfolio managers, including the fund. The percentage of management fees that fund the bonus pool is based on the short term (typically one-year) and long-term (typically three-year and five-year) performance of those accounts in relation to the relevant peer group universe. Funding for the bonus pool may also include a percentage of any performance fees earned on long/short mutual funds managed by the Team. With respect to hedge funds and separately managed accounts that follow a hedge fund mandate, funding for the bonus pool is a percentage of performance fees earned on the hedge funds or accounts managed by the portfolio managers. Columbia |
Management portfolio managers are provided with a benefits package, including life insurance, health insurance, and participation in a company 401(k) plan, comparable to that received by other Columbia Management employees. Depending upon their job level, Columbia Management portfolio managers may also be eligible for other benefits or perquisites that are available to all Columbia Management employees at the same job level. |
(30) | Columbia WAM: For services performed through Dec. 31, 2009 and paid in Feb. 2010, the portfolio managers received all of their compensation from the Advisor and its then parent company, Columbia Management Group, LLC. P. Zachary Egan and Louis J. Mendes each received compensation in the form of salary and incentive compensation. For the 2009 calendar year, all of a managers incentive compensation was paid in cash. The Columbia WAM total incentive compensation pool was based on formulas, with investment performance of individual portfolio managers plus firm-wide investment performance, as primary drivers. | |
For services performed for the 2010 calendar year and generally paid in early 2011, the portfolio managers will receive all of their compensation in the form of salary and incentive compensation provided in whole by Ameriprise Financial. Typically, a high proportion of a portfolio managers incentive compensation will be paid in cash with a smaller proportion going into two separate incentive plans. The first plan is a notional investment based on the performance of certain Columbia Funds, including the Columbia Acorn Funds. The second plan consists of Ameriprise Financial restricted stock and/or options. Both plans vest over three years from the date of issuance. Also, as part of the overall incentive for 2010, the portfolio managers receive additional compensation a substantial portion of which will be deferred or paid in shares of funds managed by Columbia WAM based on performance and continued employment through Dec. 15, 2010. | ||
Portfolio managers are positioned in a number of compensation tiers based on cumulative performance of the portfolios/stocks that they manage. Portfolio manager performance is measured versus primary portfolio benchmarks. One and three year performance periods primarily drive incentive levels. Incentive compensation varies by tier and can range from between a fraction of base pay to a multiple of base pay, the objective being to provide very competitive total compensation for high performing portfolio managers. Incentives are adjusted up or down up to 15% based on qualitative performance factors, which include investment performance impacts not included in benchmarks such as industry (or country) weighting recommendations, plus adherence to compliance standards, business building, and citizenship. | ||
In addition, the incentive amounts available for the entire pool for 2011 and 2012 will be adjusted up or down based upon the increase/decrease in Columbia WAM revenues versus an agreed upon based revenue amount. Investment performance, however, impact incentives for more than revenues. Columbia WAM determines incentive compensation, subject to review by Ameriprise Financial. |
(31) | Columbia Management: As of the funds most recent fiscal year end, the portfolio managers received all of their compensation in the form of salary, bonus, stock options, restricted stock, and notional investments through an incentive plan, the value of which is measured by reference to the performance of the funds in which the account is invested. A portfolio managers bonus is variable and generally is based on (1) an evaluation of the portfolio managers investment performance and (2) the results of a peer and/or management review of the portfolio manager, which takes into account skills and attributes such as team participation, investment process, communication and professionalism. In evaluating investment performance, the investment manager generally considers the one, three and five year performance of mutual funds and other accounts managed by the portfolio manager relative to the benchmarks and peer groups noted below, emphasizing the portfolio managers three and five year performance. The investment manager also may consider a portfolio managers performance in managing client assets in sectors and industries assigned to the portfolio manager as part of his/her investment team responsibilities, where applicable. For portfolio managers who also have group management responsibilities, another factor in their evaluation is an assessment of the groups overall investment performance. |
Portfolio
Manager
|
Fund(s) | Benchmark(s) | Peer Group | |||
Alfred F. Alley III
|
RiverSource Disciplined Small and Mid Cap Equity | Russell 2500 Index | Lipper Mid-Cap Core Funds Classification | |||
RiverSource Disciplined Small Cap Value | Russell 200 Value Index | Lipper Small Cap Value Funds Classification | ||||
RiverSource S&P 500 Index | S&P 500 Index | Lipper S&P 500 Index Objective Funds Classification | ||||
RiverSource Small Company Index | S&P Small Cap 600 Index | Lipper Small-Cap Core Funds Classification | ||||
Anwiti Bahuguna, Colin Moore, Kent Peterson and Marie M. Schofield |
Columbia Portfolio Builder Aggressive, Columbia Portfolio Builder Moderate Aggressive and Columbia Portfolio Builder Total Equity | S&P 500 Index | Lipper Large Cap Core Funds Classification | |||
Columbia Portfolio Builder Conservative | Barclays Capital U.S. Aggregate 1-3 Years Index and Blended: 80% Barclays Capital U.S. Aggregate 1-3 Years Index, 20% Barclays Capital U.S. Corporate High-Yield Bond Index | Lipper Mixed-Asset Target Allocation Conservative Funds Classification | ||||
Columbia Portfolio Builder Moderate Conservative | S&P 500 Index and Barclays Capital U.S. Aggregate Bond Index | Lipper Mixed-Asset Target Allocation Conservative Funds Classification | ||||
Columbia Portfolio Builder Moderate | S&P 500 Index and Barclays Capital U.S. Aggregate Bond Index | Lipper Mixed-Asset Target Allocation Growth Funds Classification | ||||
Columbia Retirement Plus Funds | S&P 500 Index, Russell 1000 Index, Russell 1000 Value Index, Barclays Capital U.S. Aggregate Bond Index, MSCI The World Index Net, and MSCI EAFE Index Net | N/A | ||||
Columbia Strategic Allocation | S&P 500 Index and Barclays Capital Aggregate Bond Index | Lipper Mixed Asset Target Allocation Moderate Funds Classification | ||||
Brian M. Condon
|
Columbia Large Core Quantitative | S&P 500 Index | Lipper S&P 500 Index Objective Funds Classification | |||
Columbia Large Growth Quantitative | Russell 1000 Growth Index | Lipper Large Cap Growth Funds Classification | ||||
Columbia Disciplined Large Value Quantitative | Russell 1000 Value Index | Lipper Large Cap Value Funds Classification | ||||
RiverSource Disciplined Small and Mid Cap Equity | Russell 2500 Index | Lipper Mid Cap Core Funds Classification | ||||
RiverSource Disciplined Small Cap Value | Russell 2000 Value Index | Lipper Small Cap Value Funds Classification | ||||
Fred Copper
|
RiverSource Disciplined International Equity | MSCI EAFE Value Index | Lipper International Multi-Cap Value Funds Classification | |||
Wayne M. Collette, Lawrence W. Lin, George Myers and Brian D. Neigut |
Seligman Capital | Russell MidCap TR and Russell MidCap Growth TR | Lipper Mid-Cap Growth Funds Classification | |||
Columbia Frontier | Russell 2000 TR and Russell 2000 Growth TR | Lipper Small Cap Growth Funds Classification |
Portfolio
Manager
|
Fund(s) | Benchmark(s) | Peer Group | |||
Peter Deininger and John Wilson |
Seligman Growth | Russell 1000 Growth Index | Lipper Large-Cap Growth Funds Classification | |||
Michael E. Hoover
|
RiverSource Precious Metals and Mining | S&P North American Natural Resources Sector Index | Lipper Natural Resources Funds Classification | |||
Arthur J. Hurley
|
RiverSource Real Estate | FTSE NAREIT Equity REITs Index | Lipper Real Estate Funds Classification |
(1) A
custom composite, established by the Advisor, consisting of a
35% weighting of the Barclays Capital U.S. Aggregate Bond Index,
a 35% weighting of the JPMorgan Global High Yield Index, a 15%
weighting of the Citigroup
Non-U.S.
World Government Bond Index Unhedged and a 15%
weighting of the JPMorgan EMBI Global Diversified Index.
|
The size of the overall bonus pool each year depends on, among other factors, the levels of compensation generally in the investment management industry (based on market compensation data) and the investment managers profitability for the year, which is largely determined by assets under management. | ||
(32) | AllianceBernstein: AllianceBernsteins compensation program for investment professionals is designed to be competitive and effective in order to attract and retain the highest caliber employees. The compensation program for investment professionals is designed to reflect their ability to generate long-term investment success for our clients. Investment professionals do not receive any direct compensation based upon the investment returns of any individual client account, nor is compensation tied directly to the level or change in the level of assets under management. Investment professionals annual compensation is comprised of the following: |
(i) | Fixed base salary: This is generally the smallest portion of compensation. The base salary is a relatively low, fixed salary within a similar range for all investment professionals. The base salary does not change significantly from year-to-year, and hence, is not particularly sensitive to performance. |
(ii) | Discretionary incentive compensation in the form of an annual cash bonus: AllianceBernsteins overall profitability determines the total amount of incentive compensation available to investment professionals. This portion of compensation is determined subjectively based on qualitative and quantitative factors. In evaluating this component of an investment professionals compensation, AllianceBernstein considers the contribution to his/her team or discipline as it relates to that teams overall contribution to the long-term investment success, business results and strategy of AllianceBernstein. Quantitative factors considered include, among other things, relative investment performance (e.g., by comparison to competitor or peer group funds or similar styles of investments, and appropriate, broad-based or specific market indices), and consistency of performance. There are no specific formulas used to determine this part of an investment professionals compensation and the compensation is not tied to any pre-determined or specified level of performance. AllianceBernstein also considers qualitative factors such as the complexity and risk of investment strategies involved in the style or type of assets managed by the investment professional; success of marketing/business development efforts and client servicing; seniority/length of service with the firm; management and supervisory responsibilities; and fulfillment of AllianceBernsteins leadership criteria. |
(iii) | Discretionary incentive compensation in the form of awards under AllianceBernsteins Incentive Compensation Award Plan (deferred awards): AllianceBernsteins overall profitability determines the total amount of deferred awards available to investment professionals. The deferred awards are allocated among investment professionals based on criteria similar to those used to determine the annual cash bonus. Deferred awards, which are in the form of AllianceBernsteins publicly traded units, vest over a four-year period and are generally forfeited if the employee resigns or AllianceBernstein terminates his/her employment. |
(iv) | Contributions under AllianceBernsteins Profit Sharing/401(k) Plan: The contributions are based on AllianceBernsteins overall profitability. The amount and allocation of the contributions are determined at the sole discretion of AllianceBernstein. |
(33) | Mondrian: Mondrian has the following programs in place to retain key investment staff: | |
1. Competitive Salary All investment
professionals are remunerated with a competitive base salary.
|
||
2. Profit Sharing Bonus Pool All Mondrian
staff, including portfolio managers and senior officers, qualify
for participation in an annual profit sharing pool determined by
the companys profitability (approximately 30% of profits).
|
||
3. Equity Ownership Mondrian is ultimately
controlled by a partnership of senior management and
Hellman & Friedman LLC, an independent private equity
firm. Mondrian is currently 73% owned by approximately 80 of its
senior employees, including the majority of investment
professionals, senior client service officers, and senior
operations personnel through Atlantic Value Investment
Partnership LP, and 27% owned by private equity funds sponsored
by Hellman & Friedman LLC. The private equity funds
sponsored by Hellman & Friedman LLC are passive,
non-controlling minority investors in Mondrian and do not have
day-to-day involvement in the management of Mondrian.
|
||
Incentives (Bonus and Equity Programs) focus on the key areas of research quality, long-term and short-term stock performance, teamwork, client service and marketing. As an individuals ability to influence these factors depends on that individuals position and seniority within the firm, so the allocation of participation in these programs will reflect this. |
At Mondrian, the investment management of particular portfolios is not star manager based but uses a team system. This means that Mondrians investment professionals are primarily assessed on their contribution to the teams effort and results, though with an important element of their assessment being focused on the quality of their individual research contribution. | ||
Compensation Committee | ||
In determining the amount of bonuses and equity awarded, Mondrians Board of Directors consults with the companys Compensation Committee, who will make recommendations based on a number of factors including investment research, organization management, team work, client servicing and marketing. | ||
Defined Contribution Pension Plan | ||
All portfolio managers are members of the Mondrian defined contribution pension plan where Mondrian pays a regular monthly contribution and the member may pay additional voluntary contributions if they wish. The Plan is governed by Trustees who have responsibility for the trust fund and payments of benefits to members. In addition, the Plan provides death benefits for death in service and a spouses or dependants pension may also be payable. | ||
Mondrian believes that this compensation structure, coupled with the opportunities that exist within a successful and growing business, are adequate to attract and retain high caliber employees. | ||
(34) | Tradewinds: Tradewinds offers a highly competitive compensation structure with the purpose of attracting and retaining the most talented investment professionals. These professionals are rewarded through a combination of cash and long-term incentive compensation as determined by the firms executive committee. Total cash compensation (TCC) consists of both a base salary and an annual bonus that can be a multiple of the base salary. The firm annually benchmarks TCC to prevailing industry norms with the objective of achieving competitive levels for all contributing professionals. | |
Available bonus pool compensation is primarily a function of the firms overall annual profitability. Individual bonuses are based primarily on the following: | ||
Overall performance of client portfolios;
|
||
Objective review of stock recommendations and the
quality of primary research;
|
||
Subjective review of the professionals
contributions to portfolio strategy, teamwork, collaboration and
work ethic.
|
||
To further strengthen our incentive compensation package and to create an even stronger alignment to the long-term success of the firm, Tradewinds has made available to most investment professionals equity participation opportunities, the values of which are determined by the increase in profitability of Tradewinds over time. | ||
Finally, some of our investment professionals have received additional remuneration as consideration for signing employment agreements. These agreements range from retention agreements to long-term employment contracts with significant non-solicitation and, in some cases, non-compete clauses. | ||
(35) | Threadneedle: To align the interests of our investment staff with those of our clients the remuneration plan for senior individuals comprises basic salary, an annual profit share (linked to individual performance and the profitability of the company) and a Long Term Incentive Plan known as the Equity Incentive Plan (EIP) linked to measures of Threadneedles corporate success. Threadneedle believes this encourages longevity of service. | |
The split between each component varies between investment professionals and will be dependent on performance and the type of funds they manage. | ||
The split of the profit share focuses on three key areas of success: | ||
Performance of own funds and research
recommendations,
|
||
Performance of all portfolios in the
individuals team,
|
||
Broader contribution to the wider thinking of the
investment team, e.g. idea generation, interaction with
colleagues and commitment for example to assisting the sales
effort.
|
||
Consideration of the individuals general contribution is designed to encourage fund managers to think beyond personal portfolio performance and considers contributions made in: | ||
Inter-team discussions, including asset allocation,
global sector themes and weekly investment meetings,
|
||
Intra-team discussion, stock research and investment
insights,
|
||
Marketing support, including written material and
presentations.
|
||
It is important to appreciate that in order to maximize an individuals rating and hence their profit share, they need to score well in all areas. It is not sufficient to produce good personal fund performance without contributing effectively to the team and wider investment department. This structure is closely aligned with the Threadneedles investment principles of sharing ideas and effective communication. |
(36) | LaSalle: Compensation for Investment Team Members consists of a base salary and incentive compensation that is based primarily upon performance of the particular Investment Team and that of the subadviser with which an Investment Team Member is employed, and meeting financial objectives for the Investment Team. The annual |
performance of clients portfolios and/or the performance of stock recommendations against a sector index (generally the NAREIT-Equity REITs Index or the Wilshire REIT Index in respect of the Investment Team Members of LaSalle Securities US, or the EPRA Euro Zone Index and EPRA Europe Index in respect of the Investment Team Member of LaSalle Securities B.V.) is one factor included in professional employee evaluations, but compensation is not directly linked to these performance criteria. | ||
In addition, equity ownership in Jones Lang LaSalle, the subadvisers publicly-traded parent, is available to and expected of senior professionals. The major components of Jones Lang LaSalles comprehensive equity ownership program are: (1) Stock Ownership Program credits employees with a portion of their incentive compensation in the form of restricted stock; (2) Employee Stock Purchase Plan program through which employees may elect to purchase shares of Jones Land LaSalle through a payroll deduction plan (available to employees of LaSalle Securities US) and; (3) Stock Award Incentive Plan rewards key employees of the firm with stock awards, in the form of restricted stock units, based on the strength of their individual contributions. |
(37) | Marsico Capital: The compensation package for portfolio managers of Marsico Capital is structured as a combination of base salary (reevaluated at least annually), and periodic cash bonuses. Bonuses are typically based on two primary factors: (1) Marsico Capitals overall profitability for the period, and (2) individual achievement and contribution. Portfolio manager compensation takes into account, among other factors, the overall performance of all accounts for which the portfolio manager provides investment advisory services. In receiving compensation such as bonuses, portfolio managers do not receive special consideration based on the performance of particular accounts, and do not receive compensation from accounts charging performance-based fees. Exceptional individual efforts are rewarded through salary readjustments and greater participation in the bonus pool. No other special employee incentive arrangements are currently in place or being planned. In addition to salary and bonus, portfolio managers may participate in other Marsico Capital benefits to the same extent and on the same basis as other Marsico Capital employees. Portfolio manager compensation comes solely from Marsico Capital. In addition, Marsico Capitals portfolio managers typically are offered equity interests in Marsico Management Equity, LLC, which indirectly owns Marsico Capital, and may receive distributions (such as earnings and losses) on those equity interests. |
As a general matter, Marsico Capital does not tie portfolio manager compensation to specific levels of performance relative to fixed benchmarks. Although performance may be a relevant consideration, comparisons with fixed benchmarks may not always be useful. Relevant benchmarks vary depending on specific investment styles and client guidelines or restrictions, and comparisons to benchmark performance may at times reveal more about market sentiment than about a portfolio managers abilities. To encourage a long-term horizon for managing portfolios, Marsico Capital evaluates a portfolio managers performance over periods longer than the immediate compensation period, and may consider a variety of measures such as the performance of unaffiliated portfolios with similar strategies and other measurements. Other factors that may also be significant in determining portfolio manager compensation include, without limitation, the effectiveness of the managers leadership within Marsico Capitals investment team, contributions to Marsico Capitals overall performance, discrete securities analysis, idea generation, ability to support and train other analysts, and other considerations. |
Asset Levels and Breakpoints in Applicable Fees | ||||||||||||||||||||
$500,000,001 |
$1,000,000,001 |
$3,000,000,001 |
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Fund | $0 500,000,000 | 1,000,000,000 | 3,000,000,000 | $12,000,000,000 | $12,000,000,001 + | |||||||||||||||
Columbia 120/20 Contrarian Equity
|
0.080% | 0.075% | 0.070% | 0.060% | 0.050% | |||||||||||||||
Columbia Absolute Return Currency and Income
|
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Columbia Asia Pacific ex-Japan
|
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Columbia Emerging Markets Bond
|
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Columbia Emerging Markets Opportunity
|
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Columbia European Equity
|
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Columbia Frontier
|
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Columbia Global Bond
|
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Columbia Global Equity
|
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Columbia Global Extended Alpha
|
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Columbia Multi-Advisor International Value
|
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Columbia Multi-Advisor Small Cap Value
|
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Columbia Select Smaller-Cap Value
|
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Columbia Strategic Allocation
|
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RiverSource Disciplined International Equity
|
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RiverSource Disciplined Small Cap Value
|
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RiverSource LaSalle Global Real Estate
|
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RiverSource Partners International Select Growth
|
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RiverSource Partners International Small Cap
|
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RiverSource Small Company Index
|
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Threadneedle Global Equity Income
|
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Threadneedle International Opportunity
|
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Columbia AMT-Free Tax-Exempt Bond
|
0.070% | 0.065% | 0.060% | 0.050% | 0.040% | |||||||||||||||
Columbia Diversified Bond
|
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Columbia Floating Rate
|
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Columbia High Yield Bond
|
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Columbia Income Opportunities
|
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Columbia Inflation Protected Securities
|
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Columbia Limited Duration Credit
|
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Columbia U.S. Government Mortgage
|
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RiverSource California Tax-Exempt
|
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RiverSource Intermediate Tax-Exempt
|
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RiverSource New York Tax-Exempt
|
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RiverSource Short Duration U.S. Government
|
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RiverSource Strategic Income Allocation
|
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RiverSource Tax-Exempt High Income
|
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Seligman California Municipal High-Yield
|
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Seligman California Municipal Quality
|
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Seligman Minnesota Municipal
|
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Seligman National Municipal
|
