0000950123-11-056344.txt : 20110603
0000950123-11-056344.hdr.sgml : 20110603
20110603122355
ACCESSION NUMBER: 0000950123-11-056344
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20110408
FILED AS OF DATE: 20110603
DATE AS OF CHANGE: 20110603
EFFECTIVENESS DATE: 20110603
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RIVERSOURCE INCOME SERIES, INC.
CENTRAL INDEX KEY: 0000052407
IRS NUMBER: 410839316
STATE OF INCORPORATION: MN
FISCAL YEAR END: 0131
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-00499
FILM NUMBER: 11890889
BUSINESS ADDRESS:
STREET 1: 50606 AMERIPRISE FINANCIAL CENTER
STREET 2: H27/5228
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
BUSINESS PHONE: 612-671-4321
MAIL ADDRESS:
STREET 1: 50606 AMERIPRISE FINANCIAL CENTER
STREET 2: H27/5228
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
FORMER COMPANY:
FORMER CONFORMED NAME: AXP INCOME SERIES INC
DATE OF NAME CHANGE: 20021118
FORMER COMPANY:
FORMER CONFORMED NAME: AXP SELECTIVE FUND INC /MN/
DATE OF NAME CHANGE: 20000829
FORMER COMPANY:
FORMER CONFORMED NAME: IDS SELECTIVE FUND INC
DATE OF NAME CHANGE: 19920703
0000052407
S000003435
Columbia Income Builder Fund
C000009499
Columbia Income Builder Fund Class A
RBBAX
C000009500
Columbia Income Builder Fund Class B
RBBBX
C000009501
Columbia Income Builder Fund Class C
RBBCX
C000042931
Columbia Income Builder Fund Class R4
C000094303
Columbia Income Builder Fund Class R
CBURX
C000094304
Columbia Income Builder Fund Class Z
CBUZX
0000052407
S000003436
Columbia Income Builder Fund II
C000009503
Columbia Income Builder Fund II Class A
RSMAX
C000009504
Columbia Income Builder Fund II Class B
RSMBX
C000009505
Columbia Income Builder Fund II Class C
RSMCX
C000042932
Columbia Income Builder Fund II Class R4
0000052407
S000003437
Columbia Income Builder Fund III
C000009507
Columbia Income Builder Fund III Class A
RSBAX
C000009508
Columbia Income Builder Fund III Class B
REIVX
C000009509
Columbia Income Builder Fund III Class C
RIECX
C000042933
Columbia Income Builder Fund III Class R4
NSAR-A
1
answer.fil
SEMI-ANNUAL REPORT
PAGE 1
000 A000000 04/08/2011
000 C000000 0000052407
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 RIVERSOURCE INCOME SERIES, INC.
001 B000000 811-499
001 C000000 6126715682
002 A000000 50606 AMERIPRISE FINANCIAL CENTER
002 B000000 MINNEAPOLIS
002 C000000 MN
002 D010000 55474
003 000000 N
004 000000 Y
005 000000 N
006 000000 N
007 A000000 Y
007 B000000 3
007 C010100 1
007 C010200 2
007 C020200 COLUMBIA INCOME BUILDER FUND
007 C030200 Y
007 C010300 3
007 C020300 COLUMBIA INCOME BUILDER FUND III
007 C030300 Y
007 C010400 4
007 C020400 COLUMBIA INCOME BUILDER FUND II
007 C030400 Y
007 C010500 5
007 C010600 6
007 C010700 7
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PAGE 2
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PAGE 3
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008 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
008 B00AA01 A
008 C00AA01 801-25943
008 D01AA01 BOSTON
008 D02AA01 MA
008 D03AA01 02110
010 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
010 B00AA01 801-25943
010 C01AA01 BOSTON
010 C02AA01 MA
010 C03AA01 02110
011 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC.
