-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HIbuqxSKoIrAFzjyWAoQwM9rgVVMGHp4/+bFhT7MYWEt5a8Kh6ZEDB8AXchjTMLk 7ey1Ue/5PVrM/Cx6YlEvSw== 0001068800-06-000641.txt : 20060728 0001068800-06-000641.hdr.sgml : 20060728 20060728123743 ACCESSION NUMBER: 0001068800-06-000641 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20060531 FILED AS OF DATE: 20060728 DATE AS OF CHANGE: 20060728 EFFECTIVENESS DATE: 20060728 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE INCOME SERIES, INC. CENTRAL INDEX KEY: 0000052407 IRS NUMBER: 410839316 STATE OF INCORPORATION: MN FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-00499 FILM NUMBER: 06986847 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 6126714321 MAIL ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AXP INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP SELECTIVE FUND INC /MN/ DATE OF NAME CHANGE: 20000829 FORMER COMPANY: FORMER CONFORMED NAME: IDS SELECTIVE FUND INC DATE OF NAME CHANGE: 19920703 0000052407 S000003435 RiverSource Income Builder Basic Income Fund C000009499 RiverSource Income Builder Basic Income Fund Class A RBBAX C000009500 RiverSource Income Builder Basic Income Fund Class B C000009501 RiverSource Income Builder Basic Income Fund Class C C000009502 RiverSource Income Builder Basic Income Fund Class Y 0000052407 S000003436 RiverSource Income Builder Moderate Income Fund C000009503 RiverSource Income Builder Moderate Income Fund Class A RSMAX C000009504 RiverSource Income Builder Moderate Income Fund Class B C000009505 RiverSource Income Builder Moderate Income Fund Class C C000009506 RiverSource Income Builder Moderate Income Fund Class Y 0000052407 S000003437 RiverSource Income Builder Enhanced Income Fund C000009507 RiverSource Income Builder Enhanced Income Fund Class A RSBAX C000009508 RiverSource Income Builder Enhanced Income Fund Class B C000009509 RiverSource Income Builder Enhanced Income Fund Class C C000009510 RiverSource Income Builder Enhanced Income Fund Class Y 0000052407 S000003438 RiverSource Selective Fund C000009511 RiverSource Selective Fund Class A INSEX C000009512 RiverSource Selective Fund Class B ISEBX C000009513 RiverSource Selective Fund Class C ASLCX C000009514 RiverSource Selective Fund Class I ASTIX C000009515 RiverSource Selective Fund Class Y IDEYX NSAR-B 1 answer.fil RIVERSOURCE INCOME SERIES, INC. 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070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 N 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 N 070 R020200 N 071 A000200 25035 071 B000200 111 071 C000200 11819 071 D000200 1 072 A000200 4 072 B000200 113 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 0 072 G000200 1 072 H000200 0 072 I000200 2 072 J000200 0 PAGE 14 072 K000200 0 072 L000200 14 072 M000200 0 072 N000200 63 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 16 072 S000200 0 072 T000200 12 072 U000200 0 072 V000200 0 072 W000200 1 072 X000200 109 072 Y000200 91 072 Z000200 95 072AA000200 0 072BB000200 1 072CC010200 0 072CC020200 142 072DD010200 76 072DD020200 20 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 0 074 B000200 0 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 0 074 G000200 0 074 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C000300 0 072 D000300 0 072 E000300 0 072 F000300 0 072 G000300 1 072 H000300 0 072 I000300 4 072 J000300 0 072 K000300 14 072 L000300 0 072 M000300 0 072 N000300 73 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 16 072 S000300 0 072 T000300 25 072 U000300 0 072 V000300 0 072 W000300 1 072 X000300 134 072 Y000300 97 072 Z000300 234 PAGE 19 072AA000300 0 072BB000300 0 072CC010300 0 072CC020300 583 072DD010300 194 072DD020300 42 072EE000300 0 073 A010300 0.0000 073 A020300 0.0000 073 B000300 0.0000 073 C000300 0.0000 074 A000300 0 074 B000300 0 074 C000300 0 074 D000300 0 074 E000300 0 074 F000300 0 074 G000300 0 074 H000300 0 074 I000300 61349 074 J000300 0 074 K000300 0 074 L000300 989 074 M000300 0 074 N000300 62338 074 O000300 951 074 P000300 11 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 41 074 S000300 0 074 T000300 61335 074 U010300 4982 074 U020300 1175 074 V010300 0.00 074 V020300 0.00 074 W000300 0.0000 074 X000300 2100 074 Y000300 0 075 A000300 0 075 B000300 21097 076 000300 0.00 