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Seligman New York Municipal
|
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Asset Levels and Breakpoints in Applicable Fees | ||||||||||||||||||||
$500,000,001 |
$1,000,000,001 |
$3,000,000,001 |
||||||||||||||||||
Fund | $0 500,000,000 | 1,000,000,000 | 3,000,000,000 | $12,000,000,000 | $12,000,000,001 + | |||||||||||||||
Columbia Diversified Equity Income
|
0.060% | 0.055% | 0.050% | 0.040% | 0.030% | |||||||||||||||
Columbia Dividend Opportunity
|
||||||||||||||||||||
Columbia Equity Value
|
||||||||||||||||||||
Columbia Government Money Market
|
||||||||||||||||||||
Columbia Large Core Quantitative
|
||||||||||||||||||||
Columbia Large Growth Quantitative
|
||||||||||||||||||||
Columbia Large Value Quantitative
|
||||||||||||||||||||
Columbia Marsico Flexible Capital
|
||||||||||||||||||||
Columbia Mid Cap Growth Opportunity
|
||||||||||||||||||||
Columbia Mid Cap Value Opportunity
|
||||||||||||||||||||
Columbia Money Market
|
||||||||||||||||||||
Columbia Recovery and Infrastructure
|
||||||||||||||||||||
Columbia Select Large-Cap Value
|
||||||||||||||||||||
Columbia Seligman Communications and Information
|
||||||||||||||||||||
Columbia Seligman Global
Technology(a)
|
||||||||||||||||||||
RiverSource Balanced
|
||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity
|
||||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate
|
||||||||||||||||||||
RiverSource Partners Fundamental Value
|
||||||||||||||||||||
RiverSource Precious Metals and Mining
|
||||||||||||||||||||
RiverSource Real Estate
|
||||||||||||||||||||
RiverSource S&P 500 Index
|
||||||||||||||||||||
Seligman Capital
|
||||||||||||||||||||
Seligman Growth
|
||||||||||||||||||||
Columbia Income Builder Fund
|
0.020% | 0.020% | 0.020% | 0.020% | 0.020% | |||||||||||||||
Columbia Income Builder Fund II
|
||||||||||||||||||||
Columbia Income Builder Fund III
|
||||||||||||||||||||
Columbia Portfolio Builder Aggressive
|
||||||||||||||||||||
Columbia Portfolio Builder Conservative
|
||||||||||||||||||||
Columbia Portfolio Builder Moderate
|
||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive
|
||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative
|
||||||||||||||||||||
Columbia Portfolio Builder Total Equity
|
||||||||||||||||||||
Columbia Retirement Plus 2010
|
||||||||||||||||||||
Columbia Retirement Plus 2015
|
||||||||||||||||||||
Columbia Retirement Plus 2020
|
||||||||||||||||||||
Columbia Retirement Plus 2025
|
||||||||||||||||||||
Columbia Retirement Plus 2030
|
||||||||||||||||||||
Columbia Retirement Plus 2035
|
||||||||||||||||||||
Columbia Retirement Plus 2040
|
||||||||||||||||||||
Columbia Retirement Plus 2045
|
||||||||||||||||||||
$250,000,001 |
$1,000,000,001 |
$3,000,000,001 |
||||||||||||||||||
$0 250,000,000 | $1,000,000,000 | 3,000,000,000 | $12,000,000,000 | $12,000,000,001 + | ||||||||||||||||
Columbia Minnesota Tax-Exempt
|
0.070% | 0.065% | 0.060% | 0.050% | 0.040% | |||||||||||||||
(a) | Prior to March 1, 2011, the investment manager received an annual fee ranging from 0.080% to 0.050% as asset levels increased. |
Administrative services fees paid in: |
Daily rate |
||||||||||||||||||
applied to |
|||||||||||||||||||
Fund | 2010 | 2009 | 2008 | fund assets | |||||||||||||||
For funds with fiscal period ending January 31
|
|||||||||||||||||||
Columbia Income Builder Fund
|
$ | 45,313 | $ | 56,956 | $ | 38,041 | (a) | 0.020 | % | ||||||||||
Columbia Income Builder Fund II
|
78,128 | 108,149 | 82,229 | (a) | 0.020 | ||||||||||||||
Columbia Income Builder Fund III
|
38,950 | 54,275 | 45,848 | (a) | 0.020 | ||||||||||||||
Columbia Portfolio Builder Aggressive
|
89,504 | 96,644 | 110,897 | 0.020 | |||||||||||||||
Columbia Portfolio Builder Conservative
|
45,451 | 36,929 | 26,665 | 0.020 | |||||||||||||||
Columbia Portfolio Builder Moderate
|
201,685 | 193,553 | 183,783 | 0.020 | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive
|
186,977 | 205,250 | 223,400 | 0.020 | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative
|
75,988 | 72,830 | 62,617 | 0.020 | |||||||||||||||
Columbia Portfolio Builder Total Equity
|
75,724 | 84,413 | 101,924 | 0.020 | |||||||||||||||
RiverSource S&P 500 Index
|
69,721 | 101,230 | 158,059 | 0.060 | |||||||||||||||
RiverSource Small Company Index
|
293,026 | 446,427 | 738,676 | 0.080 | |||||||||||||||
For funds with fiscal period ending March 31
|
|||||||||||||||||||
Columbia Equity Value
|
391,620 | 448,794 | 680,124 | 0.058 | |||||||||||||||
RiverSource Precious Metals and Mining
|
83,021 | 64,531 | 77,686 | 0.060 | |||||||||||||||
For funds with fiscal period ending April 30
|
|||||||||||||||||||
Columbia 120/20 Contrarian Equity
|
31,739 | 31,071 | 13,416 | (b) | 0.080 | ||||||||||||||
Columbia Recovery and Infrastructure
|
199,325 | 4,214 | (c) | N/A | 0.059 | ||||||||||||||
Columbia Retirement Plus 2010
|
1,647 | 2,441 | 3,623 | 0.020 | |||||||||||||||
Columbia Retirement Plus 2015
|
4,050 | 4,449 | 5,483 | 0.020 | |||||||||||||||
Columbia Retirement Plus 2020
|
4,355 | 4,871 | 7,572 | 0.020 | |||||||||||||||
Columbia Retirement Plus 2025
|
4,903 | 5,145 | 7,280 | 0.020 | |||||||||||||||
Columbia Retirement Plus 2030
|
4,981 | 5,001 | 7,160 | 0.020 | |||||||||||||||
Columbia Retirement Plus 2035
|
3,476 | 3,258 | 4,249 | 0.020 | |||||||||||||||
Columbia Retirement Plus 2040
|
2,435 | 2,051 | 4,915 | 0.020 | |||||||||||||||
Columbia Retirement Plus 2045
|
2,262 | 1,726 | 1,670 | 0.020 | |||||||||||||||
For funds with fiscal period ending May 31
|
|||||||||||||||||||
Columbia High Yield Bond
|
1,077,547 | 722,190 | 1,069,014 | 0.065 | |||||||||||||||
Columbia Multi-Advisor Small Cap Value
|
300,718 | 277,260 | 565,329 | 0.080 | |||||||||||||||
Columbia U.S. Government Mortgage
|
181,856 | 252,478 | 285,601 | 0.070 | |||||||||||||||
RiverSource Partners Fundamental Value
|
340,508 | 374,303 | 594,407 | 0.060 | |||||||||||||||
RiverSource Short Duration U.S. Government
|
470,119 | 521,265 | 541,748 | 0.069 | |||||||||||||||
For funds with fiscal period ending June 30
|
|||||||||||||||||||
Columbia Dividend Opportunity
|
681,093 | 642,082 | 1,033,158 | 0.057 | |||||||||||||||
RiverSource Real Estate
|
103,295 | 91,566 | 132,646 | 0.060 | |||||||||||||||
Administrative services fees paid in: |
Daily rate |
||||||||||||||||||
applied to |
|||||||||||||||||||
Fund | 2010 | 2009 | 2008 | fund assets | |||||||||||||||
For funds with fiscal period ending July 31
|
|||||||||||||||||||
Columbia Floating Rate
|
$ | 282,996 | $ | 253,669 | $ | 398,924 | 0.070 | % | |||||||||||
Columbia Income Opportunities
|
499,304 | 219,083 | 202,872 | 0.068 | |||||||||||||||
Columbia Inflation Protected Securities
|
451,332 | 515,776 | 399,972 | 0.069 | |||||||||||||||
Columbia Large Core Quantitative
|
1,911,088 | 1,094,618 | 1,701,542 | 0.050 | |||||||||||||||
Columbia Limited Duration Credit
|
317,896 | 123,147 | 115,529 | 0.069 | |||||||||||||||
Columbia Money Market
|
1,551,462 | 2,132,989 | 2,507,729 | 0.053 | |||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity
|
83,767 | 77,180 | 38,114 | 0.060 | |||||||||||||||
RiverSource Disciplined Small Cap Value
|
40,614 | 34,017 | 30,592 | 0.080 | |||||||||||||||
For funds with fiscal period ending August 31
|
|||||||||||||||||||
Columbia Diversified Bond
|
2,608,739 | 2,122,615 | 2,012,548 | 0.057 | |||||||||||||||
Columbia Marsico Flexible
Capital(g)
|
N/A | N/A | N/A | N/A | |||||||||||||||
Columbia Minnesota Tax-Exempt
|
235,979 | 212,293 | 215,249 | 0.070 | |||||||||||||||
RiverSource California Tax-Exempt
|
110,167 | 113,317 | 122,235 | 0.070 | |||||||||||||||
RiverSource New York Tax-Exempt
|
38,266 | 37,590 | 41,455 | 0.070 | |||||||||||||||
For funds with fiscal period ending
September 30
|
|||||||||||||||||||
Columbia Diversified Equity Income
|
2,189,480 | 1,985,768 | 3,272,256 | 0.048 | |||||||||||||||
Columbia Large Growth Quantitative
|
428,326 | 203,583 | 101,276 | 0.058 | |||||||||||||||
Columbia Large Value Quantitative
|
160,909 | 69,490 | 662 | (d) | 0.060 | ||||||||||||||
Columbia Mid Cap Value Opportunity
|
1,176,703 | 946,227 | 1,335,281 | 0.053 | |||||||||||||||
Columbia Strategic Allocation
|
890,778 | 962,590 | 1,505,894 | 0.077 | |||||||||||||||
RiverSource Balanced
|
368,525 | 331,811 | 519,542 | 0.059 | |||||||||||||||
RiverSource Strategic Income Allocation
|
233,058 | 137,849 | 115,139 | 0.070 | |||||||||||||||
Seligman California Municipal High-Yield*
|
24,333 | 7,436 | N/A | 0.070 | |||||||||||||||
Seligman California Municipal Quality*
|
28,101 | 8,837 | N/A | 0.070 | |||||||||||||||
Seligman Minnesota Municipal*
|
47,397 | 14,896 | N/A | 0.070 | |||||||||||||||
Seligman National Municipal*
|
451,886 | 42,999 | N/A | 0.070 | |||||||||||||||
Seligman New York Municipal*
|
58,318 | 17,197 | N/A | 0.070 | |||||||||||||||
For funds with fiscal period ending October 31
|
|||||||||||||||||||
Columbia Absolute Return Currency and Income
|
162,872 | 417,444 | 373,454 | 0.080 | |||||||||||||||
Columbia Asia Pacific ex-Japan
|
172,133 | 7,807 | (e) | N/A | 0.079 | ||||||||||||||
Columbia Emerging Markets Bond
|
197,667 | 146,703 | 131,334 | 0.080 | |||||||||||||||
Columbia Emerging Markets Opportunity
|
491,606 | 280,656 | 498,019 | 0.079 | |||||||||||||||
Columbia European Equity
|
56,787 | 50,304 | 96,107 | 0.080 | |||||||||||||||
Columbia Frontier*
|
76,326 | 10,073 | N/A | 0.080 | |||||||||||||||
Columbia Global Bond
|
400,481 | 401,109 | 572,976 | 0.080 | |||||||||||||||
Columbia Global Equity
|
366,549 | 340,869 | 549,601 | 0.080 | |||||||||||||||
Columbia Global Extended Alpha
|
6,913 | 4,908 | 1,256 | (f) | 0.080 | ||||||||||||||
Columbia Multi-Advisor International Value
|
568,821 | 651,133 | 1,395,090 | 0.079 | |||||||||||||||
Columbia Seligman Global Technology*
|
405,545 | 102,757 | N/A | 0.079 | |||||||||||||||
RiverSource Disciplined International Equity
|
398,102 | 282,974 | 549,173 | 0.080 | |||||||||||||||
RiverSource Partners International Select Growth
|
312,490 | 282,773 | 511,522 | 0.080 | |||||||||||||||
RiverSource Partners International Small Cap
|
84,486 | 38,884 | 79,183 | 0.080 | |||||||||||||||
Threadneedle Global Equity Income
|
24,462 | 16,780 | 1,528 | (f) | 0.080 | ||||||||||||||
Threadneedle International Opportunity
|
312,222 | 281,413 | 460,205 | 0.080 | |||||||||||||||
Administrative services fees paid in: |
Daily rate |
||||||||||||||||||
applied to |
|||||||||||||||||||
Fund | $2010 | $2009 | $2008 | fund assets | |||||||||||||||
For funds with fiscal period ending
November 30
|
|||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond
|
$ | 455,742 | $ | 453,062 | $ | 463,150 | 0.069 | % | |||||||||||
Columbia Mid Cap Growth Opportunity
|
549,847 | 339,961 | 471,791 | 0.057 | |||||||||||||||
RiverSource Intermediate Tax-Exempt
|
67,354 | 61,016 | 52,367 | 0.070 | |||||||||||||||
RiverSource Tax-Exempt High Income
|
1,433,949 | 1,428,680 | 1,603,416 | 0.063 | |||||||||||||||
For funds with fiscal period ending
December 31
|
|||||||||||||||||||
Columbia Government Money Market*
|
84,123 | 41,094 | N/A | 0.060 | |||||||||||||||
Columbia Select Large-Cap Value*
|
213,950 | 76,758 | N/A | 0.060 | |||||||||||||||
Columbia Select Smaller-Cap Value*
|
332,614 | 96,841 | N/A | 0.080 | |||||||||||||||
Columbia Seligman Communications and Information*
|
1,848,982 | 868,517 | N/A | 0.049 | |||||||||||||||
RiverSource LaSalle Global Real Estate*
|
11,304 | 5,942 | N/A | 0.080 | |||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate*
|
17,455 | 7,968 | N/A | 0.060 | |||||||||||||||
Seligman Capital*
|
141,377 | 68,772 | N/A | 0.060 | |||||||||||||||
Seligman Growth*
|
879,275 | 299,785 | N/A | 0.054 | |||||||||||||||
* | Prior to June 15, 2009 for Seligman California Municipal High-Yield, Seligman California Municipal Quality, Seligman Minnesota Municipal, Seligman New York Municipal, Columbia Seligman Global Technology, Columbia Government Money Market, RiverSource LaSalle Global Real Estate and RiverSource LaSalle Monthly Dividend Real Estate and prior to June 29, 2009 for Seligman Capital, Columbia Frontier, Columbia Seligman Communications and Information, Seligman Growth, Columbia Select Large-Cap Value and Columbia Select Smaller-Cap Value, and for Seligman National, prior to Aug. 31, 2009, the fund did not pay a separate administrative services fee. Fees for administration services were included in the funds management fees as charged by the funds pervious investment manager. | |
(a) | The fund changed its fiscal year end effective Jan. 31, 2008 from May 31 to Jan. 31. For 2008, the information shown is for the period from June 1, 2007 through Jan. 31, 2008. For years prior to 2008, the fiscal period ended on May 31. | |
(b) | For the period from Oct. 18, 2007 (when shares became publicly available) to April 30, 2008. | |
(c) | For the period from Feb. 19, 2009 (when shares became publicly available) to April 30, 2009. | |
(d) | For the period from Aug. 1, 2008 (when shares became publicly available) to Sept. 30, 2008. | |
(e) | For the period from July 15, 2009 (when the Fund became available) to Oct. 31, 2009. | |
(f) | For the period from Aug. 1, 2008 (when shares became publicly available) to Oct. 31, 2008. |
(g) | The fund is new as of Sept. 28, 2010 and has not passed its fiscal period end; therefore no reporting is available. |
Amount retained
after paying |
|||||||||||||||||||||||||||
Sales charges paid to Distributor | commissions and other expenses | ||||||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | 2010 | 2009 | 2008 | |||||||||||||||||||||
For funds with fiscal period ending January 31 | |||||||||||||||||||||||||||
Columbia Income Builder Fund | $245,462 | $466,216 | $688,587 | (a) | $(86,426 | ) | $(21,562 | ) | $(56,086 | )(a) | |||||||||||||||||
Columbia Income Builder Fund II | 293,969 | 654,937 | 1,279,681 | (a) | (109,209 | ) | 77,641 | 34,001 | (a) | ||||||||||||||||||
Amount retained
after paying |
|||||||||||||||||||||||||||
Sales charges paid to Distributor | commissions and other expenses | ||||||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | 2010 | 2009 | 2008 | |||||||||||||||||||||
Columbia Income Builder Fund III | $189,070 | $296,977 | $831,981 | (a) | $(27,745 | ) | $(533 | ) | $176,661 | (a) | |||||||||||||||||
Columbia Portfolio Builder Aggressive | 1,656,276 | 2,081,242 | 2,848,037 | 417,384 | 552,795 | 799,417 | |||||||||||||||||||||
Columbia Portfolio Builder Conservative | 524,245 | 528,590 | 384,348 | 8,450 | 16,829 | 4,989 | |||||||||||||||||||||
Columbia Portfolio Builder Moderate | 2,911,626 | 3,277,766 | 3,944,827 | 507,020 | 661,689 | 702,939 | |||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive | 3,171,640 | 4,181,445 | 5,635,597 | 795,856 | 1,125,393 | 1,613,677 | |||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative | 885,194 | 982,012 | 1,088,559 | 111,387 | 153,386 | 140,630 | |||||||||||||||||||||
Columbia Portfolio Builder Total Equity | 1,059,706 | 1,561,130 | 2,257,735 | 202,573 | 319,114 | 471,536 | |||||||||||||||||||||
RiverSource S&P 500 Index | N/A | N/A | N/A | N/A | N/A | N/A | |||||||||||||||||||||
RiverSource Small Company Index | 265,422 | 365,094 | 563,878 | 265,422 | 317,088 | 117,897 | |||||||||||||||||||||
For funds with fiscal period ending March 31 | |||||||||||||||||||||||||||
Columbia Equity Value | 245,798 | 374,068 | 496,313 | 28,520 | 65,246 | 16,594 | |||||||||||||||||||||
RiverSource Precious Metals and Mining | 224,264 | 159,379 | 192,503 | 6,986 | 55,468 | 50,572 | |||||||||||||||||||||
For funds with fiscal period ending April 30 | |||||||||||||||||||||||||||
Columbia 120/20 Contrarian Equity | 44,207 | 57,137 | 149,480 | (b) | 2,401 | 5,429 | 46,196 | (b) | |||||||||||||||||||
Columbia Recovery and Infrastructure | 1,817,351 | 221,190 | (c) | N/A | 337,598 | (7,085 | )(c) | N/A | |||||||||||||||||||
Columbia Retirement Plus 2010 | 6,098 | 7,536 | 32,694 | 2,480 | 1,465 | 11,266 | |||||||||||||||||||||
Columbia Retirement Plus 2015 | 12,014 | 17,354 | 70,298 | 5,364 | 5,173 | 50,360 | |||||||||||||||||||||
Columbia Retirement Plus 2020 | 20,614 | 26,015 | 41,850 | 8,068 | 12,539 | 21,519 | |||||||||||||||||||||
Columbia Retirement Plus 2025 | 15,117 | 21,208 | 49,187 | 6,222 | 7,872 | 25,003 | |||||||||||||||||||||
Columbia Retirement Plus 2030 | 14,540 | 19,999 | 51,530 | 5,797 | 9,336 | 28,063 | |||||||||||||||||||||
Columbia Retirement Plus 2035 | 11,125 | 14,670 | 31,469 | 5,669 | 6,101 | 19,162 | |||||||||||||||||||||
Columbia Retirement Plus 2040 | 18,304 | 17,700 | 39,332 | 8,927 | 8,815 | 21,208 | |||||||||||||||||||||
Columbia Retirement Plus 2045 | 15,018 | 16,697 | 23,890 | 6,063 | 6,510 | 12,087 | |||||||||||||||||||||
For funds with fiscal period ending May 31 | |||||||||||||||||||||||||||
Columbia High Yield Bond | 1,321,507 | 974,983 | 882,107 | 297,716 | 108,896 | 41,174 | |||||||||||||||||||||
Columbia Multi-Advisor Small Cap Value | 305,205 | 287,969 | 607,350 | 56,453 | 38,780 | 117,005 | |||||||||||||||||||||
Columbia U.S. Government Mortgage | 109,683 | 101,207 | 136,891 | (17,796 | ) | (70,344 | ) | (116,397 | ) | ||||||||||||||||||
RiverSource Partners Fundamental Value | 340,583 | 494,967 | 766,263 | 14,174 | 43,220 | 58,252 | |||||||||||||||||||||
RiverSource Short Duration U.S. Government | 392,239 | 530,165 | 660,354 | 35,955 | 107,433 | (152,827 | ) | ||||||||||||||||||||
Amount retained
after paying |
|||||||||||||||||||||||||||
Sales charges paid to Distributor | commissions and other expenses | ||||||||||||||||||||||||||
Fund | 2010 | 2009 | 2008 | 2010 | 2009 | 2008 | |||||||||||||||||||||
For funds with fiscal period ending June 30 | |||||||||||||||||||||||||||
Columbia Dividend Opportunity | $1,058,723 | $798,182 | $1,648,530 | $175,949 | $39,934 | $206,622 | |||||||||||||||||||||
RiverSource Real Estate | 80,410 | 98,301 | 211,915 | 15,331 | 18,158 | 63,306 | |||||||||||||||||||||
For funds with fiscal period ending July 31 | |||||||||||||||||||||||||||
Columbia Floating Rate | 240,774 | 189,836 | 380,143 | (11,075 | ) | 11,806 | (174,369 | ) | |||||||||||||||||||
Columbia Income Opportunities | 1,196,954 | 951,690 | 135,655 | 271,045 | 251,745 | (11,090 | ) | ||||||||||||||||||||
Columbia Inflation Protected Securities | 236,120 | 332,292 | 407,706 | 15,969 | 101,013 | 51,044 | |||||||||||||||||||||
Columbia Large Core Quantitative | 1,610,548 | 261,402 | 412,821 | 377,765 | 67,822 | 85,890 | |||||||||||||||||||||
Columbia Limited Duration Credit | 1,033,053 | 145,544 | 92,255 | 119,494 | 17,573 | 9,475 | |||||||||||||||||||||
Columbia Money Market | 106,803 | 367,743 | 339,219 | 106,058 | 367,712 | 339,111 | |||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity | 25,721 | 24,097 | 26,228 | 7,017 | 7,132 | 7,923 | |||||||||||||||||||||
RiverSource Disciplined Small Cap Value | 5,507 | 8,386 | 6,647 | 1,133 | 2,011 | 1,943 | |||||||||||||||||||||
For funds with fiscal period ending August 31 | |||||||||||||||||||||||||||
Columbia Diversified Bond | 1,584,251 | 1,922,949 | 1,992,222 | 77,260 | (92,219 | ) | 176,513 | ||||||||||||||||||||
Columbia Marsico Flexible Capital(g) | N/A | N/A | N/A | N/A | N/A | N/A | |||||||||||||||||||||
Columbia Minnesota Tax-Exempt | 551,051 | 406,782 | 463,447 | 2,712 | 84,001 | 37,217 | |||||||||||||||||||||
RiverSource California Tax-Exempt | 96,842 | 92,347 | 91,928 | 13,668 | 9,806 | 5,945 | |||||||||||||||||||||
RiverSource New York Tax-Exempt | 31,250 | 20,992 | 29,401 | 6,331 | 8,033 | 8,217 | |||||||||||||||||||||
For funds with fiscal period ending September 30 | |||||||||||||||||||||||||||
Columbia Diversified Equity Income | 2,471,025 | 3,383,179 | 6,331,545 | 469,210 | 496,151 | 1,204,186 | |||||||||||||||||||||
Columbia Large Growth Quantitative
|
66,276 | 69,425 | 87,685 | 20,395 | 15,099 | 30,621 | |||||||||||||||||||||
Columbia Large Value Quantitative
|
8,953 | 2,270 | 0 | (d) | 2,821 | 566 | 0 | (d) | |||||||||||||||||||
Columbia Mid Cap Value Opportunity
|
740,978 | 954,172 | 2,444,490 | 27,902 | 207,568 | 898,395 | |||||||||||||||||||||
Columbia Strategic Allocation
|
1,306,148 | 2,055,294 | 5,371,458 | 98,496 | 347,495 | 1,321,113 | |||||||||||||||||||||
RiverSource Balanced
|
203,655 | 189,413 | 287,586 | 44,936 | 39,038 | 36,359 | |||||||||||||||||||||
RiverSource Strategic Income
Allocation |
625,249 | 600,969 | 400,285 | 53,616 | 2,484 | 28,302 | |||||||||||||||||||||
Seligman California Municipal High-Yield
|
12,156 | 37,316 | 98,702 | 10,444 | 36,272 | 13,104 | |||||||||||||||||||||
Seligman California Municipal Quality
|
15,693 | 60,005 | 37,798 | 11,188 | 56,335 | 5,413 | |||||||||||||||||||||
Seligman Minnesota Municipal
|
32,282 | 66,716 | 49,497 | 19,746 | 55,756 | 6,427 | |||||||||||||||||||||
Seligman National Municipal
|
309,586 | 222,346 | 57,892 | 245,535 | 199,904 | 7,651 | |||||||||||||||||||||
Seligman New York Municipal
|
37,587 | 166,632 | 48,724 | 30,238 | 157,302 | 7,550 | |||||||||||||||||||||
Amount retained
after paying |
|||||||||||||||||||||||||||
Sales charges paid to Distributor | commissions and other expenses | ||||||||||||||||||||||||||
Fund | $2010 | $2009 | $2008 | $2010 | $2009 | $2008 | |||||||||||||||||||||
For funds with fiscal period ending October 31 | |||||||||||||||||||||||||||
Columbia Absolute Return Currency and Income
|
16,140 | 118,256 | 288,047 | (14,128 | ) | 40,664 | 52,383 | ||||||||||||||||||||
Columbia Asia Pacific ex-Japan(e) | N/A | N/A | N/A | N/A | N/A | N/A | |||||||||||||||||||||
Columbia Emerging Markets Bond
|
203,192 | 70,770 | 41,906 | 90,529 | 28,245 | 10,486 | |||||||||||||||||||||
Columbia Emerging Markets Opportunity | 724,041 | 558,505 | 780,872 | 173,575 | 140,308 | (4,109,358 | ) | ||||||||||||||||||||
Columbia European Equity | 76,299 | 68,398 | 124,828 | 23,361 | 19,191 | 35,391 | |||||||||||||||||||||
Columbia Frontier | 39,206 | 1,357 | 10,431 | 7,033 | 735 | 1,351 | |||||||||||||||||||||
Columbia Global Bond
|
222,999 | 218,412 | 391,577 | 26,401 | 32,697 | 118,930 | |||||||||||||||||||||
Columbia Global Equity | 283,968 | 361,007 | 800,774 | 38,823 | 60,748 | 114,011 | |||||||||||||||||||||
Columbia Global Extended Alpha | 8,879 | 8,674 | 1,795 | (f) | 2,679 | 3,445 | 307 | (f) | |||||||||||||||||||
Columbia Multi-Advisor International Value
|
400,262 | 580,503 | 1,584,444 | 47,685 | 68,413 | 235,164 | |||||||||||||||||||||
Columbia Seligman Global Technology | 584,870 | 221,563 | 265,528 | 334,231 | 184,936 | 233,685 | |||||||||||||||||||||
RiverSource Disciplined International Equity
|
47,307 | 61,779 | 168,692 | 7,918 | 8,596 | 36,899 | |||||||||||||||||||||
RiverSource Partners International Select Growth
|
160,681 | 213,399 | 560,302 | 138,644 | 43,200 | 118,125 | |||||||||||||||||||||
RiverSource Partners International Small Cap
|
30,801 | 53,930 | 88,479 | 8,764 | 26,245 | 20,053 | |||||||||||||||||||||
Threadneedle Global Equity Income | 39,321 | 38,564 | 18,558 | (f) | 5,600 | 7,576 | 4,340 | (f) | |||||||||||||||||||
Threadneedle International Opportunity | 160,249 | 168,431 | 319,850 | 33,199 | 37,276 | 49,744 | |||||||||||||||||||||
For funds with fiscal period ending November 30 | |||||||||||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond | 572,842 | 477,836 | 319,831 | 126,310 | 100,280 | 64,831 | |||||||||||||||||||||
Columbia Mid Cap Growth Opportunity | 514,901 | 453,947 | 360,393 | 127,719 | 131,709 | 59,123 | |||||||||||||||||||||
RiverSource Intermediate Tax-Exempt | 104,999 | 75,578 | 59,348 | (495 | ) | 3,223 | (792 | ) | |||||||||||||||||||
RiverSource Tax-Exempt High Income | 1,295,541 | 1,164,712 | 1,042,555 | 210,684 | 192,881 | 151,444 | |||||||||||||||||||||
For funds with fiscal period ending December 31 | |||||||||||||||||||||||||||
Columbia Government Money Market | 14,410 | 22,845 | N/A | 14,356 | 22,830 | N/A | |||||||||||||||||||||
Columbia Select Large-Cap Value | 120,615 | 83,550 | 112,370 | 88,311 | 72,301 | 14,405 | |||||||||||||||||||||
Columbia Select Smaller-Cap Value | 183,546 | 73,571 | 31,742 | 33,457 | 39,883 | 4,542 | |||||||||||||||||||||
Columbia Seligman Communications and Information | 3,163,223 | 3,487,463 | 1,478,105 | 2,702,884 | 3,197,170 | 187,649 | |||||||||||||||||||||
RiverSource LaSalle Global Real Estate | 6,503 | 14,337 | 4,931 | 497 | 13,946 | 638 | |||||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate | 13,354 | 15,219 | 19,987 | 8,654 | 14,907 | 2,839 | |||||||||||||||||||||
Seligman Capital | 29,104 | 30,899 | 34,577 | 20,301 | 27,966 | 6,030 | |||||||||||||||||||||
Seligman Growth | 849,762 | 336,636 | 43,178 | 206,238 | 115,283 | 11,948 | |||||||||||||||||||||
(a) | The fund changed its fiscal year end effective Jan. 31, 2008 from May 31 to Jan. 31. For 2008, the information shown is for the period from June 1, 2007 through Jan. 31, 2008. For years prior to 2008, the fiscal period ended on May 31. | |
(b) | For the period from Oct. 18, 2007 (when shares became publicly available) to April 30, 2008. | |
(c) | For the period from Feb. 19, 2009 (when shares became publicly available) to April 30, 2009. | |
(d) | For the period from Aug. 1, 2008 (when shares became publicly available) to Sept. 30, 2008. | |
(e) | For the period from July 15, 2009 (when the Fund became available) to Oct. 31, 2009. | |
(f) | For the period from Aug. 1, 2008 (when shares became publicly available) to Oct. 31, 2008. |
(g) | The fund is new as of Sept. 28, 2010 and has not passed its fiscal period end; therefore no reporting is available. |
Share Class | Distribution Fee | Service Fee | Combined Total | |||
Class A
|
up to 0.25% | up to 0.25% | 0.25%(a) | |||
Class B
|
0.75% | 0.25% | 1.00%(b) | |||
Class C
|
0.75% | 0.25% | 1.00%(a) | |||
Class I
|
None | None | None | |||
Class R (formerly Class R2)
|
up to 0.50% | up to 0.25% | 0.50%(a),(c) | |||
Class R3
|
0.25% | 0.25%(d) | 0.50%(d) | |||
Class R4
|
None | 0.25%(d) | 0.25%(d) | |||
Class R5
|
None | None | None | |||
Class W
|
up to 0.25% | up to 0.25% | 0.25%(a) | |||
Class Z
|
None | None | None | |||
(a) | Fee amounts noted apply to all funds other than Columbia Money Market Fund, which, for each of Class A and Class W shares, pays distribution and service fees of 0.10%, and for Class C shares pays distribution fees of 0.75%. The distributor has voluntarily agreed, effective April 15, 2010, to waive the 12b-1 fees it receives from Class A, Class C, Class R (formerly Class R2) and Class W shares of Columbia Money Market Fund and from Class A, Class C and Class R (formerly Class R2) shares of Columbia Government Money Market Fund. Compensation paid to broker-dealers and other financial intermediaries may be suspended to the extent of the distributors waiver of the 12b-1 fees on these specific share classes of these funds. | |
(b) | Fee amounts noted apply to all funds other than Columbia Money Market Fund, which pays distribution fees of up to 0.75% and service fees of up to 0.10% for a combined total of 0.85%. Effective after the close of business on Sept. 3, 2010, Class B shares will be closed to new and existing investors. | |