011 B00AA01 8-25845
011 C01AA01 BOSTON
011 C02AA01 MA
011 C03AA01 02110
012 A00AA01 COLUMBIA MANAGEMENT INVESTMENT SERVICES CORP.
012 B00AA01 84-5685
012 C01AA01 BOSTON
012 C02AA01 MA
012 C03AA01 02210
013 A00AA01 ERNST & YOUNG LLP
013 B01AA01 MINNEAPOLIS
013 B02AA01 MN
013 B03AA01 55402
014 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC.
014 B00AA01 8-25845
014 A00AA02 AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
014 B00AA02 8-42582
014 A00AA03 SECURITIES AMERICA, INC.
014 B00AA03 8-26602
014 A00AA04 AMERIPRISE FINANCIAL SERVICES, INC.
014 B00AA04 8-16791
014 A00AA05 RIVERSOURCE DISTRIBUTORS, INC.
014 B00AA05 8-67196
PAGE 4
015 A00AA01 JPMORGAN CHASE BANK, N.A.
015 B00AA01 C
015 C01AA01 NEW YORK
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PAGE 5
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PAGE 6
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PAGE 7
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PAGE 8
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PAGE 9
070 F010200 N
070 F020200 N
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PAGE 10
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PAGE 11
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PAGE 12
051 000300 N
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PAGE 13
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PAGE 14
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PAGE 15
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PAGE 16
070 A020400 N
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PAGE 17
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PAGE 18
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SIGNATURE
TITLE
This report is signed on behalf of the registrant (or depositor or trustee).
City of: Minneapolis State of: Minnesota Date: May 20, 2011
Name of Registrant, Depositor, or Trustee: RiverSource Income Series, Inc.
/s/ Michael G. Clarke
-----------------------
Michael G. Clarke
Treasurer
/s/ Wade M. Voigt
-----------------------
Wade M. Voigt
Assistant Treasurer
Witness
RIVERSOURCE INCOME SERIES, INC.
EX-99.77C VOTES
2
ex77c.txt
VOTES
RIVERSOURCE INCOME SERIES, INC. -- FORM N-SAR EXHIBITS
EXHIBIT 77C, MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS:
RESULTS OF MEETINGS OF SHAREHOLDERS
Columbia Income Builder Series
SPECIAL MEETING OF SHAREHOLDERS HELD ON FEB. 15, 2011
(UNAUDITED)
A brief description of the proposal(s) voted upon at the meeting and the votes
cast for, against or withheld, as well as the number of abstentions and broker
non-votes as to the proposals are set forth below. A vote is based on total
dollar interest in the Fund.
Columbia Income Builder Fund
Columbia Income Builder Fund II
Columbia Income Builder Fund III
Proposal 1. To elect directors to the Board.*
-------------------------------------------------------------------------------------------------------------
DOLLARS VOTED DOLLARS VOTED BROKER NON-
"FOR" "WITHHOLD" ABSTENTIONS VOTES
-------------------------------------------------------------------------------------------------------------
01. Kathleen Blatz 693,507,627.977 13,816,276.985 0.00 0.00
-------------------------------------------------------------------------------------------------------------
02. Edward J. Boudreau, Jr. 693,272,171.643 14,051,733.319 0.00 0.00
-------------------------------------------------------------------------------------------------------------
03. Pamela G. Carlton 693,421,891.220 13,902,013.742 0.00 0.00
-------------------------------------------------------------------------------------------------------------
04. William P. Carmichael 693,013,568.646 14,310,336.316 0.00 0.00
-------------------------------------------------------------------------------------------------------------
05. Patricia M. Flynn 693,224,444.935 14,099,460.027 0.00 0.00
-------------------------------------------------------------------------------------------------------------
06. William A. Hawkins 693,156,744.839 14,167,160.123 0.00 0.00
-------------------------------------------------------------------------------------------------------------
07. R. Glenn Hilliard 693,222,780.752 14,101,124.210 0.00 0.00
-------------------------------------------------------------------------------------------------------------
08. Stephen R. Lewis, Jr. 693,430,055.417 13,893,849.545 0.00 0.00
-------------------------------------------------------------------------------------------------------------
09. John F. Maher 693,848,934.493 13,474,970.469 0.00 0.00