010 A000401 AMERIPRISE FINANCIAL, INC. 010 C010401 MINNEAPOLIS 010 C020401 MN 010 C030401 55474 015 A000401 AMERIPRISE TRUST COMPANY 015 B000401 C 015 C010401 MINNEAPOLIS PAGE 20 015 C020401 MN 015 C030401 55474 015 E010401 X 028 A010400 0 028 A020400 0 028 A030400 0 028 A040400 0 028 B010400 0 028 B020400 0 028 B030400 0 028 B040400 0 028 C010400 2101 028 C020400 5 028 C030400 0 028 C040400 0 028 D010400 13356 028 D020400 33 028 D030400 0 028 D040400 32 028 E010400 18126 028 E020400 74 028 E030400 0 028 E040400 247 028 F010400 36557 028 F020400 103 028 F030400 0 028 F040400 659 028 G010400 70140 028 G020400 215 028 G030400 0 028 G040400 938 028 H000400 9434 029 000400 Y 030 A000400 437 030 B000400 4.75 030 C000400 0.00 031 A000400 162 031 B000400 0 032 000400 0 033 000400 275 034 000400 Y 035 000400 0 036 A000400 Y 036 B000400 0 042 A000400 0 042 B000400 0 042 C000400 0 042 D000400 0 042 E000400 0 042 F000400 0 042 G000400 0 PAGE 21 042 H000400 100 043 000400 26 044 000400 0 045 000400 Y 046 000400 N 047 000400 N 048 000400 0.000 048 A010400 0 048 A020400 0.000 048 B010400 0 048 B020400 0.000 048 C010400 0 048 C020400 0.000 048 D010400 0 048 D020400 0.000 048 E010400 0 048 E020400 0.000 048 F010400 0 048 F020400 0.000 048 G010400 0 048 G020400 0.000 048 H010400 0 048 H020400 0.000 048 I010400 0 048 I020400 0.000 048 J010400 0 048 J020400 0.000 048 K010400 0 048 K020400 0.000 049 000400 N 050 000400 N 051 000400 N 052 000400 N 053 A000400 Y 053 B000400 Y 053 C000400 N 054 A000400 Y 054 B000400 Y 054 C000400 Y 054 D000400 N 054 E000400 N 054 F000400 N 054 G000400 Y 054 H000400 Y 054 I000400 N 054 J000400 Y 054 K000400 N 054 L000400 Y 054 M000400 Y 054 N000400 N 054 O000400 Y PAGE 22 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 058 A000400 N 059 000400 Y 060 A000400 N 060 B000400 N 061 000400 2000 066 A000400 Y 066 B000400 N 066 C000400 N 066 D000400 N 066 E000400 N 066 F000400 Y 066 G000400 N 067 000400 N 068 A000400 N 068 B000400 N 069 000400 N 070 A010400 N 070 A020400 N 070 B010400 N 070 B020400 N 070 C010400 N 070 C020400 N 070 D010400 N 070 D020400 N 070 E010400 N 070 E020400 N 070 F010400 N 070 F020400 N 070 G010400 N 070 G020400 N 070 H010400 N 070 H020400 N 070 I010400 N 070 I020400 N 070 J010400 Y 070 J020400 N 070 K010400 Y 070 K020400 Y 070 L010400 N 070 L020400 N 070 M010400 N 070 M020400 N 070 N010400 Y 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 Y PAGE 23 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 N 070 R020400 N 071 A000400 70397 071 B000400 0 071 C000400 29130 071 D000400 0 072 A000400 4 072 B000400 282 072 C000400 0 072 D000400 0 072 E000400 0 072 F000400 0 072 G000400 1 072 H000400 0 072 I000400 5 072 J000400 0 072 K000400 14 072 L000400 0 072 M000400 0 072 N000400 67 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 16 072 S000400 0 072 T000400 26 072 U000400 0 072 V000400 0 072 W000400 2 072 X000400 131 072 Y000400 91 072 Z000400 242 072AA000400 0 072BB000400 0 072CC010400 0 072CC020400 580 072DD010400 207 072DD020400 37 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 0 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 PAGE 24 074 F000400 0 074 G000400 0 074 H000400 0 074 I000400 69918 074 J000400 0 074 K000400 0 074 L000400 1315 074 M000400 0 074 N000400 71233 074 O000400 2254 074 P000400 12 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 32 074 S000400 0 074 T000400 68935 074 U010400 5686 074 U020400 1224 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 2496 074 Y000400 0 075 A000400 0 075 B000400 24089 076 000400 0.00 SIGNATURE TITLE This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: July 20, 2006 Name of Registrant, Depositor, or Trustee: - -------------------------------------------------------------------------------- By (Name and Title): /s/ Jeffrey P. Fox ------------------- Jeffrey P. Fox -- Treasurer and Chief Financial Officer - -------------------------------------------------------------------------------- Witness (Name and Title): /s/ Paul D. Pearson -------------------- Paul D. Pearson -- Assistant Treasurer - -------------------------------------------------------------------------------- RIVERSOURCE INCOME SERIES, INC. EX-99.77B ACCT LTTR 2 ex77b-report_income.txt REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM The Board