(c) | The Legacy RiverSource funds have a distribution and shareholder service plan for Class R shares, which, prior to the close of business on Sept. 3, 2010, were known as Class R2 shares. For Class R shares, the maximum fee under the plan reimbursed for distribution expenses is equal on an annual basis to 0.50% of the average daily net assets of the fund attributable to Class R shares. Of that amount, up to 0.25% may be reimbursed for shareholder service expenses. | |
(d) | The shareholder service fees for Class R3 and Class R4 shares are not paid pursuant to a 12b-1 plan. Under a Plan Administration Services Agreement, the funds Class R3 and Class R4 shares pay for plan administration services, including services such as implementation and conversion services, account set-up and maintenance, reconciliation and account recordkeeping, education services and administration to various plan types, including 529 plans, retirement plans and health savings accounts. |
Fund | Class A | Class B | Class C | Class R* | Class R3 | Class W | ||||||||||||||||||||||||||
For funds with fiscal period ending January 31 | ||||||||||||||||||||||||||||||||
Columbia Income Builder Fund | $ | 471,671 | $ | 273,352 | $ | 105,503 | N/A | N/A | N/A | |||||||||||||||||||||||
Columbia Income Builder Fund II | 843,392 | 386,458 | 146,186 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Income Builder Fund III | 420,462 | 181,976 | 83,149 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Portfolio Builder Aggressive | 906,136 | 651,430 | 196,648 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Portfolio Builder Conservative | 427,544 | 415,794 | 145,696 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate | 2,010,066 | 1,572,878 | 469,838 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive | 1,896,292 | 1,394,436 | 362,267 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative | 744,235 | 615,354 | 206,862 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Portfolio Builder Total Equity | 769,440 | 529,603 | 177,552 | N/A | N/A | N/A | ||||||||||||||||||||||||||
RiverSource S&P 500 Index | 54,437 | (a) | N/A | N/A | N/A | N/A | N/A | |||||||||||||||||||||||||
RiverSource Small Company Index | 781,451 | 482,501 | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||
For funds with fiscal period ending March 31 | ||||||||||||||||||||||||||||||||
Columbia Equity Value | 1,484,672 | 513,603 | 42,567 | $ | 52 | $ | 369 | $ | 8 | |||||||||||||||||||||||
RiverSource Precious Metals and Mining | 303,284 | 137,925 | 31,060 | N/A | N/A | N/A | ||||||||||||||||||||||||||
For funds with fiscal period ending April 30 | ||||||||||||||||||||||||||||||||
Columbia 120/20 Contrarian Equity | 80,959 | 14,686 | 19,355 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Recovery and Infrastructure | 573,841 | 125,316 | 127,106 | 93 | 39 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2010 | 7,863 | N/A | N/A | 18 | 10 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2015 | 12,794 | N/A | N/A | 18 | 10 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2020 | 11,607 | N/A | N/A | 146 | 8 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2025 | 6,809 | N/A | N/A | 97 | 8 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2030 | 10,004 | N/A | N/A | 45 | 13 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2035 | 4,104 | N/A | N/A | 17 | 8 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2040 | 3,831 | N/A | N/A | 50 | 70 | N/A | ||||||||||||||||||||||||||
Columbia Retirement Plus 2045 | 3,364 | N/A | N/A | 18 | 8 | N/A | ||||||||||||||||||||||||||
For funds with fiscal period ending May 31 | ||||||||||||||||||||||||||||||||
Columbia High Yield Bond | 3,126,170 | 1,016,761 | 599,062 | 19,571 | 5,898 | 263,891 | ||||||||||||||||||||||||||
Columbia Multi-Advisor Small Cap Value | 629,566 | 635,056 | 71,205 | 2,666 | 433 | N/A | ||||||||||||||||||||||||||
Columbia U.S. Government Mortgage | 195,150 | 198,412 | 44,904 | N/A | N/A | N/A | ||||||||||||||||||||||||||
RiverSource Partners Fundamental Value | 846,835 | 604,556 | 88,558 | N/A | N/A | N/A | ||||||||||||||||||||||||||
RiverSource Short Duration U.S. Government | 1,289,353 | 810,418 | 242,435 | 11,521 | N/A | 12 | ||||||||||||||||||||||||||
For funds with fiscal period ending June 30 | ||||||||||||||||||||||||||||||||
Columbia Dividend Opportunity | 2,335,959 | 777,706 | 197,105 | 228 | 11 | 10 | ||||||||||||||||||||||||||
RiverSource Real Estate | 128,018 | 64,833 | 11,302 | N/A | N/A | 6 | ||||||||||||||||||||||||||
Fund | Class A | Class B | Class C | Class R* | Class R3 | Class W | ||||||||||||||||||||||||||
For funds with fiscal period ending July 31 | ||||||||||||||||||||||||||||||||
Columbia Floating Rate | $ | 661,379 | $ | 129,749 | $ | 172,291 | N/A | N/A | $ | 11 | ||||||||||||||||||||||
Columbia Income Opportunities | 1,165,157 | 362,360 | 508,953 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Inflation Protected Securities | 676,148 | 221,294 | 156,599 | $ | 5,707 | N/A | 401,982 | |||||||||||||||||||||||||
Columbia Large Core Quantitative | 6,447,567 | 1,947,821 | 209,143 | 9,201 | $ | 14 | 1,372,152 | |||||||||||||||||||||||||
Columbia Limited Duration Credit | 710,400 | 120,305 | 341,535 | N/A | N/A | 12 | ||||||||||||||||||||||||||
Columbia Money Market | 2,064,367 | 421,815 | 29,890 | 5 | N/A | 14,212 | ||||||||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity | 25,573 | 9,144 | 2,729 | N/A | N/A | 265,113 | ||||||||||||||||||||||||||
RiverSource Disciplined Small Cap Value | 19,337 | 2,362 | 1,006 | 17 | 12 | N/A | ||||||||||||||||||||||||||
For funds with fiscal period ending August 31 | ||||||||||||||||||||||||||||||||
Columbia Diversified Bond | 7,117,570 | 1,741,108 | 582,197 | 2,116 | 26 | 1,070,556 | ||||||||||||||||||||||||||
Columbia Marsico Flexible Capital(b) | N/A | N/A | N/A | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Minnesota Tax-Exempt | 779,724 | 88,473 | 163,760 | N/A | N/A | N/A | ||||||||||||||||||||||||||
RiverSource California Tax-Exempt | 379,034 | 25,963 | 31,712 | N/A | N/A | N/A | ||||||||||||||||||||||||||
RiverSource New York Tax-Exempt | 129,187 | 19,927 | 9,978 | N/A | N/A | N/A | ||||||||||||||||||||||||||
For funds with fiscal period ending September 30 | ||||||||||||||||||||||||||||||||
Columbia Diversified Equity Income | 8,830,653 | 3,430,897 | 702,987 | 44,174 | 259,312 | 8 | ||||||||||||||||||||||||||
Columbia Large Growth Quantitative | 787,103 | 33,545 | 16,086 | 40 | 18 | 485,706 | ||||||||||||||||||||||||||
Columbia Large Value Quantitative | 5,320 | 1,145 | 618 | 40 | 18 | 502,813 | ||||||||||||||||||||||||||
Columbia Mid Cap Value Opportunity | 3,437,402 | 1,099,576 | 443,050 | 82,745 | 146,000 | 8 | ||||||||||||||||||||||||||
Columbia Strategic Allocation | 2,558,223 | 996,429 | 415,800 | 19 | 9 | N/A | ||||||||||||||||||||||||||
RiverSource Balanced | 1,378,525 | 162,057 | 93,769 | 233 | N/A | N/A | ||||||||||||||||||||||||||
RiverSource Strategic Income Allocation | 724,359 | 255,741 | 172,238 | 26 | 13 | N/A | ||||||||||||||||||||||||||
Seligman California Municipal High-Yield | 72,075 | N/A | 59,310 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Seligman California Municipal Quality | 91,856 | N/A | 34,022 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Seligman Minnesota Municipal | 165,688 | N/A | 14,346 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Seligman National Municipal | 1,554,737 | N/A | 348,526 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Seligman New York Municipal | 187,241 | N/A | 84,151 | N/A | N/A | N/A | ||||||||||||||||||||||||||
For funds with fiscal period ending October 31 | ||||||||||||||||||||||||||||||||
Columbia Absolute Return Currency and Income | 209,776 | 13,998 | 60,110 | N/A | N/A | 191,732 | ||||||||||||||||||||||||||
Columbia Asia Pacific ex-Japan | 7 | N/A | 2 | 1 | N/A | N/A | ||||||||||||||||||||||||||
Columbia Emerging Markets Bond | 120,941 | 30,560 | 14,021 | N/A | N/A | 265,437 | ||||||||||||||||||||||||||
Columbia Emerging Markets Opportunity | 1,147,121 | 397,712 | 344,726 | 65,971 | N/A | 1 | ||||||||||||||||||||||||||
Columbia European Equity | 160,871 | 53,686 | 12,402 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Frontier | 126,340 | 60,987 | 102,844 | 494 | 15 | N/A | ||||||||||||||||||||||||||
Columbia Global Bond | 613,780 | 256,387 | 61,070 | 16 | 5 | 136,877 | ||||||||||||||||||||||||||
Columbia Global Equity | 949,930 | 300,148 | 101,910 | 186 | 9 | 11 | ||||||||||||||||||||||||||
Columbia Global Extended Alpha | 8,488 | 3,593 | 1,535 | 47 | 19 | N/A | ||||||||||||||||||||||||||
Columbia Multi-Advisor International Value | 1,167,544 | 672,894 | 97,984 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Seligman Global Technology | 938,260 | 225,236 | 751,268 | 36,777 | 12 | N/A | ||||||||||||||||||||||||||
RiverSource Disciplined International Equity | 104,529 | 58,603 | 10,060 | 17 | 7 | 751,071 | ||||||||||||||||||||||||||
RiverSource Partners International Select Growth | 423,438 | 211,131 | 86,673 | 1,088 | N/A | N/A | ||||||||||||||||||||||||||
RiverSource Partners International Small Cap | 129,899 | 46,346 | 131,749 | 4,909 | N/A | N/A | ||||||||||||||||||||||||||
Threadneedle Global Equity Income | 58,854 | 20,679 | 5,806 | 45 | 18 | N/A | ||||||||||||||||||||||||||
Threadneedle International Opportunity | 618,574 | 180,052 | 74,227 | 7,013 | 8 | N/A | ||||||||||||||||||||||||||
For funds with fiscal period ending November 30 | ||||||||||||||||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond | 1,603,257 | 120,722 | 93,036 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Columbia Mid Cap Growth Opportunity | 1,863,136 | 613,235 | 111,766 | 218 | 47 | N/A | ||||||||||||||||||||||||||
RiverSource Intermediate Tax-Exempt | 218,162 | 29,616 | 59,932 | N/A | N/A | N/A | ||||||||||||||||||||||||||
RiverSource Tax-Exempt High Income | 5,542,137 | 312,071 | 168,534 | N/A | N/A | N/A | ||||||||||||||||||||||||||
Fund | Class A | Class B | Class C | Class R* | Class R3 | Class W | ||||||||||||||||||||||||||
For funds with fiscal period ending December 31 | ||||||||||||||||||||||||||||||||
Columbia Government Money Market | $ | 27,456 | $ | 32,268 | $ | 30,841 | $ | 2,423 | N/A | N/A | ||||||||||||||||||||||
Columbia Select Large-Cap Value | 595,416 | 54,039 | 440,051 | 48,853 | $ | 9 | $ | 651 | ||||||||||||||||||||||||
Columbia Select Smaller-Cap Value | 788,513 | 289,567 | 474,722 | 62,026 | 10 | N/A | ||||||||||||||||||||||||||
Columbia Seligman Communications and Information | 6,972,053 | 916,980 | 6,974,792 | 199,405 | 135 | N/A | ||||||||||||||||||||||||||
RiverSource LaSalle Global Real Estate | 9,692 | N/A | 23,916 | 417 | 10 | N/A | ||||||||||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate | 19,545 | 23,071 | 107,351 | 23,700 | 11 | N/A | ||||||||||||||||||||||||||
Seligman Capital | 403,787 | 44,303 | 437,224 | 54,687 | 10 | N/A | ||||||||||||||||||||||||||
Seligman Growth | 3,015,255 | 838,081 | 276,763 | 7,786 | 10 | N/A | ||||||||||||||||||||||||||
*
|
Prior to Sept. 7, 2010, Class R was renamed as Class R2. |
(a)
|
Prior to Sept. 7, 2010, Class A for RiverSource S&P 500 Index Fund was known as Class D. |
(b)
|
The fund is new as of Sept. 28, 2010 and has not passed its fiscal period end; therefore no reporting is available. |
Percentage of |
Percentage of |
|||||||||||||||||||||
Class B |
Class C |
|||||||||||||||||||||
Class B | net assets | Class C | net assets | |||||||||||||||||||
Columbia 120/20 Contrarian Equity Fund | $ | 82,000 | 6.50% | $ | 16,000 | 0.71% | ||||||||||||||||
Columbia Absolute Return Currency and Income Fund | 62,000 | 6.16% | 20,000 | 0.43% | ||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond Fund | 358,000 | 4.63% | 90,000 | 0.86% | ||||||||||||||||||
Columbia Asia Pacific | N/A | 0.00% | N/A | N/A | ||||||||||||||||||
Columbia Diversified Bond Fund | 7,238,000 | 6.40% | 842,000 | 1.35% | ||||||||||||||||||
Columbia Diversified Equity Income Fund | 14,579,000 | 5.83% | 759,000 | 1.12% | ||||||||||||||||||
Columbia Dividend Opportunity Fund | 3,050,000 | 5.22% | 240,000 | 0.89% | ||||||||||||||||||
Columbia Emerging Markets Bond Fund | 101,000 | 2.84% | 67,000 | 1.87% | ||||||||||||||||||
Columbia Emerging Markets Opportunity Fund | 1,019,000 | 2.73% | 1,446,000 | 3.73% | ||||||||||||||||||
Columbia Equity Value Fund | 1,420,000 | 4.59% | 60,000 | 1.30% | ||||||||||||||||||
Columbia European Equity Fund | 164,000 | 4.05% | 21,000 | 1.49% | ||||||||||||||||||
Columbia Floating Rate Fund | 749,000 | 7.53% | 149,000 | 0.66% | ||||||||||||||||||
Columbia Frontier Fund | 26,000 | 0.37% | 1,287,000 | 11.72% | ||||||||||||||||||
Columbia Global Bond Fund | 1,081,000 | 5.84% | 80,000 | 1.30% | ||||||||||||||||||
Columbia Global Equity Fund | 1,263,000 | 5.28% | 1,512,000 | 14.89% | ||||||||||||||||||
Columbia Global Extended Alpha Fund | 35,000 | 11.53% | 1,000 | 0.55% | ||||||||||||||||||
Columbia Government Money Market Fund | 100,000 | 2.59% | 2,890,000 | 19.92% | ||||||||||||||||||
Columbia High Yield Bond Fund | 3,084,000 | 4.53% | 8,899,000 | 12.02% | ||||||||||||||||||
Columbia Income Builder Fund | 1,692,000 | 8.86% | 93,000 | 0.59% | ||||||||||||||||||
Columbia Income Builder Fund II | 2,257,000 | 8.31% | 104,000 | 0.63% | ||||||||||||||||||
Columbia Income Builder Fund III | 1,131,000 | 8.38% | 68,000 | 0.72% | ||||||||||||||||||
Columbia Income Opportunities Fund | 1,493,000 | 4.88% | 206,000 | 0.31% | ||||||||||||||||||
Columbia Inflation Protected Securities Fund | 1,041,000 | 7.13% | 184,000 | 1.06% | ||||||||||||||||||
Columbia Large Core Quantitative Fund | 10,118,000 | 6.53% | 1,330,000 | 5.79% | ||||||||||||||||||
Columbia Large Growth Quantitative Fund | 150,000 | 5.69% | 15,000 | 0.89% | ||||||||||||||||||
Columbia Large Value Quantitative Fund | 7,000 | 3.18% | 1,000 | 0.96% | ||||||||||||||||||
Columbia Limited Duration Credit Fund | 575,000 | 4.82% | 406,000 | 0.76% | ||||||||||||||||||
Columbia Marsico Flexible Capital Fund | N/A | N/A | 1,000 | |||||||||||||||||||
Columbia Mid Cap Growth Opportunity Fund | 1,445,000 | 2.66% | 79,000 | 0.65% | ||||||||||||||||||
Columbia Mid Cap Value Opportunity Fund | 3,915,000 | 4.15% | 280,000 | 0.60% | ||||||||||||||||||
Columbia Minnesota Tax-Exempt fund | 179,000 | 3.18% | 172,000 | 0.81% | ||||||||||||||||||
Columbia Money Market Fund | 5,798,000 | 22.53% | 23,000 | 0.33% | ||||||||||||||||||
Columbia Multi-Advisor International Value Fund | 3,585,000 | 7.40% | 172,000 | 1.87% | ||||||||||||||||||
Columbia Multi-Advisor Small Cap Value Fund | 1,743,000 | 4.95% | 111,000 | 1.38% | ||||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | 2,917,000 | 4.57% | 180,000 | 0.62% | ||||||||||||||||||
Columbia Portfolio Builder Conservative Fund | 2,074,000 | 6.40% | 181,000 | 0.73% | ||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | 6,366,000 | 4.84% | 1,172,000 | 2.08% | ||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | 2,978,000 | 5.68% | 265,000 | 0.81% | ||||||||||||||||||
Columbia Portfolio Builder Moderate Fund | 7,724,000 | 5.12% | 1,423,000 | 1.77% | ||||||||||||||||||
Columbia Portfolio Builder Total Equity Fund | 2,468,000 | 5.06% | 1,380,000 | 4.91% | ||||||||||||||||||
Percentage of |
Percentage of |
|||||||||||||||||||||
Class B |
Class C |
|||||||||||||||||||||
Class B | net assets | Class C | net assets | |||||||||||||||||||
Columbia Recovery and Infrastructure Fund | $ | 309,000 | 1.53% | $ | 101,000 | 0.32% | ||||||||||||||||
Columbia Retirement Plus 2010 Fund | N/A | N/A | 3,000 | 9.21% | ||||||||||||||||||
Columbia Retirement Plus 2015 Fund | N/A | N/A | 17,000 | 130.71% | ||||||||||||||||||
Columbia Retirement Plus 2020 Fund | N/A | N/A | 3,000 | 10.42% | ||||||||||||||||||
Columbia Retirement Plus 2025 Fund | N/A | N/A | 73,000 | 11.33% | ||||||||||||||||||
Columbia Retirement Plus 2030 Fund | N/A | N/A | 3,000 | 10.42% | ||||||||||||||||||
Columbia Retirement Plus 2035 Fund | N/A | N/A | 16,000 | 14.03% | ||||||||||||||||||
Columbia Retirement Plus 2040 Fund | N/A | N/A | | 0.00% | ||||||||||||||||||
Columbia Retirement Plus 2045 Fund | N/A | N/A | 18,000 | 18.12% | ||||||||||||||||||
Columbia Select Large-Cap Value Fund | 94,000 | 1.85% | 2,991,000 | 6.58% | ||||||||||||||||||
Columbia Select Smaller-Cap Value Fund | 684,000 | 2.66% | 2,768,000 | 5.67% | ||||||||||||||||||
Columbia Seligman Communications and Information Fund | 723,000 | 0.82% | 20,474,000 | 2.76% | ||||||||||||||||||
Columbia Seligman Global Technology Fund | 486,000 | 2.47% | 4,612,000 | 5.75% | ||||||||||||||||||
Columbia Strategic Allocation Fund | 5,777,000 | 7.74% | 401,000 | 1.08% | ||||||||||||||||||
Columbia U.S. Government Mortgage Fund | 836,000 | 7.51% | 133,000 | 2.19% | ||||||||||||||||||
RiverSource Balanced Fund | 678,000 | 5.47% | 1,467,000 | 15.85% | ||||||||||||||||||
RiverSource California Tax-Exempt Fund | 70,000 | 3.99% | 32,000 | 0.87% | ||||||||||||||||||
RiverSource Disciplined International Equity Fund | 312,000 | 6.91% | 13,000 | 1.31% | ||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity Fund | 50,000 | 8.07% | 4,000 | 1.69% | ||||||||||||||||||
RiverSource Disciplined Small Cap Value Fund | 15,000 | 11.76% | 2,000 | 1.56% | ||||||||||||||||||
RiverSource Intermediate Tax-Exempt Fund | 103,000 | 5.00% | 54,000 | 0.78% | ||||||||||||||||||
RiverSource LaSalle Global Real Estate Fund | N/A | N/A | 789,000 | 33.76% | ||||||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate Fund | 24,000 | 1.07% | 317,000 | 13.57% | ||||||||||||||||||
RiverSource New York Tax-Exempt Fund | 52,000 | 3.96% | 11,000 | 0.10% | ||||||||||||||||||
RiverSource Partners Fundamental Value Fund | 2,278,000 | 6.49% | 128,000 | 12.23% | ||||||||||||||||||
RiverSource Partners International Select Growth Fund | 901,000 | 5.71% | 1,954,000 | 23.96% | ||||||||||||||||||
RiverSource Partners International Small Cap Fund | 200,000 | 4.34% | 3,000 | 0.04% | ||||||||||||||||||
RiverSource Precious Metals and Mining Fund | 348,000 | 2.75% | 49,000 | 0.21% | ||||||||||||||||||
RiverSource Real Estate Fund | 375,000 | 6.16% | 15,000 | 0.25% | ||||||||||||||||||
RiverSource Short Duration U.S. Government Fund | 3,406,000 | 8.41% | 1,540,000 | 83.35% | ||||||||||||||||||
RiverSource Small Company Index Fund | 1,279,000 | 4.55% | N/A | N/A | ||||||||||||||||||
RiverSource Strategic Income Allocation Fund | 1,161,000 | 5.13% | 119,000 | 0.58% | ||||||||||||||||||
RiverSource Tax-Exempt High Income Fund | 796,000 | 3.87% | 183,000 | 1.00% | ||||||||||||||||||
Seligman California Municipal High-Yield Fund | N/A | N/A | 202,000 | 3.50% | ||||||||||||||||||
Seligman California Municipal Quality Fund | N/A | N/A | 240,000 | 7.81% | ||||||||||||||||||
Seligman Capital Fund | 58,000 | 1.59% | 5,200,000 | 11.71% | ||||||||||||||||||
Seligman Growth Fund | 3,636,000 | 5.17% | 2,099,000 | 7.76% | ||||||||||||||||||
Seligman Minnesota Municipal Fund | N/A | N/A | 93,000 | 5.76% | ||||||||||||||||||
Seligman National Municipal Fund | N/A | N/A | 2,280,000 | 6.94% | ||||||||||||||||||
Seligman New York Municipal Fund | N/A | N/A | 262,000 | 3.11% | ||||||||||||||||||
Threadneedle Global Equity Income Fund | 87,000 | 4.60% | 7,000 | 0.83% | ||||||||||||||||||
Threadneedle International Opportunity Fund | 679,000 | 4.72% | 57,000 | 0.70% | ||||||||||||||||||
| ACS HR Solutions |
| ADP Broker-Dealer, Inc. |
| American Century Investment Management, Inc. and American Century Investment Services, Inc. |
| Ameriprise Financial Services, Inc./American Enterprise Investment Services, Inc. |
| Associated Securities Corp. |
| Benefit Plans Administrative Services, Inc. and Community Bank System, Inc. |
| Boston Financial Data Services, Inc. |
| Charles Schwab Trust Company |
| Charles Schwab and Company, Inc. |
| Citigroup Global Markets Inc. |
| Columbia Management Advisors, LLC and Columbia Management Distributors, Inc. |
| Digital Retirement Solutions, Inc. |
| Expertplan, Inc. |
| Fidelity Brokerage Services/National Financial Services |
| Fidelity Investments Institutional Operations Company/Fidelity Investments Institutional Service Company |
| FTJ Fund Choice, LLC |
| GWFS Equities, Inc. |
| Hartford Life Insurance Company |
| Hartford Securities Distribution Company, Inc. |
| ICMA-RC Services LLC |
| ING Institutional Plan Services, LLC |
| ING Life Insurance and Annuity Company |
| J.P. Morgan Chase Bank, N.A. |
| J.P. Morgan Retirement Plan Services, LLC |
| John Hancock Life Insurance Company |
| John Hancock Life Insurance Company New York |
| Lincoln Retirement Services Company LLC |
| LPL Financial Corporation |
| Massachusetts Mutual Life Insurance Company (Mass Mutual/MML) |
| Mercer HR Services, LLC |
| Merrill Lynch Life Insurance Company |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. |
| Mid Atlantic Capital Corporation |
| Minnesota Life Insurance Company |
| ML Life Insurance Company of New York |
| Morgan Stanley & Co., Inc. |
| MSCS Financial Services, LLC |
| Mutual Service Corporation |
| Nationwide Financial Services, Inc. |
| Newport Retirement Services, Inc. |
| NYLife Distributors LLC |
| Oppenheimer & Co. Inc. |
| Principal Life Insurance Company |
| Prudential Insurance Company of America/Prudential Investments Retirement Services |
| Prudential Investment Management Services LLC/Prudential Investments LLC |
| Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. |
| RBC Capital Markets Corporation |
| Reliance Trust Company |
| The Retirement Plan Company, LLC |
| Securities America, Inc. |
| Standard Retirement Services, Inc. |
| TD Ameritrade Trust Company |
| The Princeton Retirement Group, Inc. and GPC Securities, Inc. |
| UBS Financial Services, Inc. |
| UVest Financial Services Group, Inc. |
| The Vanguard Group, Inc. |
| Vertical Management Systems, Inc. |
| Wachovia Bank NA |
| Waterstone Financial Group, Inc. |
| Wells Fargo Advisors Financial Network, LLC |
| Wells Fargo Bank N.A. |
| Wilmington Trust Company |
| Wilmington Trust Retirement and Institutional Services Company |
Fiscal |
||||||||||||
Date of |
Date Began |
Form of |
State of |
Year |
||||||||
Fund* | Organization | Operations | Organization | Organization | End** | Diversified*** | ||||||
Columbia Funds
Series Trust II(14),(15)
|
1/27/06 | Business Trust | MA | 4/30 | ||||||||
Columbia 120/20 Contrarian Equity Fund
|
10/18/07 | 4/30 | Yes | |||||||||
Columbia Absolute Return Currency and Income Fund
|
6/15/06 | 10/31 | Yes | |||||||||
Columbia AMT-Free Tax-Exempt Bond
Fund(19)
|
11/24/76 | 11/30 | Yes | |||||||||
Columbia Asia Pacific ex-Japan
Fund(19)
|
7/15/09 | 10/31 | Yes | |||||||||
Columbia Diversified Bond
Fund(3)
|
10/3/74 | 8/31 | Yes | |||||||||
Columbia Diversified Equity Income Fund
|
10/15/90 | 9/30 | Yes | |||||||||
Columbia Dividend Opportunity
Fund(8)
|
8/1/88 | 6/30 | Yes | |||||||||
Columbia Emerging Markets Bond Fund
|
2/16/06 | 10/31 | No | |||||||||
Columbia Emerging Markets Opportunity
Fund(5),(11),(19)
|
11/13/96 | 10/31 | Yes | |||||||||
Columbia Equity Value Fund
|
5/14/84 | 3/31 | Yes | |||||||||
Columbia European Equity
Fund(5),(11)
|
6/26/00 | 10/31 | Yes | |||||||||
Columbia Floating Rate Fund
|
2/16/06 | 7/31 | Yes | |||||||||
Columbia Frontier Fund
|
12/10/84 | 10/31 | Yes | |||||||||
Columbia Global Bond Fund
|
3/20/89 | 10/31 | No | |||||||||
Columbia Global Equity
Fund(5),(6),(11)
|
5/29/90 | 10/31 | Yes | |||||||||
Columbia Global Extended Alpha Fund
|
8/1/08 | 10/31 | Yes | |||||||||
Columbia Government Money Market
Fund(17)
|
1/31/77 | 12/31 | Yes | |||||||||
Columbia High Yield Bond
Fund(3)
|
12/8/83 | 5/31 | Yes | |||||||||
Columbia Income Builder
Fund(19)
|
2/16/06 | 1/31(7) | Yes | |||||||||
Columbia Income Opportunities Fund
|
6/19/03 | 7/31 | Yes | |||||||||
Columbia Inflation Protected Securities Fund
|
3/4/04 | 7/31 | No | |||||||||
Fiscal |
||||||||||||
Date of |
Date Began |
Form of |
State of |
Year |
||||||||
Fund* | Organization | Operations | Organization | Organization | End** | Diversified*** | ||||||
Columbia Large Core Quantitative
Fund(4),(19)
|
4/24/03 | 7/31 | Yes | |||||||||
Columbia Large Growth Quantitative
Fund(19)
|
5/17/07 | 9/30 | Yes | |||||||||
Columbia Large Value Quantitative
Fund(19)
|
8/1/08 | 9/30 | Yes | |||||||||
Columbia Limited Duration Credit
Fund(19)
|
6/19/03 | 7/31 | Yes | |||||||||
Columbia Marsico Flexible Capital Fund
|
9/28/10 | 8//31 | No | |||||||||
Columbia Mid Cap Growth Opportunity
Fund(4),(19)
|
6/4/57 | 11/30 | Yes | |||||||||
Columbia Mid Cap Value Opportunity
Fund(19)
|
2/14/02 | 9/30 | Yes | |||||||||
Columbia Minnesota Tax-Exempt Fund
|
8/18/86 | 8/31(10) | No | |||||||||
Columbia Money Market
Fund(19)
|
10/6/75 | 7/31 | Yes | |||||||||
Columbia Multi-Advisor International Value
Fund(11),(19)
|
9/28/01 | 10/31 | Yes | |||||||||
Columbia Multi-Advisor Small Cap Value
Fund(11),(19)
|
6/18/01 | 5/31 | Yes | |||||||||
Columbia Portfolio Builder Aggressive Fund
|
3/4/04 | 1/31 | Yes | |||||||||
Columbia Portfolio Builder Conservative Fund
|
3/4/04 | 1/31 | Yes | |||||||||
Columbia Portfolio Builder Moderate Aggressive Fund
|
3/4/04 | 1/31 | Yes | |||||||||
Columbia Portfolio Builder Moderate Conservative Fund
|
3/4/04 | 1/31 | Yes | |||||||||
Columbia Portfolio Builder Moderate Fund
|
3/4/04 | 1/31 | Yes | |||||||||
Columbia Recovery and Infrastructure Fund
|
2/19/09 | 4/30 | No | |||||||||
Columbia Retirement Plus 2010 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Retirement Plus 2015 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Retirement Plus 2020 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Retirement Plus 2025 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Retirement Plus 2030 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Retirement Plus 2035 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Retirement Plus 2040 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Retirement Plus 2045 Fund
|
5/18/06 | 4/30 | Yes | |||||||||
Columbia Select Large-Cap Value
Fund(19)
|
4/25/97 | 12/31 | Yes | |||||||||
Columbia Select Smaller-Cap Value
Fund(19)
|
4/25/97 | 12/31 | Yes | |||||||||
Columbia Seligman Communications and Information
Fund(19)
|
6/23/83 | 12/31 | Yes | |||||||||
Columbia Seligman Global Technology
Fund(19)
|
5/23/94 | 10/31 | Yes | |||||||||
Columbia Short-Term Cash Fund
|
9/26/06 | 7/31 | Yes | |||||||||
Columbia Strategic Allocation
Fund(4)
|
1/23/85 | 9/30 | Yes | |||||||||
Columbia U.S. Government Mortgage Fund
|
2/14/02 | 5/31 | Yes | |||||||||
RiverSource California Tax-Exempt Trust
|
4/7/86 | Business Trust | MA | 8/31(10) | ||||||||
RiverSource California Tax-Exempt Fund
|
8/18/86 | No | ||||||||||
RiverSource Dimensions Series, Inc.