-------------------------------------------------------------------------------------------------------------
10. John J. Nagorniak 693,316,452.081 14,007,452.881 0.00 0.00
-------------------------------------------------------------------------------------------------------------
11. Catherine James Paglia 693,267,037.600 14,056,867.362 0.00 0.00
-------------------------------------------------------------------------------------------------------------
12. Leroy C. Richie 692,896,788.208 14,427,116.754 0.00 0.00
-------------------------------------------------------------------------------------------------------------
13. Anthony M. Santomero 693,246,363.256 14,077,541.706 0.00 0.00
-------------------------------------------------------------------------------------------------------------
14. Minor M. Shaw 693,313,297.343 14,010,607.619 0.00 0.00
-------------------------------------------------------------------------------------------------------------
15. Alison Taunton-Rigby 693,095,134.645 14,228,770.316 0.00 0.00
-------------------------------------------------------------------------------------------------------------
16. William F. Truscott 693,478,693.169 13,845,211.793 0.00 0.00
-------------------------------------------------------------------------------------------------------------
Proposal 2. To approve a proposed amendment to the Articles of Incorporation.*
-------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
-------------------------------------------------------------------------------------------------------------
676,160,740.238 16,147,034.216 15,016,058.518 71.990
-------------------------------------------------------------------------------------------------------------
* All dollars of RiverSource Income Series, Inc. are voted together as a
single class for election of directors and amendments to the Articles of
Incorporation.
Columbia Income Builder Fund
Proposal 3. To approve a proposed Agreement and Plan of Redomicling.
--------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------
136,431,860.396 3,497,562.769 4,990,004.246 58,798,173.720
--------------------------------------------------------------------------------------------------------------
Proposal 4. To approve a proposed Investment Management Services Agreement with
Columbia Management Investment Advisers, LLC.
--------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------
136,742,311.536 3,867,563.632 4,309,552.242 58,798,173.720
--------------------------------------------------------------------------------------------------------------
Columbia Income Builder Fund II
Proposal 3. To approve an Agreement and Plan of Reorganization between Columbia
Income Builder Fund II and Columbia Income Builder Fund.
--------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------
235,562,372.032 4,288,911.191 7,570,857.868 84,858,715.380
--------------------------------------------------------------------------------------------------------------
Columbia Income Builder Fund III
Proposal 3. To approve an Agreement and Plan of Reorganization between Columbia
Income Builder Fund III and Columbia Income Builder Fund.
--------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------
112,869,524.357 2,269,794.535 4,151,652.778 52,034,475.690
--------------------------------------------------------------------------------------------------------------
EX-99.77E LEGAL
3
ex77e.txt
LEGAL
EXHIBIT 77E, LEGAL PROCEEDINGS:
LEGAL PROCEEDINGS. Ameriprise Financial and certain of its affiliates have
historically been involved in a number of legal, arbitration and regulatory
proceedings, including routine litigation, class actions, and governmental
actions, concerning matters arising in connection with the conduct of their
business activities. Ameriprise Financial believes that the fund is not
currently the subject of, and that neither Ameriprise Financial nor any of its
affiliates are the subject of, any pending legal, arbitration or regulatory
proceedings that are likely to have a material adverse effect on the fund or the
ability of Ameriprise Financial or its affiliates to perform under their
contracts with the fund. Information regarding certain pending and settled legal
proceedings may be found in the Fund's shareholder reports and in the SAI.
Additionally, Ameriprise Financial is required to make 10-Q, 10-K and, as
necessary, 8-K filings with the Securities and Exchange Commission on legal and
regulatory matters that relate to Ameriprise Financial and its affiliates.
Copies of these filings may be obtained by accessing the SEC website at
www.sec.gov.