of Directors and Shareholders RiverSource Income Series, Inc.: In planning and performing our audits of the financial statements of RiverSource Income Builder Basic Income Fund, RiverSource Income Builder Enhanced Income Fund, and RiverSource Income Builder Moderate Income Fund (funds within the RiverSource Income Series, Inc.) for the period from February 16, 2006, (when shares became publicly available) to May 31, 2006, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered their internal control over financial reporting, including control activities for safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds' internal control over financial reporting. Accordingly, we express no such opinion. The management of RiverSource Income Series, Inc. is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with U.S. generally accepted accounting principles. Such internal control includes policies and procedures that provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company's assets that could have a material effect on the financial statements. Because of inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A control deficiency exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A significant deficiency is a control deficiency, or combination of control deficiencies, that adversely affects the company's ability to initiate, authorize, record, process or report external financial data reliably in accordance with U.S. generally accepted accounting principles such that there is more than a remote likelihood that a misstatement of the company's annual or interim financial statements that is more than inconsequential will not be prevented or detected. A material weakness is a significant deficiency, or combination of significant deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. Our consideration of the RiverSource Income Series, Inc. internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be significant deficiencies or material weaknesses under the standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the RiverSource Income Series, Inc. internal control over financial reporting and its operation, including controls for safeguarding securities, that we consider to be a material weakness as defined above as of May 31, 2006. This report is intended solely for the information and use of management and the Board of Directors of RiverSource Income Series, Inc., and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ KPMG LLP ------------ KPMG LLP Minneapolis, Minnesota July 20, 2006 EX-99.77C VOTES 3 ex77c-votes_income.txt RESULTS OF MEETING OF SHAREHOLDERS RESULTS OF MEETING OF SHAREHOLDERS RIVERSOURCE SELECTIVE FUND REGULAR MEETING OF SHAREHOLDERS HELD ON FEB. 15, 2006 (UNAUDITED) A brief description of each proposal 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 each proposal is set forth below. A vote is based on total dollar interest in a fund.
APPROVE THE AGREEMENT AND PLAN OF REORGANIZATION AFFIRMATIVE AGAINST ABSTAIN BROKER NON-VOTES 549,827,752.34 19,442,541.53 18,865,626.64 0.00 ELECTION OF BOARD MEMBERS AFFIRMATIVE WITHHOLD Kathleen Blatz 565,148,733.18 22,987,187.33 Arne H. Carlson 564,300,167.27 23,835,753.24 Patricia M. Flynn 564,998,046.95 23,137,873.56 Anne P. Jones 563,661,569.70 24,474,350.81 Jeffrey Laikind 564,408,548.34 23,727,372.17 Stephen R. Lewis, Jr. 565,267,307.88 22,868,612.63 Catherine James Paglia 565,210,689.22 22,925,231.29 Vikki L. Pryor 564,808,984.15 23,326,936.36 Alan K. Simpson 563,021,443.24 25,114,477.27 Alison Taunton-Rigby 564,816,288.74 23,319,631.77 William F. Truscott 564,639,909.89 23,496,010.62 APPROVE AN AMENDMENT TO THE ARTICLES OF INCORPORATION. AFFIRMATIVE AGAINST ABSTAIN BROKER NON-VOTES 548,664,883.08 21,384,191.04 18,086,846.39 0.00 APPROVE AN INVESTMENT MANAGEMENT SERVICES AGREEMENT WITH RIVERSOURCE INVESTMENTS, LLC. AFFIRMATIVE AGAINST ABSTAIN BROKER NON-VOTES 552,358,786.50 16,718,473.49 19,058,660.52 0.00
EX-99.77E LEGAL 4 ex77e-legal_income.txt LEGAL PROCEEDINGS Exhibit 77E 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. Ameriprise Financial is required to make 10-Q, 10-K and, as necessary, 8-K filings with the Securities and Exchange Commission on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. -----END PRIVACY-ENHANCED MESSAGE-----