|
2/20/68, 4/8/86(1) | Corporation | NV/MN | 7/31 | ||||||||
RiverSource Disciplined Small and Mid Cap Equity Fund
|
5/18/06 | Yes | ||||||||||
RiverSource Disciplined Small Cap Value Fund
|
2/16/06 | Yes | ||||||||||
RiverSource Global Series, Inc.
|
10/28/88 | Corporation | MN | 10/31 | ||||||||
Threadneedle Global Equity Income Fund
|
8/1/08 | Yes | ||||||||||
RiverSource Government Income Series, Inc.
|
3/12/85 | Corporation | MN | 5/31 | ||||||||
RiverSource Short Duration U.S. Government
Fund(3)
|
8/19/85 | Yes | ||||||||||
RiverSource Income Series, Inc.
|
2/10/45; 4/8/86(1) | Corporation | NV/MN | 1/31(7) | ||||||||
Columbia Income Builder
Fund II(19)
|
2/16/06 | Yes | ||||||||||
Columbia Income Builder
Fund III(19)
|
2/16/06 | Yes | ||||||||||
RiverSource International Managers Series,
Inc.(2)
|
5/9/01 | Corporation | MN | 10/31 | ||||||||
RiverSource Partners International Select Growth
Fund(11)
|
9/28/01 | 10/31 | Yes | |||||||||
RiverSource Partners International Small Cap
Fund(11)
|
10/3/02 | 10/31 | Yes | |||||||||
Fiscal |
||||||||||||
Date of |
Date Began |
Form of |
State of |
Year |
||||||||
Fund* | Organization | Operations | Organization | Organization | End** | Diversified*** | ||||||
RiverSource International Series,
Inc.(2)
|
7/18/84 | Corporation | MN | 10/31 | ||||||||
RiverSource Disciplined International Equity Fund
|
5/18/06 | Yes | ||||||||||
Threadneedle International Opportunity
Fund(4),(5),(11)
|
11/15/84 | Yes | ||||||||||
RiverSource Investment Series, Inc.
|
1/18/40; 4/8/86(1) | Corporation | NV/MN | 9/30 | ||||||||
RiverSource Balanced
Fund(4)
|
4/16/40 | Yes | ||||||||||
RiverSource Managers Series,
Inc.(2)
|
3/20/01 | Corporation | MN | 5/31 | ||||||||
RiverSource Partners Fundamental Value
Fund(11)
|
6/18/01 | Yes | ||||||||||
RiverSource Market Advantage Series, Inc.
|
8/25/89 | Corporation | MN | 1/31 | ||||||||
Columbia Portfolio Builder Total Equity Fund
|
3/4/04 | Yes | ||||||||||
RiverSource S&P 500 Index Fund
|
10/25/99 | Yes | ||||||||||
RiverSource Small Company Index Fund
|
8/19/96 | Yes | ||||||||||
RiverSource Sector Series, Inc.
|
3/25/88 | Corporation | MN | 6/30 | ||||||||
RiverSource Real Estate Fund
|
3/4/04 | No | ||||||||||
RiverSource Selected Series, Inc.
|
10/5/84 | Corporation | MN | 3/31 | ||||||||
RiverSource Precious Metals and Mining
Fund(9)
|
4/22/85 | 3/31 | No | |||||||||
RiverSource Special Tax-Exempt Series Trust
|
4/7/86 | Business Trust | MA | 8/31(10) | ||||||||
RiverSource New York Tax-Exempt Fund
|
8/18/86 | No | ||||||||||
RiverSource Strategic Allocation Series,
Inc.(2)
|
10/9/84 | Corporation | MN | 9/30 | ||||||||
RiverSource Strategic Income Allocation Fund
|
5/17/07 | Yes | ||||||||||
RiverSource Tax-Exempt Income Series,
Inc.(2)
|
12/21/78; 4/8/86(1) | Corporation | NV/MN | 11/30 | ||||||||
RiverSource Tax-Exempt High Income
Fund(4)
|
5/7/79 | Yes | ||||||||||
RiverSource Tax-Exempt Series, Inc.
|
9/30/76, 4/8/86(1) | Corporation | NV/MN | 11/30 | ||||||||
RiverSource Intermediate Tax-Exempt Fund
|
11/13/96 | Yes | ||||||||||
RiverSource Variable
Series Trust(12)
|
9/11/07 | Business Trust | MA | 12/31 | ||||||||
Disciplined Asset Allocation Portfolios Aggressive
|
5/1/08 | Yes | ||||||||||
Disciplined Asset Allocation Portfolios Conservative
|
5/1/08 | Yes | ||||||||||
Disciplined Asset Allocation Portfolios Moderate
|
5/1/08 | Yes | ||||||||||
Disciplined Asset Allocation Portfolios Moderately
Aggressive
|
5/1/08 | Yes | ||||||||||
Disciplined Asset Allocation Portfolios Moderately
Conservative
|
5/1/08 | Yes | ||||||||||
RiverSource Variable Portfolio Balanced
Fund(4)
|
4/30/86 | Yes | ||||||||||
RiverSource Variable Portfolio Cash Management Fund
|
10/31/81 | Yes | ||||||||||
RiverSource Variable Portfolio Core Equity Fund
|
9/10/04 | Yes | ||||||||||
RiverSource Variable Portfolio Diversified Bond
Fund(3)
|
10/13/81 | Yes | ||||||||||
RiverSource Variable Portfolio Diversified Equity
Income Fund
|
9/15/99 | Yes | ||||||||||
RiverSource Variable Portfolio Dynamic Equity
Fund(5),(16)
|
10/13/81 | Yes | ||||||||||
RiverSource Variable Portfolio Global Bond Fund
|
5/1/96 | No | ||||||||||
RiverSource Variable Portfolio Global Inflation
Protected Securities
Fund(13)
|
9/13/04 | No | ||||||||||
RiverSource Variable Portfolio High Yield Bond
Fund(3)
|
5/1/96 | Yes | ||||||||||
RiverSource Variable Portfolio Income Opportunities
Fund
|
6/1/04 | Yes | ||||||||||
RiverSource Variable Portfolio Mid Cap Growth
Fund(4)
|
5/1/01 | Yes | ||||||||||
RiverSource Variable Portfolio Mid Cap Value Fund
|
5/2/05 | Yes | ||||||||||
RiverSource Variable Portfolio S&P 500 Index
Fund
|
5/1/00 | Yes | ||||||||||
RiverSource Variable Portfolio Short Duration U.S.
Government
Fund(3)
|
9/15/99 | Yes | ||||||||||
Seligman Global Technology Portfolio
|
5/1/96 | Yes | ||||||||||
Seligman Variable Portfolio Growth
Fund(16)
|
9/15/99 | Yes | ||||||||||
Fiscal |
||||||||||||
Date of |
Date Began |
Form of |
State of |
Year |
||||||||
Fund* | Organization | Operations | Organization | Organization | End** | Diversified*** | ||||||
Seligman Variable Portfolio Larger-Cap Value
Fund(16)
|
02/4/04 | Yes | ||||||||||
Seligman Variable Portfolio Smaller-Cap Value
Fund(16)
|
9/15/99 | Yes | ||||||||||
Threadneedle Variable Portfolio Emerging Markets
Fund(4),(5),(11)
|
5/1/00 | Yes | ||||||||||
Threadneedle Variable Portfolio International
Opportunity
Fund(4),(5),(11)
|
1/13/92 | Yes | ||||||||||
Variable Portfolio Aggressive Portfolio
|
4/14/10 | Yes | ||||||||||
Variable Portfolio AllianceBernstein International
Value Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio American Century Diversified Bond
Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio American Century Growth Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Columbia Wanger International
Equities Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Columbia Wanger U.S. Equities Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Conservative Portfolio
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Davis New York Venture
Fund(11),(18)
|
5/1/06 | Yes | ||||||||||
Variable Portfolio Eaton Vance Floating-Rate Income
Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Goldman Sachs Mid Cap Value
Fund(11),(18)
|
2/4/04 | Yes | ||||||||||
Variable Portfolio Invesco International Growth Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio J.P. Morgan Core Bond Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Jennison Mid Cap Growth Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Marsico Growth Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio MFS Value Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Moderate Portfolio
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Moderately Aggressive Portfolio
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Moderately Conservative Portfolio
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Mondrian International Small Cap
Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Morgan Stanley Global Real Estate
Fund
|
4/14/10 | No | ||||||||||
Variable Portfolio NFJ Dividend Value Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Nuveen Winslow Large Cap Growth
Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Partners Small Cap Growth Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Partners Small Cap Value
Fund(11),(18)
|
8/14/01 | Yes | ||||||||||
Variable Portfolio PIMCO Mortgage-Backed Securities
Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Pyramis International Equity Fund
|
4/14/10 | Yes | ||||||||||
Variable Portfolio Wells Fargo Short Duration
Government Fund
|
4/14/10 | Yes | ||||||||||
Seligman Capital Fund, Inc.
|
10/21/68 | 10/9/69 | Corporation | MD | 12/31 | Yes | ||||||
Seligman Growth Fund, Inc.
|
1/26/37 | 4/1/37 | Corporation | MD | 12/31 | Yes | ||||||
Seligman LaSalle Real Estate Fund Series, Inc.
|
5/30/03 | Corporation | MD | 12/31 | ||||||||
RiverSource LaSalle Global Real Estate
Fund(17)
|
12/29/06 | No | ||||||||||
RiverSource LaSalle Monthly Dividend Real Estate
Fund(17)
|
7/16/03 | Yes | ||||||||||
Seligman Municipal Fund Series, Inc.
|
8/8/83 | Corporation | MD | 9/30 | ||||||||
Seligman National Municipal Class
|
12/31/83 | Yes | ||||||||||
Seligman Minnesota Municipal Class
|
12/30/83 | No | ||||||||||
Seligman New York Municipal Class
|
1/3/84 | No | ||||||||||
Seligman Municipal Series Trust
|
7/25/84 | Business Trust | MA | 9/30 | ||||||||
Seligman California Municipal High-Yield Series
|
11/20/84 | No | ||||||||||
Seligman California Municipal Quality Series
|
11/20/84 | No | ||||||||||
Seligman Portfolios, Inc.
|
7/1/87 | Corporation | MD | 12/31 | ||||||||
Fiscal |
||||||||||||
Date of |
Date Began |
Form of |
State of |
Year |
||||||||
Fund* | Organization | Operations | Organization | Organization | End** | Diversified*** | ||||||
Seligman Capital Portfolio
|
6/21/88 | Yes | ||||||||||
Seligman Communications and Information Portfolio
|
10/11/94 | Yes | ||||||||||
Seligman Large-Cap Value Portfolio
|
5/1/98 | Yes | ||||||||||
Seligman Smaller-Cap Value Portfolio
|
5/1/98 | Yes | ||||||||||
*
|
Effective Oct. 1, 2005 American Express Funds changed its name to RiverSource funds and the names Threadneedle and Partners were removed from fund names. Effective Sept. 27, 2010, several of the funds were renamed from RiverSource, Seligman and Threadneedle to Columbia. |
***
|
Unless otherwise noted, each fund within the registrant has the same fiscal year end as that noted for the registrant. |
***
|
If a Non-diversified fund is managed as if it were a diversified fund for a period of three years, its status under the 1940 Act will convert automatically from Non-diversified to diversified. A diversified fund may convert to Non-diversified status only with shareholder approval. |
(1)
|
Date merged into a Minnesota corporation incorporated on April 8, 1986. |
(2)
|
Effective April 21, 2006, AXP Discovery Series, Inc. changed its name to RiverSource Bond Series, Inc.; AXP Fixed Income Series, Inc. changed its name to RiverSource Diversified Income Series, Inc.; AXP Growth Series, Inc. changed its name to RiverSource Large Cap Series, Inc.; AXP High Yield Tax-Exempt Series, Inc. changed its name to RiverSource Tax-Exempt Income Series, Inc.; AXP Managed Series, Inc. changed its name to RiverSource Strategic Allocation Series, Inc.; AXP Partners International Series, Inc. changed its name to RiverSource International Managers Series, Inc.; AXP Partners Series, Inc. changed its name to RiverSource Managers Series, Inc.; and for all other corporations and business trusts, AXP was replaced with RiverSource in the registrant name. |
(3)
|
Effective June 27, 2003, Bond Fund changed its name to Diversified Bond Fund, Federal Income Fund changed its name to Short Duration U.S. Government Fund and Extra Income Fund changed its name to High Yield Bond Fund, Variable Portfolio Bond Fund changed its name to Variable Portfolio Diversified Bond Fund, Variable Portfolio Extra Income Fund changed its name to Variable Portfolio High Yield Bond Fund and Variable Portfolio Federal Income Fund changed its name to Variable Portfolio Short Duration U.S. Government Fund. |
(4)
|
Effective Oct. 1, 2005, Equity Select Fund changed its name to Mid Cap Growth Fund, High Yield Tax-Exempt Fund changed its name to Tax-Exempt High Income Fund, Managed Allocation Fund changed its name to Strategic Allocation Fund, Mutual changed its name to Balanced Fund, Quantitative Large Cap Equity Fund changed its name to Disciplined Equity Fund, and Threadneedle International Fund changed its name to International Opportunity Fund. Variable Portfolio Equity Select Fund changed its name to Variable Portfolio Mid Cap Growth Fund, Variable Portfolio Threadneedle Emerging Markets Fund changed its name to Variable Portfolio Emerging Markets Fund, Variable Portfolio Threadneedle International Fund changed its name to Variable Portfolio International Opportunity Fund, and Variable Portfolio Managed Fund changed its name to Variable Portfolio Balanced Fund. |
(5)
|
Effective July 9, 2004, Emerging Markets Fund changed its name to Threadneedle Emerging Markets Fund, European Equity Fund changed its name to Threadneedle European Equity Fund, Global Equity Fund changed its name to Threadneedle Global Equity Fund, and International Fund changed its name to Threadneedle International Fund, Variable Portfolio Capital Resource Fund changed its name to Variable Portfolio Large Cap Equity Fund, Variable Portfolio Emerging Markets Fund changed its name to Variable Portfolio Threadneedle Emerging Markets Fund and Variable Portfolio International Fund changed its name to Variable Portfolio Threadneedle International Fund. |
(6)
|
Effective Oct. 20, 2003, Global Growth Fund changed its name to Global Equity Fund. |
(7)
|
Effective Jan. 31, 2008, the fiscal year end was changed from May 31 to Jan. 31. |
(8)
|
Effective Feb. 18, 2004, Utilities Fund changed its name to Dividend Opportunity Fund. |
(9)
|
Effective Nov. 1, 2006, Precious Metals Fund changed its name to Precious Metals and Mining Fund. |
(10)
|
Effective April 13, 2006, the fiscal year end was changed from June 30 to Aug. 31. |
(11)
|
Effective March 31, 2008, RiverSource Emerging Markets Fund changed its name to Threadneedle Emerging Markets Fund; RiverSource Global Equity Fund changed its name to Threadneedle Global Equity Fund; RiverSource European Equity Fund changed its name to Threadneedle European Equity Fund; RiverSource International Opportunity Fund changed its name to Threadneedle International Opportunity Fund; RiverSource International Aggressive Growth Fund changed its name to RiverSource Partners International Select Growth Fund; RiverSource International Select Value Fund changed its name to RiverSource Partners International Select Value Fund; RiverSource International Small Cap Fund changed its name to RiverSource Partners International Small Cap Fund; RiverSource Fundamental Value Fund changed its name to RiverSource Partners Fundamental Value Fund; RiverSource Small Cap Value Fund changed its name to RiverSource Partners Small Cap Value Fund; RiverSource Variable Portfolio Fundamental Value Fund changed its name to RiverSource Partners Variable Portfolio Fundamental Value Fund; RiverSource Variable Portfolio Select Value Fund changed its name to RiverSource Partners Variable Portfolio Select Value Fund; and RiverSource Variable Portfolio Small Cap Value Fund changed its name to RiverSource Partners Variable Portfolio Small Cap Value Fund. |
(12)
|
Prior to January 2008, the assets of the funds in RiverSource Variable Series Trust were held by funds organized under six separate Minnesota Corporations. |
(13)
|
Effective June 8, 2005, Variable Portfolio Inflation Protected Securities Fund changed its name to Variable Portfolio Global Inflation Protected Securities Fund. |
(14)
|
Prior to March 7, 2011, Columbia Funds Series Trust II was known as RiverSource Series Trust. Prior to September 11, 2007, RiverSource Series Trust was known as RiverSource Retirement Series Trust. |
(15)
|
Prior to March 7, 2011, the certain of the funds were organized as series under various Minnesota and Maryland corporations. |
(16)
|
Effective May 1, 2009, RiverSource Variable Portfolio Growth Fund changed its name to Seligman Variable Portfolio Growth Fund, RiverSource Variable Portfolio Large Cap Equity Fund changed its name to RiverSource Variable Portfolio Dynamic Equity Fund, RiverSource Variable Portfolio Large Cap Value Fund changed its name to Seligman Variable Portfolio Larger-Cap Value Fund, and RiverSource Variable Portfolio Small Cap Advantage Fund changed its name to Seligman Variable Portfolio Smaller-Cap Value Fund. |
(17)
|
Effective Sept. 25, 2009, Seligman Cash Management Fund, Inc. changed its name to RiverSource Government Money Market Fund, Inc.; Seligman LaSalle Global Real Estate Fund changed its name to RiverSource LaSalle Global Real Estate Fund; and Seligman LaSalle Monthly Dividend Real Estate Fund changed its name to RiverSource LaSalle Monthly Dividend Real Estate Fund. |
(18)
|
Effective May 1, 2010, RiverSource Partners Variable Portfolio Fundamental Value Fund changed its name to Variable Portfolio Davis New York Venture Fund; RiverSource Partners Variable Portfolio Select Value Fund changed its name to Variable Portfolio Goldman Sachs Mid Cap Value Fund; and RiverSource Partners Variable Portfolio Small Cap Value Fund changed its name to Variable Portfolio Partners Small Cap Value Fund. |
(19)
|
Effective Sept. 27, 2010, RiverSource Limited Duration Bond Fund changed its name to Columbia Limited Duration Credit Fund; RiverSource Mid Cap Growth Fund changed its name to Columbia Mid Cap Growth Opportunity Fund; Threadneedle Emerging Markets Fund changed its name to Columbia Emerging Markets Opportunity Fund; RiverSource Income Builder Basic Income Fund changed its name to Columbia Income Builder Fund; RiverSource Income Builder Moderate Income Builder Fund changed its name to Columbia |
Income Builder Fund II; RiverSource Income Builder Enhanced Fund changed its name to Columbia Income Builder Fund III; RiverSource Partners International Select Value Fund changed its name to Columbia Multi-Advisor International Value Fund; Threadneedle Asia Pacific Fund changed its name to Columbia Asia Pacific ex-Japan Fund; RiverSource Disciplined Large Cap Growth Fund changed its name to Columbia Large Growth Quantitative Fund; RiverSource Disciplined Large Cap Value Fund changed its name to Columbia Large Value Quantitative Fund; RiverSource Mid Cap Value Fund changed its name to Columbia Mid Cap Value Opportunity Fund; RiverSource Disciplined Equity Fund changed its name to Columbia Large Core Quantitative Fund; RiverSource Partners Small Cap Value Fund changed its name to Columbia Multi-Advisor Small Cap Value Fund; RiverSource Cash Management Fund changed its name to Columbia Money Market Fund; RiverSource Tax-Exempt Bond Fund changed its name to Columbia AMT-Free Tax-Exempt Bond Fund; Seligman Communications and Information Fund, Inc. changed its name to Columbia Seligman Communications and Information Fund, Inc.; Seligman Global Technology Fund changed its name to Columbia Seligman Global Technology Fund; Seligman Large-Cap Value Fund changed its name to Columbia Select Large-Cap Value Fund; and Seligman Smaller-Cap Value Fund changed its name to Columbia Select Smaller-Cap Value Fund. |
Position held |
Other present
or |
|||||||||||
with funds and |
Principal
occupation |
past
directorships |
Committee |
|||||||||
Name, address, age | length of service | during past five years | (within past 5 years) | memberships | ||||||||
Kathleen Blatz 901 S. Marquette Ave. Minneapolis, MN 55402 Age 56 |
Board member since 1/11/06 | Chief Justice, Minnesota Supreme Court, 1998-2006; Attorney | None | Audit, Board Governance, Compliance, Investment Review | ||||||||
Pamela G. Carlton 901 S. Marquette Ave. Minneapolis, MN 55402 Age 56 |
Board member since 7/11/07 | President, Springboard-Partners in Cross Cultural Leadership (consulting company) | None | Audit, Investment Review | ||||||||
Patricia M. Flynn 901 S. Marquette Ave. Minneapolis, MN 55402 Age 60 |
Board member since 11/1/04 | Trustee Professor of Economics and Management, Bentley University; former Dean, McCallum Graduate School of Business, Bentley University | None | Board Governance, Contracts, Investment Review | ||||||||
Anne P. Jones 901 S. Marquette Ave. Minneapolis, MN 55402 Age 76 |
Board member since 3/1/85 | Attorney and Consultant | None | Audit, Compliance, Executive, Investment Review | ||||||||
Stephen R. Lewis, Jr. 901 S. Marquette Ave. Minneapolis, MN 55402 Age 72 | Chair of the Board since 1/1/07, Board member since 1/1/02 | President Emeritus and Professor of Economics, Carleton College | Valmont Industries, Inc. (manufactures irrigation systems) | Board Governance, Compliance, Contracts, Executive, Investment Review | ||||||||
John F. Maher 901 S. Marquette Ave. Minneapolis, MN 55402 Age 67 |
Board member since 12/10/08 | Retired President and Chief Executive Officer and former Director, Great Western Financial Corporation (financial services), 1986-1997 | None | Audit, Investment Review | ||||||||
Catherine James Paglia 901 S. Marquette Ave. Minneapolis, MN 55402 Age 58 | Board member since 11/1/04 | Director, Enterprise Asset Management, Inc. (private real estate and asset management company) | None | Board Governance, Compliance, Contracts, Executive, Investment Review | ||||||||
Leroy C. Richie 901 S. Marquette Ave. Minneapolis, MN 55402 Age 69 |
Board member since 11/11/08 | Counsel, Lewis & Munday, P.C. since 2004; former Vice President and General Counsel, Automotive Legal Affairs, Chrysler Corporation | Digital Ally, Inc. (digital imaging); Infinity, Inc. (oil and gas exploration and production); OGE Energy Corp. (energy and energy services) | Contracts, Investment Review | ||||||||
Position held |
Other present
or |
|||||||||||
with funds and |
Principal
occupation |
past
directorships |
Committee |
|||||||||
Name, address, age | length of service | during past five years | (within past 5 years) | memberships | ||||||||
Alison Taunton-Rigby 901 S. Marquette Ave. Minneapolis, MN 55402 Age 66 | Board member since 11/13/02 | Chief Executive Officer and Director, RiboNovix, Inc. since 2003 (biotechnology); former President, Aquila Biopharmaceuticals | Idera Pharmaceuticals, Inc. (biotechnology); Healthways, Inc. (health management programs) | Contracts, Executive, Investment Review | ||||||||
Position held |
||||||||||||
with funds and |
Principal
occupation |
Other present or
past directorships |
Committee |
|||||||||
Name, address, age | length of service | during past five years | (within past 5 years) | memberships | ||||||||
William F. Truscott 53600 Ameriprise Financial Center Minneapolis, MN 55474 Age 50 |
Board member since 11/7/01, Vice President since 2002 |
Chairman of the Board, Columbia Management Investment Advisers, LLC (formerly RiverSource Investments, LLC) since May 2010 (previously President, Chairman of the Board and Chief Investment Officer, 2001-April 2010); Senior Vice president, Atlantic Funds, Columbia Funds and Nations Funds since May 2010; Chief Executive Officer, U.S. Asset Management & President Annuities, Ameriprise Financial, Inc. since May 2010 (previously President U.S. Asset Management and Chief Investment Officer, 2005-April 2010 and Senior Vice President Chief Investment Officer, 2001-2005); Director, President and Chief Executive Officer, Ameriprise Certificate Company since 2006; Director, Columbia Management Investment Distributors, Inc. (formerly RiverSource Fund Distributors, Inc.) since May 2010 (previously Chairman of the Board and Chief Executive Officer, 2008-April 2010); Chairman of the Board and Chief Executive Officer, RiverSource Distributors, Inc. since 2006 | None | None | ||||||||
*
|
Interested person (as defined under the 1940 Act) by reason of being an officer, director, security holder and/or employee of the investment manager or Ameriprise Financial. |
Position held |
||||||
with funds and |
Principal
occupation |
|||||
Name, address, age | length of service | during past five years | ||||
J. Kevin Connaughton 225 Franklin Street Boston, MA 02110 Age 46 |
President since 5/1/10 | Senior Vice President and General Manager Mutual Fund Products, Columbia Management Investment Advisers, LLC since May 2010; President, Columbia Funds since 2009 (previously Senior Vice President and Chief Financial Officer, June 2008 - January 2009); President, Atlantic Funds and Nations Funds since 2009; Managing Director of Columbia Management Advisors, LLC, December 2004 - April 2010; Treasurer, Columbia Funds, October 2003 - May 2008; Treasurer, the Liberty Funds, Stein Roe Funds and Liberty All-Star Funds, December 2000 - December 2006 | ||||
Amy K. Johnson 5228 Ameriprise Financial Center Minneapolis, MN 55474 Age 45 |
Vice President since 12/5/06 | Senior Vice President and Chief Operating Officer, Columbia Management Investment Advisers, LLC (formerly RiverSource Investments, LLC) since May 2010 (previously Chief Administrative Officer, 2009 April 2010 and Vice President Asset Management and Trust Company Services, 20062009 and Vice President Operations and Compliance, 2004-2006); Senior Vice President, Columbia Funds, Atlantic Funds and Nations Funds since May 2010 | ||||
Michael G. Clarke 225 Franklin Street Boston, MA 02110 Age 41 |
Treasurer since 1/12/11 | Vice President, Columbia Management Investment Advisers, LLC since May 2010; Managing Director of Fund Administration, Columbia Management Advisors, LLC, from September 2004 to April 2010; senior officer of Columbia Funds and affiliated funds since 2002 | ||||
Scott R. Plummer 5228 Ameriprise Financial Center Minneapolis, MN 55474 Age 51 |
Vice President, General Counsel and Secretary since 12/5/06 |
Vice President, Chief Legal Officer and Assistant Secretary, Columbia Management Investment Advisers, LLC (formerly RiverSource Investments, LLC) since June 2005; Vice President and Lead Chief Counsel Asset Management, Ameriprise Financial, Inc. since May 2010 (previously Vice President and Chief Counsel Asset Management, 2005-April 2010 and Vice President Asset Management Compliance, 2004-2005); Senior Vice President, Secretary and Chief Legal Officer, Atlantic Funds, Columbia Funds and Nations Funds since May 2010; Vice President, Chief Counsel and Assistant Secretary, Columbia Management Investment Distributors, Inc. (formerly RiverSource Fund Distributors, Inc.) since 2008; Vice President, General Counsel and Secretary, Ameriprise Certificate Company since 2005; Chief Counsel, RiverSource Distributors, Inc. since 2006 | ||||
Michael A. Jones 225 Franklin Street Boston, MA 02110 Age 51 |
Vice President since 5/1/10 | Director and President, Columbia Management Investment Advisers, LLC since May 2010; President and Director, Columbia Management Investment Distributors, Inc. since May 2010; Senior Vice President, Atlantic Funds, Columbia Funds and Nations Funds since May 2010; Manager, Chairman, Chief Executive Officer and President, Columbia Management Advisors, LLC, 2007 April 2010; Chief Executive Officer, President and Director, Columbia Management Distributors, Inc., 2006 April 2010; former Co-President and Senior Managing Director, Robeco Investment Management | ||||
Position held |
||||||
with funds and |
Principal
occupation |
|||||
Name, address, age | length of service | during past five years | ||||
Colin Moore 225 Franklin Street Boston, MA 02110 Age 52 |
Vice President since 5/1/10 | Chief Investment Officer, Columbia Management Investment Advisers, LLC since May 2010; Senior Vice President, Atlantic Funds, Columbia Funds and Nations Funds since May 2010; Manager, Managing Director and Chief Investment Officer, Columbia Management Advisors, LLC, 2007- April 2010; Head of Equities, Columbia Management Advisors, LLC, 2002-Sept. 2007 | ||||
Linda Wondrack 225 Franklin Street Boston, MA 02110 Age 46 |
Chief Compliance Officer since 5/1/10 | Vice President and Chief Compliance Officer, Columbia Management Investment Advisers, LLC since May 2010; Chief Compliance Officer, Columbia Funds since 2007; Senior Vice President and Chief Compliance Officer, Atlantic Funds and Nations Funds since 2007; Director (Columbia Management Group, LLC and Investment Product Group Compliance), Bank of America, June 2005 - April 2010 | ||||
Neysa M. Alecu 2934 Ameriprise Financial Center Minneapolis, MN 55474 Age 47 |
Money Laundering Prevention Officer since 11/9/05 and Identity Theft Prevention Officer since 2008 | Anti Money Laundering Officer, Columbia Management Investment Advisers, LLC (formerly RiverSource Investments, LLC) since 2008; Vice President Compliance, Ameriprise Financial, Inc. since 2008; Anti-Money Laundering Officer and Identity Theft Prevention Officer, Columbia Management Investment Distributors, Inc. (formerly RiverSource Fund Distributors, Inc.) since 2008; Anti-Money Laundering Officer, Ameriprise Financial, Inc. since 2005; Compliance Director, Ameriprise Financial, Inc., 2004-2008 | ||||
PROFESSIONAL BACKGROUND 2010 | ||||||||||||||||||||||||
Audit |
||||||||||||||||||||||||
For Profit; |
Non-Profit; |
Committee; |
||||||||||||||||||||||
CIO/CFO; |
Government; |
Legal; |
Financial |
|||||||||||||||||||||
Name | Geographic | CEO/COO | CEO | Investment | Regulatory | Political | Academic | Expert | ||||||||||||||||
Blatz
|
MN | X | X | X | ||||||||||||||||||||
Carlton
|
NY | X | X | X | ||||||||||||||||||||
Flynn
|
MA | X | ||||||||||||||||||||||
Jones
|
MD | X | X | |||||||||||||||||||||
Lewis
|
MN | X | X | |||||||||||||||||||||
Maher
|
CT | X | X | X | ||||||||||||||||||||
Paglia
|
NY | X | X | X | ||||||||||||||||||||
Richie
|
MI | X | X | |||||||||||||||||||||
Taunton-Rigby
|
MA | X | X | X | ||||||||||||||||||||
Board |
Investment |
||||||||||||||||||||
Governance |
Compliance |
Contracts |
Distribution |
Executive |
Review |
Audit |
|||||||||||||||
Fiscal Period | Committee | Committee | Committee | Committee* | Committee | Committee | Committee | ||||||||||||||
For funds with fiscal period ending January 31 | 5 | 5 | 6 | 4 | 2 | 6 | 6 | ||||||||||||||
For funds with fiscal period ending March 31 | 5 | 5 | 6 | 4 | 1 | 5 | 6 | ||||||||||||||
For funds with fiscal period ending April 30 | 5 | 5 | 6 | 3 | 0 | 5 | 6 | ||||||||||||||
For funds with fiscal period ending May 31 | 5 | 5 | 6 | 3 | 0 | 5 | 6 | ||||||||||||||
For funds with fiscal period ending June 30 | 5 | 5 | 6 | 2 | 0 | 5 | 6 | ||||||||||||||
For funds with fiscal period ending July 31 | 5 | 5 | 6 | 2 | 0 | 5 | 6 | ||||||||||||||
For funds with fiscal period ending August 31 | 5 | 5 | 6 | 2 | 0 | 5 | 7 | ||||||||||||||
For funds with fiscal period ending September 30 | 5 | 5 | 6 | 1 | 0 | 5 | 7 | ||||||||||||||
For funds with fiscal period ending October 31 | 5 | 5 | 6 | 1 | 0 | 5 | 7 | ||||||||||||||
For funds with fiscal period ending November 30 | 5 | 5 | 6 | 0 | 0 | 5 | 7 | ||||||||||||||
For funds with fiscal period ending December 31 | 6 | 5 | 6 | 0 | 0 | 5 | 8 | ||||||||||||||
*
|
Effective January 2011, the Distribution Committee was dissolved. |
Aggregate dollar
range |
|||||||
Dollar range
of |
of equity
securities of all |
||||||
equity securities
in |
Funds overseen
by |
||||||
Board Member | Fund | the fund | Board Member | ||||
Kathleen Blatz
|
Columbia Absolute Return Currency and Income Fund | $50,001-$100,000 | Over $100,000 | ||||
Columbia Dividend Opportunity Fund | Over $100,000 | ||||||
Columbia Emerging Markets Bond Fund | Over 100,000 | ||||||
Columbia Emerging Markets Opportunity Fund | $10,001-$50,000 | ||||||
Columbia Energy and Natural Resources Fund | $50,001-$100,000 | ||||||
Columbia Frontier Fund | $50,001-$100,000 | ||||||
Columbia Income Opportunities Fund | $50,001-$100,000 | ||||||
Columbia Multi-Advisor Small Cap Value Fund | $50,001-$100,000 | ||||||
Columbia Seligman Communications and Information Fund | $10,001-$50,000 | ||||||
Columbia Strategic Allocation Fund | Over $100,000 | ||||||
RiverSource LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
RiverSource Precious Metals and Mining Fund | $50,001-$100,000 | ||||||
RiverSource Real Estate Fund | $50,001-$100,000 | ||||||
Seligman National Municipal Fund | $1-$10,000 | ||||||
Threadneedle International Opportunity Fund | Over $100,000 | ||||||
Tri-Continental Corporation | $1-$10,000 | ||||||
Pamela Carlton
|
Columbia Absolute Return Currency and Income Fund | $1-$10,000 | Over $100,000** | ||||
Columbia Diversified Equity Income Fund | $10,001-$50,000 | ||||||
Columbia Emerging Markets Opportunity Fund | $1-$10,000 | ||||||
Columbia Floating Rate Fund* | $50,001-$100,000 | ||||||
Columbia Global Equity Fund | $1-$10,000 | ||||||
Columbia Money Market Fund* | $1-$10,000 | ||||||
RiverSource LaSalle International Real Estate Fund | $1-$10,000 | ||||||
RiverSource Short Duration U.S. Government Fund | $50,001-$100,000 | ||||||
Seligman National Municipal Fund | $1-$10,000 | ||||||
Tri-Continental Corporation | $1-$10,000 | ||||||
Aggregate dollar
range |
|||||||
Dollar range
of |
of equity
securities of all |
||||||
equity securities
in |
Funds overseen
by |
||||||
Board Member | Fund | the fund | Board Member | ||||
Patricia M. Flynn
|
Columbia Money Market Fund* | $10,001-$50,000 | Over $100,000** | ||||
Columbia Portfolio Builder Moderate Aggressive Fund* | $50,001-$100,000 | ||||||
Columbia Seligman Communications and Information Fund* | $50,001-$100,000 | ||||||
Columbia Strategic Allocation Fund* | Over $100,000 | ||||||
RiverSource LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
RiverSource S&P 500 Index Fund* | $50,001-$100,000 | ||||||
Seligman Growth Fund* | $10,001-$50,000 | ||||||
Threadneedle International Opportunity Fund* | $50,001-$100,000 | ||||||
Tri-Continental Corporation | $10,001-$50,000 | ||||||
Anne Jones
|
Columbia Diversified Bond Fund | $10,001-$50,000 | Over $100,000 | ||||
Columbia Diversified Equity Income Fund | $50,001-$100,000 | ||||||
Columbia Global Bond Fund | Over $100,000 | ||||||
Columbia Global Equity Fund | $50,001-$100,000 | ||||||
Columbia High Yield Bond Fund | Over $100,000 | ||||||
Columbia Large Core Quantitative Fund | $50,001-$100,000 | ||||||
Columbia Strategic Allocation Fund | $50,001-$100,000 | ||||||
RiverSource LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
RiverSource Short Duration U.S. Government Fund | Over $100,000 | ||||||
RiverSource Small Company Index Fund | Over $100,000 | ||||||
Seligman Growth Fund | $10,001-$50,000 | ||||||
Seligman National Municipal Fund | $1-$10,000 | ||||||
Tri-Continental Corporation | $1-$10,000 | ||||||
Aggregate dollar
range |
|||||||
Dollar range
of |
of equity
securities of all |
||||||
equity securities
in |
Funds overseen
by |
||||||
Board Member | Fund | the fund | Board Member | ||||
Stephen R. Lewis, Jr.
|
Columbia 120/20 Contrarian Equity Fund | $10,001-$50,000 | Over $100,000** | ||||
Columbia Absolute Return Currency and Income Fund | $10,001-$50,000 | ||||||
Columbia Diversified Bond Fund | $1-$10,000 | ||||||
Columbia Diversified Equity Income Fund | $10,001-$50,000 | ||||||
Columbia Dividend Opportunity Fund | $10,001-$50,000 | ||||||
Columbia Emerging Markets Bond Fund* | $50,001-$100,000 | ||||||
Columbia Emerging Markets Opportunity Fund* | $50,001-$100,000 | ||||||
Columbia Global Bond Fund | $10,001-$50,000 | ||||||
Columbia Income Opportunities Fund* | $50,001-$100,000 | ||||||
Columbia Large Growth Quantitative Fund* | $10,001-$50,000 | ||||||
Columbia Limited Duration Credit Fund* | Over $100,000 | ||||||
Columbia Mid Cap Growth Opportunity Fund | $10,001-$50,000 | ||||||
Columbia Money Market Fund* | $10,001-$50,000 | ||||||
Columbia Select Large-Cap Value Fund* | Over $100,000 | ||||||
Columbia Seligman Communications and Information Fund, Inc.* | Over $100,000 | ||||||
Columbia Strategic Allocation Fund | $10,001-$50,000 | ||||||
RiverSource LaSalle International Real Estate Fund, Inc. | $10,001-$50,000 | ||||||
Threadneedle Global Equity Income Fund | $10,001-$50,000 | ||||||
Threadneedle International Opportunity Fund* | $10,001-$50,000 | ||||||
Tri-Continental Corporation | $1-$10,000 | ||||||
John F. Maher
|
Columbia Money Market Fund* | $10,001-$50,000 | Over $100,000** | ||||
Columbia Seligman Communications and Information Fund, Inc.* | Over $100,000 | ||||||
RiverSource LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
Seligman National Municipal Fund | $10,001-$50,000 | ||||||
Tri-Continental Corporation | $50,001-$100,000 | ||||||
Catherine James Paglia
|
Columbia Floating Rate Fund* | Over $100,000 | Over $100,000** | ||||
Columbia Money Market Fund* | $10,001-$50,000 | ||||||
Columbia Seligman Communications and Information Fund, Inc.* | Over $100,000 | ||||||
RiverSource LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
Tri-Continental Corporation | $1-$10,000 | ||||||
Aggregate dollar
range |
|||||||
Dollar range
of |
of equity
securities of all |
||||||
equity securities
in |
Funds overseen
by |
||||||
Board Member | Fund | the fund | Board Member | ||||
Leroy C. Richie
|
Columbia Diversified Bond Fund | $1-$10,000 | Over $100,000 | ||||
Columbia Emerging Markets Opportunity Fund | $1-$10,000 | ||||||
Columbia Frontier Fund, Inc. | $1-$10,000 | ||||||
Columbia Global Equity Fund | $1-$10,000 | ||||||
Columbia High Yield Bond Fund | $1-$10,000 | ||||||
Columbia Large Core Quantitative Fund | $1-$10,000 | ||||||
Columbia Select Large-Cap Value Fund | $1-$10,000 | ||||||
Columbia Select Smaller-Cap Value Fund | $1-$10,000 | ||||||
Columbia Seligman Communications and Information Fund, Inc. | $1-$10,000 | ||||||
Columbia Seligman Global Technology Fund | $1-$10,000 | ||||||
RiverSource Balanced Fund | $1-$10,000 | ||||||
RiverSource LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
RiverSource Partners International Select Growth Fund | $1-$10,000 | ||||||
RiverSource Partners International Small Cap Fund | $1-$10,000 | ||||||
RiverSource Short Duration U.S. Government Fund | $1-$10,000 | ||||||
Seligman Capital Fund, Inc. | $1-$10,000 | ||||||
Seligman Growth Fund, Inc. | $1-$10,000 | ||||||
Seligman National Municipal Fund | $1-$10,000 | ||||||
Tri-Continental Corporation | $50,001-$100,000 | ||||||
Alison Taunton Rigby
|
Columbia 120/20 Contrarian Equity Fund | $10,001-$50,000 | Over $100,000 | ||||
Columbia Absolute Return Currency and Income Fund | $50,001-$100,000 | ||||||
Columbia Diversified Equity Income Fund | $10,001-$50,000 | ||||||
Columbia Emerging Markets Opportunity Fund | Over $100,000 | ||||||
Columbia Income Builder Fund III | Over $100,000 | ||||||
Columbia Mid Cap Value Opportunity Fund | $50,001-$100,000 | ||||||
Columbia Multi-Advisor Small Cap Value Fund | $50,001-$100,000 | ||||||
Columbia Seligman Communications and Information Fund | $50,001-$100,000 | ||||||
Columbia Strategic Allocation Fund | Over $100,000 | ||||||
RiverSource Partners International Select Growth Fund | Over $100,000 | ||||||
Seligman Growth Fund, Inc. | $50,001-$100,000 | ||||||
Seligman LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
Seligman National Municipal Fund | $1-$10,000 | ||||||
Tri-Continental Corporation | $1-$10,000 | ||||||
Aggregate dollar
range |
|||||||
Dollar range
of |
of equity
securities of all |
||||||
equity securities
in |
Funds overseen
by |
||||||
Board Member | Fund | the fund | Board Member | ||||
William F. Truscott
|
Columbia 120/20 Contrarian Equity Fund | $50,001-$100,000 | Over $100,000 | ||||
Columbia Absolute Return Currency and Income Fund | $10,001-$50,000 | ||||||
Columbia Acorn International Fund | Over $100,000 | ||||||
Columbia Acorn Select Fund | Over $100,000 | ||||||
Columbia Contrarian Core Fund | $50,001-$100,000 | ||||||
Columbia Corporate Income Fund | $10,001-$50,000 | ||||||
Columbia Diversified Bond Fund | $10,001-$50,000 | ||||||
Columbia Diversified Equity Income Fund | $10,001-$50,000 | ||||||
Columbia Dividend Income Fund | $1-$10,000 | ||||||
Columbia Dividend Opportunity Fund | $10,001-$50,000 | ||||||
Columbia Emerging Markets Bond Fund | $1-$10,000 | ||||||
Columbia Emerging Markets Fund | $10,001-$50,000 | ||||||
Columbia Emerging Markets Opportunity Fund | $10,001-$50,000 | ||||||
Columbia Equity Value Fund | $10,001-$50,000 | ||||||
Columbia Global Bond Fund | Over $100,000 | ||||||
Columbia Global Equity Fund | Over $100,000 | ||||||
Columbia High Yield Bond Fund | Over $100,000 | ||||||
Columbia Income Opportunities Fund | $50,001-$100,000 | ||||||
Columbia Large Core Quantitative Fund | Over $100,000 | ||||||
Columbia Large Growth Quantitative Fund | $10,001-$50,000 | ||||||
Columbia Large Value Quantitative Fund | $50,001-$100,000 | ||||||
Columbia Limited Duration Credit Fund | Over $100,000 | ||||||
Columbia Mid Cap Growth Fund | $10,001-$50,000 | ||||||
Columbia Mid Cap Value Opportunity Fund | $50,001-$100,000 | ||||||
Columbia Money Market Fund | $1-$10,000 | ||||||
Columbia Multi-Advisor International Value Fund | $10,001-$50,000 | ||||||
Columbia Portfolio Builder Moderate Aggressive | $50,001-$100,000 | ||||||
Columbia Retirement Plus 2035 Fund | $10,001-$50,000 | ||||||
Columbia Select Large-Cap Growth Fund | $10,001-$50,000 | ||||||
Columbia Select Large-Cap Value Fund | $10,001-$50,000 | ||||||
Columbia Select Smaller-Cap Value Fund | Over $100,000 | ||||||
Columbia Seligman Communications and Information Fund, Inc. | $10,001-$50,000 | ||||||
Columbia Seligman Global Technology Fund | $50,001-$100,000 | ||||||
Columbia Seligman Premium Technology Growth Fund, Inc. | $10,001-$50,000 | ||||||
Columbia Small Cap Core Fund | $10,001-$50,000 | ||||||
Columbia Small Cap Value Fund I | $10,001-$50,000 | ||||||
Columbia Strategic Allocation Fund | Over $100,000 | ||||||
RiverSource Disciplined International Equity Fund | Over $100,000 | ||||||
RiverSource Disciplined Small and Mid Cap Equity Fund | $50,001-$100,000 | ||||||
Aggregate dollar
range |
|||||||
Dollar range
of |
of equity
securities of all |
||||||
equity securities
in |
Funds overseen
by |
||||||
Board Member | Fund | the fund | Board Member | ||||
RiverSource LaSalle International Real Estate Fund, Inc. | $1-$10,000 | ||||||
RiverSource Partners International Select Growth Fund | Over $100,000 | ||||||
RiverSource Strategic Income Allocation Fund | Over $100,000 | ||||||
Seligman Growth Fund | Over $100,000 | ||||||
Seligman National Municipal Fund | $1-$10,000 | ||||||
Tri-Continental Corporation | $10,001-$50,000 | ||||||
*
|
Deferred compensation invested in share equivalents: |
A. Carlton
|
Columbia Floating Rate Fund | $50,001-$100,000 | ||
Columbia Money Market Fund | $1-$10,000 | |||
B. Flynn
|
Columbia Money Market Fund | $10,001-$50,000 | ||
Columbia Portfolio Builder Moderately Aggressive Fund | $50,001-$100,001 | |||
Columbia Seligman Communications and Information Fund, Inc. | $50,001-$100,000 | |||
Columbia Strategic Allocation Fund | $50,001-$100,000 | |||
RiverSource S&P 500 Index Fund | $50,001-$100,000 | |||
Seligman Growth Fund | $10,001-$50,000 | |||
Threadneedle International Opportunity Fund | $50,001-$100,000 | |||
C. Lewis
|
Columbia Emerging Markets Bond Fund | $50,001-$100,000 | ||
Columbia Emerging Markets Opportunity Fund | $10,001-$50,000 | |||
Columbia Income Opportunities Fund | $10,001-$50,000 | |||
Columbia Large Growth Quantitative Fund | $10,001-$50,000 | |||
Columbia Limited Duration Credit Fund | Over $100,000 | |||
Columbia Money Market Fund | $10,001-$50,000 | |||
Columbia Select Large-Cap Value Fund | Over $100,000 | |||
Columbia Seligman Communications and Information Fund, Inc. | $50,001-$100,000 | |||
Threadneedle International Opportunity Fund | $10,001-$50,000 | |||
D. Maher
|
Columbia Money Market Fund | $10,001-$50,000 | ||
Columbia Seligman Communications and Information Fund, Inc. | Over $100,000 | |||
E. Paglia
|
Columbia Floating Rate Fund | Over $100,000 | ||
Columbia Money Market Fund | $10,001-$50,000 | |||
Columbia Seligman Communications and Information Fund, Inc. | Over $100,000 |
**
|
Total includes deferred compensation invested in share equivalents. |
Total Cash
Compensation from |
||||
Board member(a) | Funds Paid to Board member | |||
Kathleen Blatz | $ | 201,227 | ||
Arne H. Carlson(c) | 226,354 | |||
Pamela G. Carlton | 196,227 | |||
Patricia M. Flynn | 210,475 | (b) | ||
Anne P. Jones | 203,727 | |||
Jeffrey Laikind(d) | 189,890 | (b) | ||
Stephen R. Lewis, Jr. | 400,503 | (b) | ||
John F. Maher | 210,000 | (b) | ||
Catherine James Paglia | 203,727 | |||
Leroy Richie | 198,727 | |||
Alison Taunton-Rigby | 198,727 | |||
(a) | Board member compensation is paid by the funds and is comprised of a combination of a base fee and meeting fees, with the exception of the Chair of the Board, who receives a base annual compensation. Payment of compensation is administered by a company providing limited administrative services to the funds and to the Board. Compensation noted in the table does not include amounts paid by Ameriprise Financial to Board members for attendance at Board and committee meetings relating to Ameriprise Financials acquisition of the long-term asset management business of Columbia Management Group, LLC, including certain of its affiliates. The Chair of the Board did not receive any such compensation from Ameriprise Financial. |
(b) | Ms. Flynn, Mr. Laikind, Mr. Lewis and Mr. Maher elected to defer a portion of the total cash compensation payable during the period in the amount of $110,000, $145,938, $86,000 and $210,000, respectively. Amount deferred by fund is set forth in Table 31. Additional information regarding the deferred compensation plan is described below. |
(c) | Mr. Carlson ceased serving as a member of the Board effective Dec. 31, 2010. | |
(d) | Mr. Laikind ceased serving as a member of the Board effective Nov. 11, 2010. |
Aggregate Compensation from Fund | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Taunton- |
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Blatz | Carlson | Carlton(a) | Flynn | Jones | Laikind(b) | Lewis | Maher | Paglia | Richie | Rigby | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending January 31 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Income Builder Fund | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Income Builder Fund II | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Income Builder Fund III | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Aggressive | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Conservative | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Aggressive | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Moderate Conservative | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Portfolio Builder Total Equity | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource S&P 500 Index total | $ | 294 | $ | 303 | $ | 273 | $ | 282 | $ | 295 | $ | 273 | $ | 677 | $ | 265 | $ | 303 | $ | 282 | $ | 282 | |||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 96 | 91 | 0 | 25 | 105 | 265 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Small Company Index total | 928 | 954 | 862 | 887 | 928 | 862 | 2,129 | 834 | 954 | 887 | 887 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 302 | 287 | 0 | 80 | 329 | 834 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending March 31 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Equity Value total | 1,720 | 1,744 | 1,604 | 1,653 | 1,744 | 1,604 | 3,776 | 1,561 | 1,744 | 1,629 | 1,629 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 463 | 595 | 0 | 336 | 618 | 1,561 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Precious Metals and Mining total | 354 | 359 | 330 | 339 | 359 | 330 | 776 | 321 | 358 | 335 | 335 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 96 | 122 | 0 | 68 | 127 | 321 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending April 30 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia 120/20 Contrarian Equity total | 103 | 104 | 97 | 100 | 104 | 97 | 221 | 95 | 104 | 99 | 99 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 24 | 38 | 0 | 29 | 37 | 95 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Recovery and Infrastructure total | 912 | 929 | 869 | 903 | 929 | 869 | 1,880 | 853 | 929 | 886 | 886 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 170 | 366 | 0 | 333 | 326 | 853 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2010 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2015 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2020 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2025 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2030 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2035 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2040 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Retirement Plus 2045 | * | * | * | * | * | * | * | * | * | * | * | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending May 31 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia High Yield Bond total | 4,436 | 4,626 | 4,212 | 4,374 | 4,495 | 4,212 | 9,268 | 4,114 | 4,495 | 4,271 | 4,271 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 890 | 1,720 | 0 | 1,490 | 1,594 | 4,114 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Multi-Advisor Small Cap Value total | 980 | 1,025 | 931 | 968 | 993 | 931 | 2,038 | 907 | 993 | 944 | 945 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 196 | 381 | 0 | 330 | 350 | 907 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Aggregate Compensation from Fund | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Taunton- |
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Blatz | Carlson | Carlton(a) | Flynn | Jones | Laikind(b) | Lewis | Maher | Paglia | Richie | Rigby | ||||||||||||||||||||||||||||||||||||||||||||
Columbia U.S. Government Mortgage total | $ | 664 | $ | 687 | $ | 625 | $ | 643 | $ | 671 | $ | 625 | $ | 1,398 | $ | 604 | $ | 671 | $ | 632 | $ | 631 | |||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 160 | 239 | 0 | 170 | 233 | 604 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Partners Fundamental Value total | 1,495 | 1,556 | 1,417 | 1,469 | 1,514 | 1,417 | 3,115 | 1,378 | 1,514 | 1,436 | 1,436 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 314 | 570 | 0 | 474 | 532 | 1,378 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Short Duration U.S. Government total | 1,779 | 1,847 | 1,684 | 1,742 | 1,801 | 1,684 | 3,725 | 1,636 | 1,801 | 1,705 | 1,705 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 384 | 672 | 0 | 544 | 633 | 1,636 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending June 30 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Dividend Opportunity total | 3,054 | 3,178 | 2,932 | 3,104 | 3,095 | 3,062 | 6,388 | 3,025 | 3,095 | 2,974 | 2,974 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 534 | 1,327 | 0 | 1,329 | 1,167 | 3,025 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Real Estate total | 424 | 444 | 408 | 435 | 430 | 430 | 884 | 427 | 430 | 414 | 414 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 69 | 190 | 0 | 199 | 164 | 427 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending July 31 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Floating Rate total | 1,013 | 1,076 | 972 | 1,032 | 1,027 | 1,017 | 2,116 | 1,011 | 1,027 | 986 | 986 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 151 | 454 | 0 | 490 | 395 | 1,011 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Income Opportunities total | 1,838 | 1,952 | 1,764 | 1,869 | 1,862 | 1,847 | 3,812 | 1,832 | 1,862 | 1,789 | 1,789 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 271 | 826 | 0 | 898 | 714 | 1,832 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Inflation Protected Securities total | 1,632 | 1,733 | 1,566 | 1,658 | 1,653 | 1,639 | 3,404 | 1,625 | 1,653 | 1,588 | 1,588 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 244 | 731 | 0 | 790 | 636 | 1,625 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Large Core Quantitative total | 10,069 | 10,674 | 9,637 | 10,207 | 10,203 | 10,076 | 20,381 | 10,019 | 10,203 | 9,771 | 9,771 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 1,502 | 4,494 | 0 | 4,851 | 3,824 | 10,019 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Limited Duration Credit total | 1,151 | 1,233 | 1,111 | 1,184 | 1,168 | 1,170 | 2,359 | 1,158 | 1,168 | 1,128 | 1,128 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 145 | 539 | 0 | 620 | 453 | 1,158 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Money Market total | 7,280 | 7,694 | 6,974 | 7,354 | 7,370 | 7,272 | 15,303 | 7,219 | 7,370 | 7,063 | 7,063 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 1,162 | 3,195 | 0 | 3,350 | 2,824 | 7,219 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Disciplined Small and Mid Cap Equity total | 340 | 363 | 327 | 348 | 345 | 344 | 706 | 342 | 345 | 331 | 331 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 50 | 154 | 0 | 169 | 133 | 342 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Disciplined Small Cap Value total | 123 | 131 | 119 | 126 | 125 | 125 | 254 | 124 | 125 | 120 | 120 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 17 | 56 | 0 | 62 | 48 | 124 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending August 31 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Diversified Bond total | 10,872 | 11,740 | 10,452 | 11,219 | 11,014 | 11,180 | 21,928 | 11,153 | 11,014 | 10,593 | 10,593 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 1,384 | 5,161 | 0 | 5,973 | 4,319 | 11,153 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Minnesota Tax-Exempt total | 827 | 891 | 794 | 851 | 837 | 847 | 1,665 | 845 | 838 | 804 | 804 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 108 | 389 | 0 | 445 | 326 | 845 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource California Tax-Exempt total | 389 | 417 | 373 | 398 | 394 | 396 | 782 | 395 | 394 | 377 | 377 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 54 | 180 | 0 | 203 | 152 | 395 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource New York Tax-Exempt total | 135 | 145 | 129 | 138 | 136 | 137 | 271 | 137 | 136 | 131 | 131 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 18 | 63 | 0 | 71 | 53 | 137 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Aggregate Compensation from Fund | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Taunton- |
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Blatz | Carlson | Carlton(a) | Flynn | Jones | Laikind(b) | Lewis | Maher | Paglia | Richie | Rigby | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending September 30 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Diversified Equity Income total | $ | 10,932 | $ | 12,190 | $ | 10,623 | $ | 11,419 | $ | 11,084 | $ | 11,344 | $ | 22,170 | $ | 11,356 | $ | 11,083 | $ | 10,775 | $ | 10,775 | |||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 1,074 | 5,407 | 0 | 6,674 | 4,432 | 11,356 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Large Growth Quantitative total | 1,782 | 1,986 | 1,731 | 1,859 | 1,806 | 1,846 | 3,604 | 1,848 | 1,806 | 1,755 | 1,755 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 176 | 878 | 0 | 1,083 | 720 | 1,848 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Large Value Quantitative total | 645 | 718 | 626 | 672 | 654 | 668 | 1,311 | 669 | 654 | 635 | 635 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 66 | 317 | 0 | 387 | 261 | 669 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Mid Cap Value Opportunity total | 5,352 | 6,001 | 5,216 | 5,636 | 5,433 | 5,595 | 10,813 | 5,602 | 5,433 | 5,296 | 5,296 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 477 | 2,703 | 0 | 3,397 | 2,187 | 5,602 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Strategic Allocation total | 2,819 | 3,132 | 2,737 | 2,936 | 2,857 | 2,916 | 5,735 | 2,918 | 2,857 | 2,775 | 2,775 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 289 | 1,382 | 0 | 1,690 | 1,140 | 2,918 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Balanced total | 1,503 | 1,677 | 1,461 | 1,569 | 1,524 | 1,560 | 3,056 | 1,561 | 1,524 | 1,482 | 1,482 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 148 | 743 | 0 | 917 | 611 | 1,561 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Strategic Income Allocation total | 800 | 901 | 779 | 838 | 811 | 835 | 1,625 | 835 | 811 | 790 | 790 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 73 | 401 | 0 | 504 | 328 | 835 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Seligman California Municipal High-Yield total |
83 | 93 | 81 | 87 | 85 | 87 | 170 | 87 | 84 | 82 | 82 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 8 | 41 | 0 | 51 | 34 | 87 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Seligman California Municipal Quality total | 96 | 108 | 94 | 100 | 98 | 100 | 196 | 100 | 98 | 95 | 95 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 9 | 48 | 0 | 59 | 39 | 100 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Seligman Minnesota Municipal total |
162 | 181 | 158 | 169 | 164 | 168 | 330 | 168 | 164 | 159 | 159 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 16 | 80 | 0 | 99 | 66 | 168 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Seligman National Municipal total
|
1,579 | 1,766 | 1,534 | 1,646 | 1,599 | 1,639 | 3,216 | 1,638 | 1,599 | 1,555 | 1,555 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 155 | 780 | 0 | 964 | 642 | 1,638 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Seligman New York Municipal total | 200 | 224 | 194 | 208 | 202 | 208 | 406 | 208 | 202 | 197 | 197 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 19 | 99 | 0 | 123 | 81 | 208 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending October 31 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Absolute Return Currency and Income total | 498 | 553 | 483 | 518 | 504 | 515 | 988 | 515 | 504 | 490 | 490 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 42 | 248 | 0 | 315 | 201 | 515 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Asia Pacific ex-Japan total | 424 | 506 | 419 | 452 | 428 | 456 | 914 | 452 | 429 | 424 | 424 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 14 | 232 | 0 | 325 | 195 | 452 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Emerging Markets Bond total | 605 | 674 | 587 | 630 | 613 | 626 | 1,208 | 626 | 613 | 596 | 596 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 50 | 303 | 0 | 386 | 246 | 625 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Emerging Markets Opportunity total | 1,496 | 1,676 | 1,455 | 1,565 | 1,516 | 1,556 | 2,997 | 1,557 | 1,516 | 1,476 | 1,476 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 117 | 757 | 0 | 973 | 615 | 1,557 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia European Equity total | 172 | 191 | 167 | 179 | 174 | 178 | 343 | 178 | 174 | 169 | 169 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 14 | 86 | 0 | 109 | 70 | 178 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Frontier total | 235 | 273 | 233 | 257 | 239 | 255 | 475 | 255 | 240 | 237 | 237 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 7 | 132 | 0 | 184 | 103 | 255 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Aggregate Compensation from Fund | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Taunton- |
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Blatz | Carlson | Carlton(a) | Flynn | Jones | Laikind(b) | Lewis | Maher | Paglia | Richie | Rigby | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Global Bond total | $ | 1,209 | $ | 1,353 | $ | 1,175 | $ | 1,260 | $ | 1,225 | $ | 1,254 | $ | 2,424 | $ | 1,254 | $ | 1,226 | $ | 1,191 | $ | 1,191 | |||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 99 | 607 | 0 | 775 | 495 | 1,254 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Global Equity total | 1,118 | 1,243 | 1,086 | 1,166 | 1,134 | 1,157 | 2,226 | 1,158 | 1,134 | 1,102 | 1,102 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 93 | 559 | 0 | 710 | 453 | 1,158 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Global Extended Alpha total | 21 | 23 | 20 | 22 | 21 | 21 | 41 | 21 | 21 | 20 | 20 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 1 | 10 | 0 | 14 | 9 | 21 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Multi-Advisor International Value total | 1,761 | 1,953 | 1,708 | 1,832 | 1,786 | 1,817 | 3,500 | 1,819 | 1,786 | 1,733 | 1,733 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 151 | 875 | 0 | 1,106 | 711 | 1,819 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Seligman Global Technology total | 1,215 | 1,361 | 1,183 | 1,274 | 1,232 | 1,266 | 2,434 | 1,267 | 1,231 | 1,200 | 1,200 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 92 | 618 | 0 | 799 | 501 | 1,267 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Disciplined International Equity total | 1,236 | 1,371 | 1,203 | 1,299 | 1,256 | 1,282 | 2,463 | 1,284 | 1,256 | 1,223 | 1,223 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 94 | 627 | 0 | 805 | 504 | 1,284 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Partners International Select Growth total | 953 | 1,061 | 925 | 993 | 966 | 985 | 1,901 | 986 | 966 | 939 | 939 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 79 | 476 | 0 | 605 | 387 | 986 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Partners International Small Cap total | 256 | 294 | 252 | 275 | 260 | 273 | 518 | 273 | 260 | 256 | 256 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 12 | 139 | 0 | 188 | 110 | 273 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Threadneedle Global Equity Income total | 73 | 81 | 71 | 76 | 74 | 76 | 146 | 76 | 74 | 72 | 72 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 6 | 37 | 0 | 48 | 30 | 76 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Threadneedle International Opportunity total | 947 | 1,055 | 920 | 987 | 960 | 980 | 1,890 | 980 | 961 | 933 | 933 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 78 | 474 | 0 | 603 | 385 | 980 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending November 30 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond total | 1,571 | 1,763 | 1,532 | 1,646 | 1,592 | 1,640 | 3,144 | 1,639 | 1,592 | 1,554 | 1,554 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 62 | 828 | 0 | 1,140 | 659 | 1,639 | 126 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Mid Cap Growth Opportunity total |
2,294 | 2,594 | 2,244 | 2,436 | 2,331 | 2,418 | 4,569 | 2,422 | 2,117 | 2,280 | 2,280 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 67 | 1,241 | 0 | 1,732 | 972 | 2,422 | 94 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Intermediate | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Tax-Exempt total | 227 | 255 | 221 | 237 | 230 | 237 | 454 | 240 | 229 | 224 | 224 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 9 | 120 | 0 | 165 | 95 | 240 | 16 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource Tax-Exempt | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
High Income total | 5,366 | 6,024 | 5,235 | 5,625 | 5,438 | 5,602 | 10,741 | 5,599 | 5,438 | 5,307 | 5,307 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 213 | 2,828 | 0 | 3,894 | 2,253 | 5,599 | 427 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
For funds with fiscal period ending December 31 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Columbia Government | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Money Market total | 340 | 384 | 332 | 360 | 345 | 328 | 672 | 357 | 345 | 337 | 337 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 188 | 0 | 253 | 145 | 357 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Select Large-Cap Value total | 808 | 910 | 789 | 851 | 819 | 768 | 1,611 | 848 | 819 | 800 | 800 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 445 | 0 | 591 | 347 | 848 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Select Smaller-Cap Value total | 984 | 1,108 | 962 | 1,041 | 999 | 938 | 1,943 | 1,035 | 998 | 977 | 977 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 544 | 0 | 722 | 419 | 1,035 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Aggregate Compensation from Fund | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Taunton- |
|||||||||||||||||||||||||||||||||||||||||||||||||||||||
Fund | Blatz | Carlson | Carlton(a) | Flynn | Jones | Laikind(b) | Lewis | Maher | Paglia | Richie | Rigby | ||||||||||||||||||||||||||||||||||||||||||||
Columbia Seligman Communications and Information total | $ | 8,560 | $ | 9,580 | $ | 8,342 | $ | 8,981 | $ | 8,680 | $ | 8,127 | $ | 16,999 | $ | 8,936 | $ | 8,680 | $ | 8,462 | $ | 8,462 | |||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 4,681 | 0 | 6,242 | 3,647 | 8,936 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource LaSalle | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Global Real Estate total | 33 | 37 | 32 | 35 | 33 | 31 | 65 | 34 | 33 | 33 | 33 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 18 | 0 | 24 | 14 | 34 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
RiverSource LaSalle Monthly | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
Dividend Real Estate total | 67 | 75 | 66 | 71 | 68 | 64 | 134 | 70 | 68 | 66 | 66 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 37 | 0 | 49 | 29 | 70 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Seligman Capital total | 548 | 613 | 534 | 575 | 555 | 519 | 1,087 | 572 | 555 | 541 | 541 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 300 | 0 | 399 | 233 | 572 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
Seligman Growth total | 3,750 | 4,196 | 3,656 | 3,939 | 3,805 | 3,574 | 7,450 | 3,917 | 3,804 | 3,710 | 3,710 | ||||||||||||||||||||||||||||||||||||||||||||
Amount deferred | 0 | 0 | 0 | 2,053 | 0 | 2,745 | 1,598 | 3,917 | 0 | 0 | 0 | ||||||||||||||||||||||||||||||||||||||||||||
* | The Funds-of-Funds do not pay additional compensation to the Board members for attending meetings. Compensation is paid directly from the affiliated underlying funds in which each Fund-of-Funds invests. | |
(a) | Mr. Carlson ceased serving as a member of the Board effective Dec. 31, 2010. | |
(b) | Mr. Laikind ceased serving as a member of the Board effective Nov. 11, 2010. |
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Funds with fiscal period ending January 31
|
||||||||||||||||||
Columbia Income Builder | Charles Schwab & Co., Inc. (Charles Schwab) | Class A | 24.34% | | ||||||||||||||
Fund | a brokerage firm in San Francisco, CA | |||||||||||||||||
Columbia Management Investment Advisers, LLC | Class R4 | 100.00% | | |||||||||||||||
(Columbia Management), Minneapolis, MN | ||||||||||||||||||
Columbia Income Builder | Charles Schwab | Class A | 30.24% | 26.31% | ||||||||||||||
Fund II | Class R4 | 48.17% | ||||||||||||||||
Columbia Management | Class R4 | 51.83% | | |||||||||||||||
Columbia Income Builder | Charles Schwab | Class A | 30.62% | 26.58% | ||||||||||||||
Fund III | Class R4 | 74.05% | ||||||||||||||||
Columbia Management | Class R4 | 25.95% | | |||||||||||||||
Columbia Portfolio Builder | Wells Fargo Bank NA (Wells Fargo Bank), | Class R4 | 52.43% | | ||||||||||||||
Aggressive | Minneapolis, MN | |||||||||||||||||
Charles Schwab | Class R4 | 30.18% | | |||||||||||||||
GWFS Equities Inc. (GWFS Equities), | Class R4 | 12.50% | | |||||||||||||||
Greenwood Village, CO | ||||||||||||||||||
Columbia Portfolio Builder | Charles Schwab | Class A | 5.32% | | ||||||||||||||
Conservative | Class R4 | 20.85% | ||||||||||||||||
Wells Fargo Bank | Class R4 | 59.72% | | |||||||||||||||
Columbia Management | Class R4 | 13.92% | | |||||||||||||||
GWFS Equities | Class R4 | 5.24% | | |||||||||||||||
Columbia Portfolio Builder | Charles Schwab | Class R4 | 54.79% | | ||||||||||||||
Moderate | Wells Fargo Bank | Class R4 | 32.25% | | ||||||||||||||
MG Trust Company Cust. FBO Becker Tire & | Class R4 | 9.17% | | |||||||||||||||
Treading, Inc., Denver, CO | ||||||||||||||||||
Columbia Portfolio Builder | Charles Schwab | Class R4 | 73.17% | | ||||||||||||||
Moderate Aggressive | Fifth Third Bank TTEE, Cincinnati, OH | Class R4 | 11.66% | | ||||||||||||||
MG Trust Company Cust. FBO Becker Tire & | Class R4 | 7.96% | | |||||||||||||||
Treading, Inc., Denver, CO | ||||||||||||||||||
Wells Fargo Bank | Class R4 | 5.64% | | |||||||||||||||
Columbia Portfolio Builder | Charles Schwab | Class R4 | 57.77% | | ||||||||||||||
Moderate Conservative | Columbia Management | Class R4 | 30.33% | | ||||||||||||||
Wells Fargo Bank | Class R4 | 11.90% | | |||||||||||||||
Columbia Portfolio Builder | Wells Fargo Bank | Class R4 | 52.82% | | ||||||||||||||
Total Equity | Charles Schwab | Class R4 | 43.75% | | ||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource S&P 500 Index | Charles Schwab | Class A | 100.00% | 35.16% | ||||||||||||||
Class Z | 21.47% | |||||||||||||||||
Wachovia Bank NA (Wachovia Bank), | Class Z | 78.44% | 64.76% | |||||||||||||||
Charlotte, NC | ||||||||||||||||||
RiverSource Small Company | Charles Schwab | Class A | 6.24% | | ||||||||||||||
Index | Class R4 | 5.65% | ||||||||||||||||
Wachovia Bank | Class R4 | 80.56% | | |||||||||||||||
Funds with fiscal period ending March 31 | ||||||||||||||||||
Columbia Equity Value | Charles Schwab | Class A | 5.37% | | ||||||||||||||
Columbia Management | Class R | 21.35% | | |||||||||||||||
Class R5 | 100.00% | | ||||||||||||||||
Class W | 100.00% | | ||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 17.81% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 25.96% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.71% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.55% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 17.70% | | |||||||||||||||
MG Trust Company, FBO Alumaline Corp. of America, Denver, CO | Class R | 71.11% | | |||||||||||||||
Frontier Trust Company, FBO Aurora Packing Company 401K, Fargo, ND | Class R | 7.54% | | |||||||||||||||
John Hancock Life Insurance Company, Buffalo, NY | Class R4 | 74.65% | | |||||||||||||||
Wachovia Bank | Class R3 | 96.49% | | |||||||||||||||
Class R4 | 19.20% | | ||||||||||||||||
RiverSource Precious | Charles Schwab | Class A | 12.26% | | ||||||||||||||
Metals and Mining | Class R4 | 57.96% | | |||||||||||||||
Columbia Management | Class I | 100.00% | | |||||||||||||||
Merrill Lynch Pierce Fenner & Smith (MLP Fenner & Smith), Jacksonville, FL | Class C | 13.50% | | |||||||||||||||
Frontier Trust Company, FBO Jacinto Medical Group PA 401K, Fargo, ND | Class R4 | 32.22% | | |||||||||||||||
MG Trust Company, FBO Saddle Butte Operating, Denver, CO | Class R4 | 7.99% | | |||||||||||||||
Funds with fiscal period ending April 30 | ||||||||||||||||||
Columbia 120/20 | Columbia Management | Class I | 100.00% | | ||||||||||||||
Contrarian Equity | Class R5 | 100.00% | ||||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Recovery | Columbia Management | Class R | 24.00% | | ||||||||||||||
and Infrastructure | Class R3 | 100.00% | ||||||||||||||||
Class R5 | 33.12% | |||||||||||||||||
Columbia Portfolio Builder Aggressive | Class I | 17.50% | | |||||||||||||||
Columbia Portfolio Builder Moderate | Class I | 26.33% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive | Class I | 29.60% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative | Class I | 6.80% | | |||||||||||||||
Columbia Portfolio Builder Total Equity | Class I | 17.31% | | |||||||||||||||
Charles Schwab | Class R5 | 66.86% | | |||||||||||||||
Frontier Trust Company FBO Brian P. Sommer | Class R | 75.00% | | |||||||||||||||
American Enterprise Investment Services Inc. (American Enterprise Investment Services), Minneapolis, MN | Class R4 | 29.19% | | |||||||||||||||
NFS LLC FEBO Cisco Systems Inc., Acton, MA | Class R4 | 5.96% | | |||||||||||||||
Columbia Retirement | Columbia Management | Class R | 100.00% | | ||||||||||||||
Plus 2010 | Class R3 | 100.00% | ||||||||||||||||
Class R4 | 100.00% | |||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
Wachovia Bank | Class Z | 100.00% | 63.98% | |||||||||||||||
Columbia Retirement | Columbia Management | Class R | 100.00% | | ||||||||||||||
Plus 2015 | Class R3 | 100.00% | ||||||||||||||||
Class R4 | 100.00% | |||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
Wachovia Bank | Class Z | 100.00% | 76.23% | |||||||||||||||
Columbia Retirement | Columbia Management | Class R3 | 100.00% | | ||||||||||||||
Plus 2020 | Class R4 | 100.00% | ||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
David T. Matthiesen, Littleton, CO | Class A | 8.38% | | |||||||||||||||
MG Trust Company FBO Applied Reliability Engineering, Denver, CO | Class R | 80.49% | | |||||||||||||||
Matrix Capital Bank MSCS (Matrix Capital), Denver, CO | Class R | 14.86% | | |||||||||||||||
Wachovia Bank | Class Z | 100.00% | 75.54% | |||||||||||||||
Columbia Retirement | Columbia Management | Class R | 16.35% | | ||||||||||||||
Plus 2025 | Class R3 | 100.00% | ||||||||||||||||
Class R4 | 100.00% | |||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
Eric Taketa, Wailuku, Hi | Class A | 8.10% | | |||||||||||||||
Anthony D. and Rebecca H. Marken, Lexington, MA | Class A | 5.78% | | |||||||||||||||
Matrix Capital | Class R | 83.64% | | |||||||||||||||
Wachovia Bank | Class Z | 100.00% | 87.25% | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Retirement | Columbia Management | Class R | 31.82% | | ||||||||||||||
Plus 2030 | Class R3 | 100.00% | ||||||||||||||||
Class R4 | 100.00% | |||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
John C. Bukowski, Suffern, NY | Class A | 10.12% | | |||||||||||||||
Steven and Teresa Bockian, Orlando, FL | Class A | 5.89% | | |||||||||||||||
MG Trust Company FBO Applied Reliability Engineering, Denver, CO | Class R | 68.18% | | |||||||||||||||
Wachovia Bank | Class Z | 100.00% | 87.56% | |||||||||||||||
Columbia Retirement | Columbia Management | Class R | 100.00% | | ||||||||||||||
Plus 2035 | Class R3 | 100.00% | ||||||||||||||||
Class R4 | 100.00% | |||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
Gary L. and Karen L. Fournier, Vicksburg, MS | Class A | 7.30% | | |||||||||||||||
Richard and Stefanie A. Nelson, Hot Springs, SD | Class A | 5.23% | | |||||||||||||||
Wachovia Bank | Class Z | 99.87% | 89.55% | |||||||||||||||
Columbia Retirement | Columbia Management | Class R | 32.46% | | ||||||||||||||
Plus 2040 | Class R3 | 100.00% | ||||||||||||||||
Class R4 | 100.00% | |||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
Matrix Capital | Class R | 67.53% | | |||||||||||||||
Wachovia Bank | Class Z | 98.82% | 86.36% | |||||||||||||||
Columbia Retirement | Columbia Management | Class R | 82.98% | | ||||||||||||||
Plus 2045 | Class R3 | 100.00% | ||||||||||||||||
Class R4 | 28.19% | |||||||||||||||||
Class R5 | 100.00% | |||||||||||||||||
MG Trust Company FBO Applied Reliability Engineering, Denver, CO | Class R | 17.02% | | |||||||||||||||
Scottrade Inc. FBO Michael C. Davis, St. Louis, MO | Class R4 | 71.81% | | |||||||||||||||
Wachovia Bank | Class Z | 100.00% | 88.66% | |||||||||||||||
Funds with fiscal period ending May 31 | ||||||||||||||||||
Columbia High Yield Bond | MLP Fenner & Smith | Class C | 14.76% | | ||||||||||||||
Class R | 69.10% | |||||||||||||||||
Columbia Income Builder Fund | Class I | 21.74% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 37.23% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 23.77% | | |||||||||||||||
American Enterprise Investment Services | Class W | 99.99% | | |||||||||||||||
ING Life Insurance and Annuity (ING), Hartford, CT | Class R3 | 89.20% | | |||||||||||||||
Class R4 | 93.78% | |||||||||||||||||
Massachusetts Mutual | Class R3 | 6.29% | | |||||||||||||||
US Bank National Association, Milwaukee, WI | Class R5 | 99.52% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Multi-Advisor Small | Columbia Portfolio Builder Aggressive Fund | Class I | 16.51% | | ||||||||||||||
Cap Value | Columbia Portfolio Builder Moderate Fund | Class I | 30.26% | | ||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 33.96% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 7.68% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 8.91% | | |||||||||||||||
Christa Fischer FBO Photo Systems Inc. 401K, Dexter, MI | Class R | 5.94% | | |||||||||||||||
Robert Guglielmo FBO Grid Electric Inc. 401K. Chester Springs, PA | Class R | 5.16% | | |||||||||||||||
Hartford Life Insurance Company (Hartford Life), | Class R | 84.79% | | |||||||||||||||
Weatogue, CT | Class R3 | 21.70% | ||||||||||||||||
PIMS/Prudential Retirement, Boston, MA | Class R3 | 66.20% | | |||||||||||||||
Reliance Trust Co. FBO VHFA, Atlanta, GA | Class R3 | 7.83% | | |||||||||||||||
VRSCO FBO Pullman Regional Hospital, Houston, TX |
Class R4 | 41.18% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 30.00% | | |||||||||||||||
Edward Dopkin FBO Classic Catering People Inc., Owings Mills, MD | Class R4 | 5.74% | | |||||||||||||||
JP Morgan Chase Bank, Kansas City, MO | Class R5 | 99.94% | | |||||||||||||||
Columbia U.S. Government Mortgage | Columbia Income Builder Fund | Class I | 25.69% | 55.94% | (a) | |||||||||||||
Columbia Income Builder Fund II | Class I | 31.90% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 11.28% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 12.20% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 7.16% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 5.80% | | |||||||||||||||
RiverSource Life Insurance Company, Minneapolis, MN |
Class R4 | 12.12% | | |||||||||||||||
MLP Fenner & Smith | Class C | 5.25% | | |||||||||||||||
Counsel Trust FBO Harvard Mgmt Solutions, Pittsburgh, PA | Class R4 | 30.76% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 30.75% | | |||||||||||||||
Frontier Trust Co. FBO URY & Moskow LLC, Fargo, ND |
Class R4 | 17.70% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource Partners Fundamental Value | Columbia Portfolio Builder Aggressive Fund | Class I | 17.66% | 32.17% | (a) | |||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.20% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.64% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.66% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 17.53% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 83.80% | | |||||||||||||||
Columbia Management | Class R4 | 5.73% | | |||||||||||||||
RiverSource Short Duration | Columbia Management | Class W | 100.00% | | ||||||||||||||
U.S. Government | Columbia Portfolio Builder Conservative Fund | Class I | 43.31% | | ||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 39.88% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 16.80% | | |||||||||||||||
MLP Fenner & Smith | Class R | 79.26% | | |||||||||||||||
Frontier Trust Co. FBO North Alabama Insurance, Fargo, ND | Class R | 7.93% | | |||||||||||||||
Wachovia Bank | Class R4 | 98.92% | | |||||||||||||||
Funds with fiscal period ending June 30 | ||||||||||||||||||
Columbia Dividend | Columbia Management | Class R3 | 100.00% | | ||||||||||||||
Opportunity | Class W | 100.00% | | |||||||||||||||
Columbia Income Builder Fund | Class I | 10.12% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 19.29% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 8.56% | | |||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 10.93% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 16.35% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 18.32% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 10.80% | | |||||||||||||||
MLP Fenner & Smith | Class R | 97.90% | | |||||||||||||||
VRSCO FBO Hamilton Healthcare, Houston, TX | Class R4 | 64.38% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 6.76% | | |||||||||||||||
Securian Financial Services, St. Paul, MN | Class R5 | 38.12% | | |||||||||||||||
Counsel Trust FBO Bennett Tueller Johnson & Deere, Pittsburgh, PA | Class R5 | 15.11% | | |||||||||||||||
TD Ameritrade Trust Co., Denver CO | Class R5 | 13.55% | | |||||||||||||||
Counsel Trust FBO Western Gynecological Clinic, Pittsburgh, PA | Class R5 | 12.04% | | |||||||||||||||
Counsel Trust FBO Utah Woolen Mills Profit Sharing Plan, Pittsburgh, PA | Class R5 | 12.01% | | |||||||||||||||
NFS LLC FEBO Sylvia C San Martin TTEE, St. Augustine, FL | Class R5 | 7.89% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource Real Estate | Columbia Management | Class R4 | 12.42% | 68.41% | (a) | |||||||||||||
Class W | 100.00% | |||||||||||||||||
Columbia Income Builder Fund II | Class I | 13.28% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 10.48% | | |||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 9.81% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 23.04% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 18.72% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 8.24% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 8.21% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 87.58% | | |||||||||||||||
For funds with fiscal period ending July 31 | ||||||||||||||||||
Columbia Floating Rate | Columbia Management | Class R5 | 100.00% | 27.75% | (a) | |||||||||||||
Class W | 100.00% | | ||||||||||||||||
Columbia Income Builder Fund | Class I | 12.28% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 35.22% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 21.95% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 12.95% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 9.21% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.17% | | |||||||||||||||
Charles Schwab | Class A | 6.52% | | |||||||||||||||
MLP Fenner & Smith | Class C | 9.19% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 64.03 | | |||||||||||||||
NFS LLC FEBO American Trust & Svgs, Dubuque, IA | Class R4 | 7.31% | | |||||||||||||||
Columbia Income Opportunities | Columbia Portfolio Builder Aggressive Fund | Class I | 5.58% | | ||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 39.73% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 22.91% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 18.80% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 6.41% | | |||||||||||||||
MLP Fenner & Smith | Class B | 6.32% | | |||||||||||||||
Class C | 8.83% | | ||||||||||||||||
Morgan Stanley Smith Barney, Jersey City, NJ | Class C | 7.78% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 12.78% | | |||||||||||||||
GWFS Equities | Class R4 | 84.82% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Inflation Protected Securities | RiverSource Life Insurance Company, Minneapolis, MN | Class R4 | 13.62% | 31.95% | (a) | |||||||||||||
Columbia Income Builder Fund | Class I | 9.81% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 9.74% | | |||||||||||||||
Columbia Portfolio Builder Conservative Fund | Class I | 10.06% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 28.92% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 16.65% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 13.74% | | |||||||||||||||
Citigroup Global Markets, Owings Mills, MD | Class C | 15.08% | | |||||||||||||||
MLP Fenner & Smith | Class C | 9.31% | | |||||||||||||||
Class R | 64.40% | | ||||||||||||||||
Frontier Trust Co. FBO Moen 401K, Fargo, ND | Class R | 5.97% | | |||||||||||||||
Frontier Trust Co. FBO B & L Corp. 401K, Fargo, ND | Class R | 5.91% | | |||||||||||||||
Frontier Trust Co. FBO C. Anthony Phillips Accountancy, Fargo, ND | Class R | 5.91% | | |||||||||||||||
Matrix Capital Bank MSCS, Denver, Co | Class R4 | 68.92% | | |||||||||||||||
RiverSource Life Insurance Co. | Class R4 | 7.21% | | |||||||||||||||
American Enterprise Investment Services Inc. | Class W | 99.96% | | |||||||||||||||
Columbia Large Core | Columbia Management | Class R | 100.00% | | ||||||||||||||
Quantitative | ||||||||||||||||||
Disciplined Asset Allocation Moderate Fund | Class I | 6.94% | | |||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 10.92% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 16.57% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 18.58% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 10.77% | | |||||||||||||||
American Enterprise Investment Services | Class W | 99.99% | | |||||||||||||||
MLP Fenner & Smith | Class C | 9.73% | | |||||||||||||||
Class R | 78.57% | | ||||||||||||||||
Wachovia Bank | Class R4 | 95.66% | | |||||||||||||||
Class R5 | 99.91% | | ||||||||||||||||
Columbia Limited Duration Credit | Columbia Management | Class W | 100.00% | | ||||||||||||||
Columbia Portfolio Builder Conservative Fund | Class I | 38.30% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 13.20% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 7.60% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 35.57% | | |||||||||||||||
MLP Fenner & Smith | Class C | 9.58% | | |||||||||||||||
American Enterprise Investment Services Inc. | Class R4 | 85.91% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Money Market | Columbia Management | Class R | 100.00% | | ||||||||||||||
Columbia Income Builder Fund | Class I | 35.70% | | |||||||||||||||
Columbia Portfolio Builder Conservative Fund | Class I | 52.27% | | |||||||||||||||
Columbia Management | Class B | 6.67% | | |||||||||||||||
Columbia Management | Class C | 28.62% | | |||||||||||||||
Frontier Trust Co. FBO Mythics, Inc. 401K, Fargo, ND | Class R5 | 54.23% | | |||||||||||||||
Frontier Trust Co. FBO Greatmats.com Corp., Fargo, ND | Class R5 | 30.29% | | |||||||||||||||
Counsel Trust DBA MATC FBO Harvard Management Solutions 401K, Pittsburgh, PA | Class R5 | 5.67% | | |||||||||||||||
American Enterprise Investment Services | Class W | 99.99% | | |||||||||||||||
Wachovia Bank | Class Y | 99.67% | | |||||||||||||||
Columbia Management | Class Z | 99.97% | | |||||||||||||||
RiverSource Disciplined | Columbia Management | Class R4 | 82.91% | | ||||||||||||||
Small and Mid Cap Equity | ||||||||||||||||||
Disciplined Asset Allocation Aggressive Fund | Class I | 7.82% | | |||||||||||||||
Disciplined Asset Allocation Moderate Fund | Class I | 22.13% | | |||||||||||||||
Disciplined Asset Allocation Moderately Aggressive Fund | Class I | 16.28% | | |||||||||||||||
Disciplined Asset Allocation Moderately Conservative Fund | Class I | 8.42% | | |||||||||||||||
Columbia Retirement Plus Fund 2020 | Class I | 5.77% | | |||||||||||||||
Columbia Retirement Plus Fund 2025 | Class I | 7.60% | | |||||||||||||||
Columbia Retirement Plus Fund 2030 | Class I | 7.31% | | |||||||||||||||
Columbia Retirement Plus Fund 2035 | Class I | 5.60% | | |||||||||||||||
Brian C. Burghardt, Glendale, WI | Class B | 6.39% | | |||||||||||||||
Louiselle A. Pilegi, Agawam,MA | Class B | 6.21% | | |||||||||||||||
Jennifer Woolbright, Reston, VA | Class C | 14.29% | | |||||||||||||||
Carl L. and Vicki L. Ulepich, Frontenac, KS | Class C | 10.98% | | |||||||||||||||
Patrick J. and Edilia I. Powers, Forest Park, IL | Class C | 9.95% | | |||||||||||||||
Mary Caroline Walsh Murguia, San Antonio, TX | Class C | 7.45% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 17.09% | | |||||||||||||||
Class W | 99.99% | | ||||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource Disciplined | Columbia Management | Class B | 6.09% | 91.93% | (a) | |||||||||||||
Small Cap Value | Class C | 6.42% | ||||||||||||||||
Class R | 100.00% | |||||||||||||||||
Class R3 | 67.31% | |||||||||||||||||
Columbia Income Builder Fund | Class I | 29.39% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 46.90% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 23.69% | | |||||||||||||||
Eric B. and Lucilla Henderson, Lake Jackson, TX | Class B | 9.49% | | |||||||||||||||
Doris M. Tole, Pittsburgh, PA | Class B | 9.21% | | |||||||||||||||
Kenneth E. Farnen, Homer, AK | Class B | 9.01% | | |||||||||||||||
Marilyn A. and Gary F. Consorto, Vonore, TN | Class B | 6.13% | | |||||||||||||||
Donald R. Chmielewski, Isle, MN | Class B | 5.65% | | |||||||||||||||
Morgan Stanley Smith Barney, Jersey City, NJ | Class C | 20.08% | | |||||||||||||||
Sanford A. Greentree, Westlake Vlg, CA | Class C | 19.83% | | |||||||||||||||
Jill Thompson, Moundsview, MN | Class C | 9.29% | | |||||||||||||||
Bea Vande Merwe, Salt Lake City, UT | Class C | 9.07% | | |||||||||||||||
Timothy E. Releford, New York, NY | Class C | 8.66% | | |||||||||||||||
Richard T. Castiano, Fort Myers, FL | Class C | 7.81% | | |||||||||||||||
MG Trust Company, Denver, CO | Class R3 | 32.69% | | |||||||||||||||
Funds with fiscal period ending August 31 | ||||||||||||||||||
Columbia Diversified Bond | Columbia Management | Class R3 | 93.14% | | ||||||||||||||
Class W | 100.00% | |||||||||||||||||
American Enterprise Investment Services | Class W | 99.99% | | |||||||||||||||
Citigroup Global Markets, Owings Mills, MD | Class C | 29.63% | | |||||||||||||||
MLP Fenner & Smith | Class C | 15.31% | | |||||||||||||||
Class R | 52.20% | | ||||||||||||||||
Columbia Portfolio Builder Conservative Fund | Class I | 6.41% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 34.21% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 20.02% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 10.17% | | |||||||||||||||
MG Trust Company, Denver, CO | Class R | 15.70% | | |||||||||||||||
Frontier Trust Co. FBO Thomas J. King, Fargo, ND | Class R | 12.89% | | |||||||||||||||
Wachovia Bank | Class R4 | 99.08% | | |||||||||||||||
Patricks Plain,Easton, MD | Class R5 | 55.69% | | |||||||||||||||
American Enterprise Investment Services | Class R5 | 39.90% | | |||||||||||||||
Columbia Minnesota Tax-Exempt |
Leonard and Marion Hoppe, Graceville, MN | Class B | 6.59% | | ||||||||||||||
Richard J. and Mary H. Hill, St. Louis Park, MN | Class B | 6.41% | | |||||||||||||||
Lois Drontle, Eden Prairie, MN | Class B | 5.20% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource California Tax-Exempt |
First Clearing, LLC, Moss Family Trust, Descan SO, CA | Class A | 11.83% | | ||||||||||||||
ETrade Clearing LLC, Merrifield, VA | Class A | 7.41% | | |||||||||||||||
Sara L. Oswald, San Diego, CA | Class A | 6.29% | | |||||||||||||||
Kathleen Scopaz, San Clemente, CA | Class B | 17.51% | | |||||||||||||||
Angelo Bomio, Salinas, CA | Class B | 12.52% | | |||||||||||||||
Gerald L. and JoAnne Karels, Tulare, CA | Class B | 8.89% | | |||||||||||||||
Columbia Management | Class B | 8.69% | | |||||||||||||||
Miriam A. and Myrin C. Wilcox, Porterville, CA | Class B | 6.15% | | |||||||||||||||
Brian W. Robins, San Diego, CA | Class B | 5.17% | | |||||||||||||||
American Enterprise Investment Services | Class C | 26.91% | ||||||||||||||||
MLP Fenner & Smith | Class C | 5.96% | ||||||||||||||||
RiverSource New York | Jeffrey B. Seller, New York, NY | Class A | 7.67% | | ||||||||||||||
Tax-Exempt
|
American Enterprise Investment Service | Class A | 6.28% | | ||||||||||||||
MLP Fenner & Smith | Class B | 25.97% | | |||||||||||||||
Edward Ebler, Babylon, NY | Class B | 15.14% | | |||||||||||||||
Sharon Ganz, Forest Hills, NY | Class B | 12.89% | | |||||||||||||||
Vincent J. Solimine, Glen Cove, NY | Class B | 7.80% | | |||||||||||||||
Richard Clark, Somers, NY | Class B | 5.11% | | |||||||||||||||
Thomas W. and Susan M. Noonan, Clifton Park, Ny | Class C | 43.74% | | |||||||||||||||
Ena S. Ryan, Brooklyn, NY | Class C | 22.49% | | |||||||||||||||
Frederic I. Nelson, Oceanside, NY | Class C | 16.15% | | |||||||||||||||
Ottoviano Asarese, Buffalo, NY | Class C | 15.07% | | |||||||||||||||
Joseph P. and Cynthia A. Dowd, Wynantskill, NY | Class C | 14.46% | | |||||||||||||||
James H. Sisung, Staatsburg, NY | Class C | 13.47% | | |||||||||||||||
James R. And Kelly S. Betters, Leroy, NY | Class C | 12.01% | | |||||||||||||||
Arthur E. and Gertrude Kranz, S. Farmingdale, NY | Class C | 11.76% | | |||||||||||||||
Christopher Paul Pellegrini, Rye, NY | Class C | 11.58% | | |||||||||||||||
First Clearing LLC, St. Louis, MO | Class C | 11.17% | | |||||||||||||||
Melinda and James Coates, Rego Park, NY | Class C | 10.19% | | |||||||||||||||
Lauren M. Trotta, New York, NY | Class C | 10.02% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Funds with fiscal period ending September 30 | ||||||||||||||||||
Columbia Diversified Equity | Columbia Management | Class W | 100.00% | | ||||||||||||||
Income | Class Z | 12.25% | ||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 17.43% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.92% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.43% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.85% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.94% | | |||||||||||||||
Hartford Life | Class R | 52.88% | | |||||||||||||||
Hartford Securities Distribution Company Inc., Hartford, CT | Class R | 14.58% | | |||||||||||||||
GWFS Equities | Class R | 11.46 | | |||||||||||||||
Class R3 | 74.33% | | ||||||||||||||||
Class R5 | 10.29% | | ||||||||||||||||
Wachovia Bank | Class R | 14.96% | | |||||||||||||||
Class R3 | 8.12% | | ||||||||||||||||
Class R4 | 28.86% | | ||||||||||||||||
Class R5 | 28.95% | | ||||||||||||||||
Tomorrows Scholar, Milwaukee, WI | Class R4 | 12.16% | | |||||||||||||||
American Century Investments, Kansas City, MO | Class R4 | 6.47% | | |||||||||||||||
ING | Class R4 | 13.39% | | |||||||||||||||
Class R5 | 33.41% | | ||||||||||||||||
Ameriprise Trust Company | Class R5 | 8.09% | | |||||||||||||||
Taynik & Co., Boston, MA | Class R5 | 7.37% | | |||||||||||||||
Mercer Trust Company FBO Johnson Outdoors Inc., Norwood, MA | Class R5 | 7.26% | | |||||||||||||||
Suchetha M. Prabhu, Essex Jct, VT | Class Z | 87.75% | | |||||||||||||||
Columbia Large Growth | Columbia Management | Class R | 100.00% | 30.62%(a | ) | |||||||||||||
Quantitative | Class R4 | 100.00% | ||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 13.78% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 21.24% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 23.27% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 5.42% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 13.39% | | |||||||||||||||
MLP Fenner & Smith | Class C | 48.20% | | |||||||||||||||
American Enterprise Investment Services Inc. | Class W | 99.98% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Large Value | Columbia Management | Class C | 8.02% | 42.46%(a | ) | |||||||||||||
Quantitative | Class R | 100.00% | ||||||||||||||||
Class R4 | 55.13% | |||||||||||||||||
Class Z | 100.00% | |||||||||||||||||
SSB and Trust Co., Boston, MA | Class I | 45.24% | | |||||||||||||||
Columbia Income Builder Fund | Class I | 7.88% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 8.62% | | |||||||||||||||
RiverSource Disciplined Asset Allocation Portfolio Moderate | Class I | 8.25% | | |||||||||||||||
RiverSource Disciplined Asset Allocation Portfolio Moderately Aggressive | Class I | 5.74% | | |||||||||||||||
American Enterprise Investment Services Inc. | Class W | 99.98% | | |||||||||||||||
Jay Hunter and Mary Sue Hyer, Winter Haven, FL | Class A | 5.77% | | |||||||||||||||
James Spirito, Hillsdale, NJ | Class B | 14.43 | | |||||||||||||||
Theresa Strassburger, Albuquerque, NM | Class B | 9.89% | | |||||||||||||||
Richard W. and Robin O. Wagner, Oakland Park, IL | Class B | 9.28% | | |||||||||||||||
Kevin Heniff, Mokena, IL | Class B | 9.05% | | |||||||||||||||
Carolynn C. Heine, Crete, IL | Class B | 6.77% | | |||||||||||||||
Tristan Hotaling, Black Hawk, CO | Class C | 20.37% | | |||||||||||||||
Pershing LLC, Jersey City, NJ | Class C | 19.10% | | |||||||||||||||
Ramona A. Scarth Family Trust, Henderson, NV | Class C | 8.02% | | |||||||||||||||
Columbia Mid Cap Value | Columbia Management | Class W | 100.00% | | ||||||||||||||
Opportunity | Class Z | 10.03% | ||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 17.42% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.90% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.45% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.85% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.95% | | |||||||||||||||
MLP Fenner & Smith | Class C | 19.32% | | |||||||||||||||
Hartford Life | Class R | 78.27% | | |||||||||||||||
Class R3 | 14.89% | | ||||||||||||||||
State Street Bank Cust FBO ADP Access, Boston, MA | Class R3 | 8.40% | | |||||||||||||||
Wells Fargo Bank | Class R3 | 5.98% | | |||||||||||||||
GWFS Equities | Class R3 | 43.17% | | |||||||||||||||
Wachovia Bank | Class R4 | 17.63% | | |||||||||||||||
ING | Class R4 | 17.69% | | |||||||||||||||
Class R5 | 13.59% | | ||||||||||||||||
John Hancock Life Insurance Company, Buffalo, NY | Class R4 | 21.93% | | |||||||||||||||
NFS LLC FEBO 401K Finops IC Funds, Covington, KY | Class R4 | 24.49% | | |||||||||||||||
Wells Fargo Bank | Class R5 | 9.94% | | |||||||||||||||
Standard Insurance Co. | Class R5 | 8.19% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
State Street Bank & Trust IRA Mary L. Kloser, Seeley Lake, MT |
Class Z | 89.97% | | |||||||||||||||
Columbia Strategic Allocation | Columbia Management | Class I | 100.00% | | ||||||||||||||
Class R | 100.00% | |||||||||||||||||
Class Z | 100.00% | |||||||||||||||||
American Enterprise Investment Services Inc. | Class R4 | 70.28% | | |||||||||||||||
RiverSource Balanced | Columbia Management | Class R | 6.71% | | ||||||||||||||
Class R5 | 28.03% | |||||||||||||||||
MLP Fenner & Smith | Class C | 7.45% | | |||||||||||||||
Class R | 77.01% | |||||||||||||||||
Citigroup Global Markets | Class C | 5.89% | | |||||||||||||||
Frontier Trust Company FBO, B & L Corp. 401K, Fargo, ND | Class R | 16.28% | | |||||||||||||||
Wachovia Bank | Class R4 | 100.00% | | |||||||||||||||
American Enterprise Investment Services Inc. | Class R5 | 67.64% | | |||||||||||||||
RiverSource Strategic Income | Columbia Management | Class R | 100.00% | | ||||||||||||||
Allocation Fund | ||||||||||||||||||
Patricks Plain | Class R5 | 97.99% | | |||||||||||||||
American Enterprise Investment Services Inc. | Class R4 | 81.72% | | |||||||||||||||
Seligman California Municipal | Citigroup Global Markets | Class A | 6.05% | | ||||||||||||||
High Yield Series | Class C | 11.51% | ||||||||||||||||
MLP Fenner & Smith | Class A | 6.23% | | |||||||||||||||
Class C | 19.15% | |||||||||||||||||
Morgan Stanley & Co. (Morgan Stanley), Jersey City, NJ |
Class A Class C |
5.38% 15.24% |
| |||||||||||||||
Christopher Ranch LLC, Gilroy, CA | Class C | 11.14% | | |||||||||||||||
Seligman California Municipal | MLP Fenner & Smith | Class C | 67.74% | | ||||||||||||||
Quality Series | ||||||||||||||||||
Citigroup | Class C | 5.52% | | |||||||||||||||
Morgan Stanley | Class A | 11.49% | | |||||||||||||||
First Clearing LLC Alice Ogden Trust, Calle Real, CA | Class A | 5.13% | | |||||||||||||||
Seligman Minnesota Municipal | Edward D. Jones & Co., Maryland H&S, MO | Class A | 17.62% | | ||||||||||||||
MLP Fenner & Smith | Class C | 10.33% | | |||||||||||||||
Citigroup | Class C | 5.29% | | |||||||||||||||
UBS Financial Services Inc. FBO Ethelyn C. Engel, Cold Spring, MN | Class C | 7.40% | | |||||||||||||||
Anne E. Brass, Anoka, MN | Class C | 6.72% | | |||||||||||||||
Seligman National Municipal | Citigroup Global Markets | Class A | 6.40% | | ||||||||||||||
Class C | 12.95% | |||||||||||||||||
MLP Fenner & Smith | Class A | 8.51% | | |||||||||||||||
Edward D. Jones & Co. Maryland H&S, MO | Class C | 6.30% | | |||||||||||||||
Seligman New York Municipal | Citigroup Global Markets | Class C | 5.97% | | ||||||||||||||
MLP Fenner & Smith | Class C | 22.86% | | |||||||||||||||
RBC Capital Markets Corp. FBO James Grunebaum, Buffalo, NY | Class C | 6.64% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Funds with fiscal period ending October 31 | ||||||||||||||||||
Columbia Absolute Return Currency and Income | Columbia Management | Class Z | 5.08% | | ||||||||||||||
RiverSource Disciplined Asset Allocation Conservative Fund | Class I | 9.22% | | |||||||||||||||
RiverSource Disciplined Asset Allocation Moderate Fund | Class I | 9.03% | | |||||||||||||||
RiverSource Disciplined Asset Allocation Moderately Conservative Fund | Class I | 6.63% | | |||||||||||||||
Columbia Income Builder Fund | Class I | 26.68% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 9.60% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 32.54% | | |||||||||||||||
American Enterprise | Class W | 99.98% | | |||||||||||||||
MLP Fenner & Smith | Class C | 5.56% | | |||||||||||||||
Stephen W. Lemmon, Austin TX | Class Z | 70.93% | | |||||||||||||||
State Street Bank & Trust IRA James Harold Maret, Hartwell, GA | Class Z | 23.99% | | |||||||||||||||
Columbia Asia Pacific ex- | Columbia Management | Class C | 16.03% | | ||||||||||||||
Japan | Class I | 100.00% | ||||||||||||||||
Class R | 100.00% | |||||||||||||||||
Class Z | 100.00% | |||||||||||||||||
American Enterprise | Class A | 56.81% | | |||||||||||||||
Class C | 83.97% | |||||||||||||||||
MAC & Co., Pittsburgh, PA | Class R5 | 16.87% | | |||||||||||||||
Columbia Emerging Markets | Columbia Management | Class R4 | 9.47% | 31.69% | (a) | |||||||||||||
Bond | Disciplined Asset Allocation Conservative Fund | Class I | 5.10% | | ||||||||||||||
Disciplined Asset Allocation Moderate Fund | Class I | 6.65% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 25.08% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 39.79% | | |||||||||||||||
Columbia Income Builder Fund | Class I | 14.01% | | |||||||||||||||
American Enterprise Investment Services, Inc. | Class R4 | 79.93% | | |||||||||||||||
Class W | 99.95% | |||||||||||||||||
Citigroup Global Markets | Class C | 17.66% | | |||||||||||||||
MLP Fenner & Smith | Class C | 10.83% | | |||||||||||||||
MG Trust Company FBO Synergy Seven Inc., Denver, CO | Class R4 | 6.71% | | |||||||||||||||
LPL Financial | Class Z | 47.20% | | |||||||||||||||
State Street Bank & Trust, Okate, SC | Class Z | 9.94% | | |||||||||||||||
RBC Capital Markets Corp. FBO Joan A. Jagow, Chagrin Falls, OH | Class Z | 6.56% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Emerging Markets
|
Columbia Management | Class W | 100.00% | | ||||||||||||||
Opportunity | Class Z | 9.85% | ||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 17.88% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 27.53% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 30.22% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.99% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 17.36% | | |||||||||||||||
MLP Fenner & Smith | Class C | 33.15% | | |||||||||||||||
Class R | 79.92% | | ||||||||||||||||
American Enterprise Investment Services, Inc. | Class R4 | 33.14% | | |||||||||||||||
Patricks Plain LLC, Easton, MD | Class R5 | 84.14% | | |||||||||||||||
State Street Bank & Trust Roth IRS Kimberly V. Flower, El Portal, FL | Class Z | 51.53% | | |||||||||||||||
State Street Bank & Trust IRA Zafar H. Fatimi, Bellport, NY | Class Z | 20.06% | | |||||||||||||||
State Street Bank & Trust Jennifer A. George Cust. | Class Z | 18.56% | | |||||||||||||||
Columbia European Equity | Columbia Management | Class R4 | 13.72% | | ||||||||||||||
Class Z | 100.00% | |||||||||||||||||
American Enterprise Investment Services | Class R4 | 11.10% | | |||||||||||||||
Columbia Retirement Plus 2015 Fund | Class I | 10.61% | | |||||||||||||||
Columbia Retirement Plus 2020 Fund | Class I | 14.27% | | |||||||||||||||
Columbia Retirement Plus 2025 Fund | Class I | 19.71% | | |||||||||||||||
Columbia Retirement Plus 2030 Fund | Class I | 18.11% | | |||||||||||||||
Columbia Retirement Plus 2035 Fund | Class I | 13.79% | | |||||||||||||||
Columbia Retirement Plus 2040 Fund | Class I | 10.13% | | |||||||||||||||
Columbia Retirement Plus 2045 Fund | Class I | 10.37% | | |||||||||||||||
Citigroup Global Markets | Class C | 6.37% | | |||||||||||||||
MG Trust Company Cust. FBO Urologic Surgery, P.C. 401K, Denver, CO | Class R4 | 71.45% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Frontier
|
Columbia Management | Class R4 | 12.36% | 32.79% | (a) | |||||||||||||
Class Z | 100.00% | |||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 17.46% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.00% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 26.95% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.88% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.95% | | |||||||||||||||
MLP Fenner & Smith | Class C | 19.23% | | |||||||||||||||
Class R | 41.51% | |||||||||||||||||
American Enterprise Investment Services | Class R4 | 77.27% | | |||||||||||||||
Frontier Trust Company FBO Financial Network Audit, LLC | Class R | 17.68% | | |||||||||||||||
Frontier Trust Company FBO C. Anthony Phillips Accountancy 401K | Class R | 7.98% | | |||||||||||||||
Frontier Trust Company FBO Dedicated Systems | Class R | 7.08% | | |||||||||||||||
Seligman Advisors Inc., Minneapolis, MN | Class R | 8.14% | | |||||||||||||||
Accutek Packaging Equipment Company 401K | Class R | 7.26% | | |||||||||||||||
Gramma Fisher Foundation, Easton, MD | Class R5 | 68.74% | | |||||||||||||||
Patricks Plain LLC, Easton, MD | Class R5 | 28.20% | | |||||||||||||||
Columbia Global Bond | Columbia Management | Class R | 100.00% | 36.61% | (a) | |||||||||||||
Class Z | 10.75% | |||||||||||||||||
Columbia Income Builder Fund II | Class I | 5.76% | | |||||||||||||||
Columbia Portfolio Builder Conservative Fund | Class I | 10.94% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 31.65% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 17.91% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 14.98% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 75.23% | | |||||||||||||||
Leslie Betts FBO Pharmacy Administrative Solutions | Class R4 | 7.31% | | |||||||||||||||
Michael Gallina FBO Manns Jewelers Inc. | Class R4 | 5.46% | | |||||||||||||||
State Street Bank & Trust, Alexandria, VA | Class Z | 64.05% | | |||||||||||||||
Edward D. Jones & Co., Maryland Hts., MO | Class Z | 20.95% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Global Equity
|
Columbia Management | Class R | 10.21% | | ||||||||||||||
Class R5 | 23.24% | |||||||||||||||||
Class W | 100.00% | |||||||||||||||||
Class Z | 100.00% | |||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 12.15% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 32.75% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 35.55% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 8.22% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 8.42% | | |||||||||||||||
MLP Fenner & Smith | Class C | 7.45% | | |||||||||||||||
Frontier Trust Company FBO C. Anthony Phillips Accountancy 401K, Fargo, ND | Class R | 21.64% | | |||||||||||||||
MG Trust Company Cust. FBO Applied Reliability Engineering, Denver, CO | Class R | 20.41% | | |||||||||||||||
Frontier Trust Company FBO Financial Network Audit, LLC, Fargo, ND | Class R | 18.68% | | |||||||||||||||
Frontier Trust Company FBO EFK Moen 401K, Fargo, ND | Class R | 13.49% | | |||||||||||||||
Frontier Trust Company FBO Nile Project, Inc., Fargo, ND | Class R | 6.95% | | |||||||||||||||
Accutek Packaging Equipment Company 401K | Class R | 6.08% | | |||||||||||||||
Wachovia Bank | Class R4 | 98.08% | | |||||||||||||||
American Enterprise Investment Services, Inc. | Class R5 | 76.76% | | |||||||||||||||
Columbia Global Extended Alpha | Columbia Management |
Class C Class I |
5.16% 100.00% |
51.12% | (a) | |||||||||||||
Class R | 99.99% | |||||||||||||||||
Class R4 | 11.55% | |||||||||||||||||
Class Z | 9.63% | |||||||||||||||||
Charles Schwab | Class C | 7.31% | | |||||||||||||||
American Enterprise Investment Services, Inc. | Class B | 70.30% | | |||||||||||||||
Class C | 69.49% | |||||||||||||||||
Class R4 | 88.46% | |||||||||||||||||
Pershing LLC, Jersey City, NJ | Class C | 11.75% | | |||||||||||||||
Charles Schwab | Class C | 7.31% | | |||||||||||||||
TD Ameritrade Inc., Omaha, NE | Class Z | 90.37% | | |||||||||||||||
Columbia Multi-Advisor | Columbia Management | Class Z | 100.00% | 27.51% | (a) | |||||||||||||
International Value
|
||||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 17.37% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.92% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.32% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.83% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.83% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 45.15% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Seligman Global Technology | Columbia Management | Class Z | 14.14% | | ||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 17.47% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.77% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.51% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.87% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.95% | | |||||||||||||||
MLP Fenner & Smith | Class A | 9.11% | | |||||||||||||||
Class B | 6.50% | |||||||||||||||||
Class C | 19.64% | |||||||||||||||||
Class R | 12.72% | |||||||||||||||||
Morgan Stanley, Jersey City, NJ | Class C | 5.05% | | |||||||||||||||
Hartford Life Insurance Co., Hartford, CT | Class R | 65.14% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 30.81% | | |||||||||||||||
Frontier Trust Company FBO Chalet Dental Care 401K | Class R | 5.36% | | |||||||||||||||
MAC & Co., Pittsburgh, PA | Class R5 | 99.84% | | |||||||||||||||
Julie Rosenfield, Broadmore Rd. | Class Z | 85.86% | | |||||||||||||||
RiverSource Disciplined International Equity | Columbia Management |
Class R Class R4 |
100.00% 14.43% |
32.26% | (a) | |||||||||||||
Disciplined Asset Allocation Moderate Fund | Class I | 12.32% | | |||||||||||||||
Disciplined Asset Allocation Moderately Aggressive Fund | Class I | 8.49% | | |||||||||||||||
Columbia Income Builder Fund III | Class I | 6.20% | | |||||||||||||||
Columbia Income Builder Fund II | Class I | 7.79% | | |||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 7.96% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 12.41% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 13.44% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 7.72% | | |||||||||||||||
American Enterprise Investment Services, Inc. | Class C | 6.39% | | |||||||||||||||
Class R4 | 81.31% | |||||||||||||||||
Class W | 99.98% | |||||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource Partners International Select Growth | Columbia Portfolio Builder Aggressive Fund | Class I | 17.39% | 50.49% | (a) | |||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.88% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.33% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.82% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.86% | | |||||||||||||||
MLP Fenner & Smith | Class C | 8.34% | | |||||||||||||||
Frontier Trust Company FBO U.S. Tank Alliance, Inc., Fargo, ND | Class R | 22.11% | | |||||||||||||||
Frontier Trust Company FBO A & B Builders Inc. 401K, Fargo, ND | Class R | 19.03% | | |||||||||||||||
Accutek Packaging Equipment Company 401K | Class R | 16.12% | | |||||||||||||||
Frontier Trust Company FBO B & L Corporation 401K, Fargo, ND | Class R | 11.15% | | |||||||||||||||
Frontier Trust Company FBO Financial Network Audit, LLC, Fargo, ND | Class R | 10.83% | | |||||||||||||||
Frontier Trust Company FBO C. Anthony Phillips Accountancy 401, Fargo, ND | Class R | 7.63% | | |||||||||||||||
American Enterprise Investment Services | Class R4 | 55.61% | | |||||||||||||||
New York Life Trust Company, Parsippany, NY | Class R4 | 15.20% | | |||||||||||||||
Patricks Plain LLC, Easton, MD | Class R5 | 97.34% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource Partners International Small Cap | Columbia Portfolio Builder Aggressive Fund | Class I | 17.35% | 26.35% | (a) | |||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 27.00% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.22% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.84% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.88% | | |||||||||||||||
MLP Fenner & Smith | Class A | 8.09% | | |||||||||||||||
Class C | 18.88% | |||||||||||||||||
Frontier Trust Company FBO EFK Moen 401K Plan, Fargo, ND | Class R | 17.46% | | |||||||||||||||
Frontier Trust Company FBO Sales West Partners Inc. 401K, Fargo, ND | Class R | 9.85% | | |||||||||||||||
Frontier Trust Company FBO Edward Sales Corp. 401K, Fargo, ND | Class R | 8.54% | | |||||||||||||||
Frontier Trust Company FBO B & L Corporation 401K, Fargo, ND | Class R | 8.05% | | |||||||||||||||
Frontier Trust Company FBO Dedicated Systems, Fargo, ND | Class R | 6.35% | | |||||||||||||||
Frontier Trust Company FBO Financial Network Audit, LLC, Fargo, ND | Class R | 5.94% | | |||||||||||||||
Frontier Trust Company FBO C. Anthony Phillips Accountancy 401, Fargo, ND | Class R | 5.68% | | |||||||||||||||
Frontier Trust Company FBO Fulton Communications 401K Plan, Fargo, ND | Class R | 5.19% | | |||||||||||||||
Taynik & Co., Quincy, MA | Class R4 | 53.11% | | |||||||||||||||
Patricks Plain LLC, Easton, MD | Class R5 | 96.00% | | |||||||||||||||
Massachusetts Mutual Life Insurance Co., Springfield, MA | Class R4 | 37.43% | | |||||||||||||||
Threadneedle Global Equity | Columbia Management | Class I | 100.00% | | ||||||||||||||
Income | Class R | 95.23% | ||||||||||||||||
Class R4 | 32.83% | |||||||||||||||||
American Enterprise Investment Services | Class C | 12.47% | | |||||||||||||||
Class R4 | 67.16% | |||||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Threadneedle International Opportunity | Columbia Portfolio Builder Aggressive Fund | Class I | 17.38% | 30.49% | (a) | |||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 26.88% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 29.35% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.80% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 16.86% | | |||||||||||||||
Frontier Trust Company FBO EFK Moen 401K Plan, Fargo, ND | Class R | 18.77% | | |||||||||||||||
Frontier Trust Company FBO Sales West Partners Inc. 401K, Fargo, ND | Class R | 9.95% | | |||||||||||||||
Frontier Trust Company FBO B & L Corporation 401K, Fargo, ND | Class R | 9.78% | | |||||||||||||||
Frontier Trust Company FBO C. Anthony Phillips Accountancy 401, Fargo, ND | Class R | 9.02% | | |||||||||||||||
Frontier Trust Company FBO Dedicated Systems, Fargo, ND | Class R | 7.69% | | |||||||||||||||
Frontier Trust Company FBO Financial Network Audit, LLC, Fargo, ND | Class R | 7.18% | | |||||||||||||||
Frontier Trust Company FBO General Truck Sales Corp. 401K, Fargo, ND | Class R | 7.13% | | |||||||||||||||
Frontier Trust Company FBO Edward Sales Corp. 401K, Fargo, ND | Class R | 6.98% | | |||||||||||||||
Frontier Trust Company FBO Nordaas American Homes of MN Lake 401K, Fargo, ND | Class R | 5.31% | | |||||||||||||||
Frontier Trust Company FBO Jay Lerman MD PC. 401K, Fargo, ND | Class R4 | 33.10% | | |||||||||||||||
American Enterprise Investment Services, Inc. | Class R4 | 51.22% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Funds with fiscal period ending November 30 | ||||||||||||||||||
Columbia AMT-Free Tax-Exempt Bond | None | N/A | N/A | | ||||||||||||||
Columbia Mid Cap Growth
|
Columbia Management | Class R | 11.21% | | ||||||||||||||
Opportunity | Class R3 | 28.51% | ||||||||||||||||
Class R | 100.00% | |||||||||||||||||
Columbia Portfolio Builder Aggressive Fund | Class I | 18.40% | | |||||||||||||||
Columbia Portfolio Builder Moderate Fund | Class I | 27.57% | | |||||||||||||||
Columbia Portfolio Builder Moderate Aggressive Fund | Class I | 30.63% | | |||||||||||||||
Columbia Portfolio Builder Moderate Conservative Fund | Class I | 6.72% | | |||||||||||||||
Columbia Portfolio Builder Total Equity Fund | Class I | 14.51% | | |||||||||||||||
MLP Fenner & Smith | Class C | 9.73% | | |||||||||||||||
Orchard Trust Company LLC Custodian FBO | Class R | 88.79% | | |||||||||||||||
Oppenheimer Funds, Greenwood Village, CO | ||||||||||||||||||
MG Trust Company FBO Body Masters Inc., Denver, CO | Class R3 | 57.09% | | |||||||||||||||
MG Trust Company FBO Central Jersey Collision, Denver, CO | Class R3 | 14.39% | | |||||||||||||||
Wachovia Bank | Class R4 | 84.04% | | |||||||||||||||
Orchard Trust Company LLC FBO Silgan Plastics, Greenwood Village, CO | Class R4 | 5.40% | | |||||||||||||||
RiverSource Intermediate Tax-Exempt |
Mayank K. & Jayshri M. Shah, Marion, OH | Class C | 10.28% | | ||||||||||||||
RiverSource Tax-Exempt High Income | None | N/A | N/A | | ||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Funds with fiscal period ending December 31 | ||||||||||||||||||
Columbia Government Money Market | Morgan Stanley Smith Barney | Class B | 5.52% | | ||||||||||||||
Frontier Trust Company FBO Piedmont Cardiology Assocs, Fargo, ND | Class R | 21.07% | | |||||||||||||||
Counsel Trust FBO Phonic Ear Holdings Inc. 401K, Pittsburgh, PA | Class R | 18.74% | | |||||||||||||||
Frontier Trust Company FBO Hospice Advantage 401K, Fargo, ND | Class R | 9.52% | | |||||||||||||||
Frontier Trust Company FBO ED Fagan Inc. 401K, Fargo, ND | Class R | 8.67% | | |||||||||||||||
Frontier Trust Company FBO A&B Builders 401K, Fargo, ND | Class R | 6.56% | | |||||||||||||||
Frontier Trust Company FBO First Security Bank of Nevada 401K, Fargo, ND | Class R | 5.77% | | |||||||||||||||
Patricks Plain, Easton, MD | Class R5 | 58.39% | | |||||||||||||||
MG Trust Company FBO Seattle Goodwill Industries 403B, Denver, CO | Class R5 | 21.08% | | |||||||||||||||
Gramma Fischer Foundation, Easton, MD | Class R5 | 19.57% | | |||||||||||||||
Thomas R. Bales Cust, Novado, CA | Class Z | 17.58% | | |||||||||||||||
Living Trust of Frederick Hemker, Maple Grove, MN | Class Z | 12.40% | | |||||||||||||||
Edward D. Jones & Co., Maryland Heights, MO | Class Z | 7.12% | | |||||||||||||||
Mary K Parent, Hillsboro, OR | Class Z | 6.20% | | |||||||||||||||
Om P. Chhabra, Huntington, CT | Class Z | 6.01% | | |||||||||||||||
Portland Chinese Scholarship Foundation, Clackamas, OR | Class Z | 5.86% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Select Large-Cap | Columbia Management | Class R4 | 28.69% | | ||||||||||||||
Value
|
Class Z | 37.59% | ||||||||||||||||
Portfolio Builder Aggressive | Class I | 16.15% | | |||||||||||||||
Portfolio Builder Moderate | Class I | 24.11% | | |||||||||||||||
Portfolio Builder Moderate Aggressive | Class I | 26.91% | | |||||||||||||||
Portfolio Builder Moderate Conservative | Class I | 5.83% | | |||||||||||||||
Portfolio Builder Total Equity | Class I | 16.14% | | |||||||||||||||
American Enterprise Investment Services | Class W | 99.98% | | |||||||||||||||
Morgan Stanley Smith Barney | Class A | 37.64% | | |||||||||||||||
New York Life Trust Company, Parsippany, NJ | Class A | 6.59% | | |||||||||||||||
MLP Fenner & Smith | Class A | 7.58% | | |||||||||||||||
Class B | 17.72% | |||||||||||||||||
Class C | 36.60% | |||||||||||||||||
Class R | 75.88% | |||||||||||||||||
Citigroup Global Markets | Class A | 11.69% | | |||||||||||||||
Class B | 6.36% | |||||||||||||||||
Class C | 6.20% | |||||||||||||||||
Gramma Fischer Foundation | Class R5 | 26.08% | | |||||||||||||||
Charles Schwab | Class R4 | 71.31% | | |||||||||||||||
Class R5 | 23.57% | |||||||||||||||||
State Street Bank & Trust | Class R5 | 40.24% | | |||||||||||||||
Miriam A. Wolf, Green Valley, AZ | Class Z | 62.41% | | |||||||||||||||
Columbia Select Smaller-Cap Value | Portfolio Builder Aggressive | Class I | 19.83% | | ||||||||||||||
Portfolio Builder Total Equity | Class I | 59.02% | | |||||||||||||||
MLP Fenner & Smith | Class C | 30.77% | | |||||||||||||||
Class R | 61.76% | |||||||||||||||||
DCGT FBO Principal Financial Group, Des Moines, IA |
Class R | 11.70% | | |||||||||||||||
Wachovia Bank | Class R4 | 96.64% | | |||||||||||||||
Charles Schwab | Class R5 | 10.06% | | |||||||||||||||
Gramma Fisher Foundation | Class R5 | 51.43% | | |||||||||||||||
Patricks Plain LLC | Class R5 | 35.50% | | |||||||||||||||
State Street Bank & Trust | Class Z | 97.81% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Columbia Seligman Communications and Information | Columbia Management | Class R3 | 6.92% | | ||||||||||||||
UBS WM USA, Weehawken, NJ | Class C | 7.92% | | |||||||||||||||
Portfolio Builder Aggressive | Class I | 17.74% | | |||||||||||||||
Portfolio Builder Moderate | Class I | 26.39% | | |||||||||||||||
Portfolio Builder Moderate Aggressive | Class I | 29.62% | | |||||||||||||||
Portfolio Builder Moderate Conservative | Class I | 6.40% | | |||||||||||||||
Portfolio Builder Total Equity | Class I | 17.79% | | |||||||||||||||
MLP Fenner & Smith | Class A | 12.12% | | |||||||||||||||
Class B | 19.82% | |||||||||||||||||
Class C | 21.83% | |||||||||||||||||
Class R | 36.38% | |||||||||||||||||
Class R5 | 55.98% | |||||||||||||||||
Citigroup Global Markets | Class B | 7.58% | | |||||||||||||||
Class C | 6.79% | |||||||||||||||||
MG Trust Company FBO Exceptional Software | Class R3 | 13.31% | | |||||||||||||||
Strategies, Denver, Co | Class R4 | 28.72% | | |||||||||||||||
Charles Schwab | Class R5 | 11.48% | ||||||||||||||||
Hartford Life Insurance Co., Hartford, CT | Class R | 26.45% | | |||||||||||||||
JPMorgan Chase Bank, New York, NY | Class R | 14.10% | | |||||||||||||||
Pershing LLC, Jersey City, NJ | Class R3 | 72.95% | | |||||||||||||||
Gramma Fisher Foundation | Class R5 | 8.61% | | |||||||||||||||
Patricks Plain LLC | Class R5 | 6.40% | | |||||||||||||||
RBC Capital Markets Corp. | Class Z | 10.54% | | |||||||||||||||
TD Ameritrade, Omaha, NE | Class Z | 8.34% | | |||||||||||||||
LPL Financial, San Diego, CA | Class Z | 5.76% | | |||||||||||||||
Frontier Trust Company FBO Red River Employers 401K, Fargo, ND |
Class R4 | 66.32% | | |||||||||||||||
RiverSource LaSalle Global | Columbia Management | Class A | 23.73% | 55.80%(a | ) | |||||||||||||
Real Estate
|
Class R4 | 67.03% | ||||||||||||||||
Seligman Advisors | Class A | 8.92% | | |||||||||||||||
Morgan Stanley Smith Barney | Class A | 12.00% | | |||||||||||||||
MLP Fenner & Smith | Class A | 8.92% | | |||||||||||||||
Class C | 28.58% | |||||||||||||||||
Class R | 81.77% | |||||||||||||||||
Portfolio Builder Aggressive | Class I | 57.11% | | |||||||||||||||
Portfolio Builder Total Equity | Class I | 42.79% | ||||||||||||||||
Frontier Trust Company FBO CBS-IO, 401K, Fargo, ND | Class R | 5.25% | | |||||||||||||||
Richard Roberts FBO Mountaineer Gas Services, Tulsa, OK | Class R | 6.81% | | |||||||||||||||
Charles Schwab | Class R4 | 20.71% | | |||||||||||||||
Scottrade Inc. FBO Jeffrey Powers IRA, Saint Louis, MO | Class R4 | 12.26% | | |||||||||||||||
Gramma Fisher Foundation | Class R5 | 61.67% | | |||||||||||||||
Patricks Plain LLC | Class R5 | 37.90% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
RiverSource LaSalle Monthly Dividend Real Estate | Columbia Management | Class R4 | 34.52% | | ||||||||||||||
Portfolio Builder Moderate Aggressive | Class I | 99.63% | | |||||||||||||||
MLP Fenner & Smith | Class A | 28.66% | | |||||||||||||||
Class B | 19.78% | |||||||||||||||||
Class C | 54.56% | |||||||||||||||||
Class R | 82.68% | |||||||||||||||||
Citigroup Global Markets | Class B | 7.65% | | |||||||||||||||
Class C | 5.21% | |||||||||||||||||
UBS WM USA, Weehawken, NJ | Class B | 7.18% | | |||||||||||||||
Class C | 6.14% | |||||||||||||||||
Scottrade Inc. FBO Kenny K. Fong, Saint Louis, MO | Class R4 | 56.60% | | |||||||||||||||
Charles Schwab | Class R4 | 8.88% | | |||||||||||||||
Gramma Fisher Foundation | Class R5 | 61.05% | | |||||||||||||||
Patricks Plain LLC | Class R5 | 36.73% | | |||||||||||||||
Seligman Capital
|
Portfolio Builder Aggressive | Class I | 36.93% | | ||||||||||||||
Portfolio Builder Moderate Aggressive | Class I | 7.86% | | |||||||||||||||
Portfolio Builder Total Equity | Class I | 55.15% | | |||||||||||||||
MLP Fenner & Smith | Class B | 9.10% | | |||||||||||||||
Class C | 27.22% | |||||||||||||||||
Class R | 68.44% | |||||||||||||||||
Gramma Fisher Foundation | Class R5 | 56.10% | | |||||||||||||||
Patricks Plain LLC | Class R5 | 40.68% | | |||||||||||||||
Fund Shares |
Percent
of Fund |
|||||||||||||||||
Fund | Shareholder name, city and state | Share Class | Percentage | (if greater than 25%) | ||||||||||||||
Seligman Growth
|
Portfolio Builder Aggressive | Class I | 17.73% | | ||||||||||||||
Portfolio Builder Moderate | Class I | 26.51% | | |||||||||||||||
Portfolio Builder Moderate Aggressive | Class I | 29.56% | | |||||||||||||||
Portfolio Builder Moderate Conservative | Class I | 6.40% | | |||||||||||||||
Portfolio Builder Total Equity | Class I | 17.75% | | |||||||||||||||
MLP Fenner & Smith | Class C | 5.23% | | |||||||||||||||
Accuteck Packaging Company, Vista, CA | Class R | 24.93% | | |||||||||||||||
Frontier Trust Company FBO Financial Network Audit 401K, Fargo, ND | Class R | 11.15% | | |||||||||||||||
Frontier Trust Company FBO EFK Moen 401K, Fargo, ND | Class R | 10.91% | | |||||||||||||||
Frontier Trust Company FBO B & L Corporation 401K, Fargo, ND | Class R | 7.33% | | |||||||||||||||
Frontier Trust Company FBO C. Anthony Philips Accountancy 401K, Fargo, ND | Class R | 6.05% | | |||||||||||||||
Frontier Trust Company FBO Edwards Sales 401K, Fargo, ND | Class R | 5.83% | | |||||||||||||||
Ameriprise Trust Company | Class R4 | 92.00% | | |||||||||||||||
Wacovia Bank | Class R4 | 7.47% | | |||||||||||||||
Gramma Fisher Foundation | Class R5 | 85.95% | | |||||||||||||||
Charles Schwab | Class R5 | 13.19% | | |||||||||||||||
(a) | Combination of all share classes of Columbia Management initial capital and affiliated funds-of-funds investments. |
| Likelihood of default capacity and willingness of the obligor as to the timely payment of interest and repayment of principal in accordance with the terms of the obligation. | |
| Nature of and provisions of the obligation. | |
| Protection afforded by, and relative position of, the obligation in the event of bankruptcy, reorganization, or other arrangement under the laws of bankruptcy and other laws affecting creditors rights. |
A-1 | This highest category indicates that the degree of safety regarding timely payment is strong. Those issues determined to possess extremely strong safety characteristics are denoted with a plus sign (+) designation. |
A-2 | Capacity for timely payment on issues with this designation is satisfactory. However, the relative degree of safety is not as high as for issues designated A-1. |
A-3 | Issues carrying this designation have adequate capacity for timely payment. They are, however, more vulnerable to the adverse effects of changes in circumstances than obligations carrying the higher designations. |
B | Issues are regarded as having only speculative capacity for timely payment. |
C | This rating is assigned to short-term debt obligations with doubtful capacity for payment. |
D | Debt rated D is in payment default. The D rating category is used when interest payments or principal payments are not made on the date due, even if the applicable grace period has not expired, unless S&P believes that such payments will be made during such grace period. |
SP-1 | Strong capacity to pay principal and interest. Issues determined to possess very strong characteristics are given a plus (+) designation. |
SP-2 | Satisfactory capacity to pay principal and interest, with some vulnerability to adverse financial and economic changes over the term of the notes. |
SP-3 | Speculative capacity to pay principal and interest. |
| the inability or perceived inability of a government authority to collect sufficient tax or other revenues to meet its payment obligations; | |
| natural disasters and ecological or environmental concerns; | |
| the introduction of constitutional or statutory limits on a tax-exempt issuers ability to raise revenues or increase taxes; | |
| the inability of an issuer to pay interest on or repay principal or securities in which the funds invest during recessionary periods; and | |
| economic or demographic factors that may cause a decrease in tax or other revenues for a government authority or for private operators of publicly financed facilities. |
Sales charge(a) as a percentage of: | ||||||||
Public
offering |
Net amount |
|||||||
Fund category | Total market value | price(b) | invested | |||||
$0 $49,999 | 5.75% | 6.10% | ||||||
$50,000 $99,999 | 4.50% | 4.71% | ||||||
$100,000 $249,999 | 3.50% | 3.63% | ||||||
Balanced, Equity, Fund-of-funds equity*
|
$250,000 $499,999 | 2.50% | 2.56% | |||||
$500,000 $999,999 | 2.00% | 2.04% | ||||||
$1,000,000 or more(c),(d) | 0.00% | 0.00% | ||||||
$0 $49,999 | 4.75% | 4.99% | ||||||
$50,000 $99,999 | 4.25% | 4.44% | ||||||
Fund-of-funds fixed income, State tax-exempt fixed
income, Taxable fixed income, Tax-exempt fixed income
|
$100,000 $249,999 | 3.50% | 3.63% | |||||
$250,000 $499,999 | 2.50% | 2.56% | ||||||
$500,000 $999,999 | 2.00% | 2.04% | ||||||
$1,000,000 or more(c),(d) | 0.00% | 0.00% | ||||||
For Columbia Absolute Return Currency and Income Fund, Columbia
Floating Rate Fund, Columbia Inflation Protected Securities
Fund, Columbia Limited Duration Credit Fund, RiverSource
Intermediate Tax-Exempt Fund and RiverSource Short Duration U.S.
Government Fund
|
$0 $99,999 | 3.00% | 3.09% | |||||
$100,000 $249,999 | 2.50% | 2.56% | ||||||
$250,000 $499,999 | 2.00% | 2.04% | ||||||
$500,000 $999,999 | 1.50% | 1.52% | ||||||
$1,000,000 or more(c),(d) | 0.00% | 0.00% | ||||||
* | RiverSource S&P 500 Index Fund is not subject to a front-end sales change on Class A shares. | |
(a) | Because the offering price is calculated to two decimal places, the dollar amount of the sales charge as a percentage of the offering price and your net amount invested for any particular purchase of fund shares may be higher or lower depending on whether downward or upward rounding was required during the calculation process. | |
(b) | Purchase price includes the sales charge. |
(c) | Although there is no sales charge for purchases with a total market value of $1 million or more, and therefore no re-allowance, the distributor may pay a selling and/or servicing agent the following out of its own resources: 1.00% on purchases from $1 million up to but not including $3 million; 0.50% on purchases of $3 million up to but not including $50 million; and 0.25% on amounts of $50 million or more. The distributor may be reimbursed if a CDSC is deducted when the shares are redeemed. |
(d) | For eligible employee benefit plans, selling and/or servicing agents are eligible to receive from the distributor the following sales commissions on purchases that are coded as commission eligible trades: 1.00% on all purchases up to but not including $3 million, including those in amounts of less than $1 million; up to 0.50% on all purchases of $3 million up to but not including $50 million; and up to 0.25% on all purchases of $50 million or more. |