-----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, B3zXLUhfwJYYtBXZAyqLtnXK/eabHb9VBkuh6AC2w/xAYvsyhAbVbohhoPGbna4w QsdjLPeMh92Ho1zz+Bw1Pg== 0001068800-07-000265.txt : 20070129 0001068800-07-000265.hdr.sgml : 20070129 20070129122221 ACCESSION NUMBER: 0001068800-07-000265 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20061130 FILED AS OF DATE: 20070129 DATE AS OF CHANGE: 20070129 EFFECTIVENESS DATE: 20070129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE INCOME SERIES, INC. CENTRAL INDEX KEY: 0000052407 IRS NUMBER: 410839316 STATE OF INCORPORATION: MN FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-00499 FILM NUMBER: 07559629 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 RSMBX 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 REIVX C000009509 RiverSource Income Builder Enhanced Income Fund Class C C000009510 RiverSource Income Builder Enhanced Income Fund Class Y NSAR-A 1 answer.fil RIVERSOURCE INCOME SERIES, INC. 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C00AA00 Y 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 Y 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 Y 058 A00AA00 N 059 00AA00 Y 060 A00AA00 N 060 B00AA00 N 061 00AA00 2000 062 A00AA00 N 062 B00AA00 0.0 PAGE 6 062 C00AA00 0.0 062 D00AA00 0.0 062 E00AA00 0.0 062 F00AA00 0.0 062 G00AA00 0.0 062 H00AA00 0.0 062 I00AA00 0.0 062 J00AA00 0.0 062 K00AA00 0.0 062 L00AA00 0.0 062 M00AA00 0.0 062 N00AA00 0.0 062 O00AA00 0.0 062 P00AA00 0.0 062 Q00AA00 0.0 062 R00AA00 0.0 063 A00AA00 0 063 B00AA00 0.0 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 Y 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 084 B00AA00 0 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 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B000200 76808 076 000200 0.00 028 A010300 23412 028 A020300 201 028 A030300 0 028 A040300 881 028 B010300 20962 PAGE 11 028 B020300 296 028 B030300 0 028 B040300 1904 028 C010300 19199 028 C020300 349 028 C030300 0 028 C040300 1370 028 D010300 18558 028 D020300 405 028 D030300 0 028 D040300 1973 028 E010300 18544 028 E020300 503 028 E030300 0 028 E040300 1631 028 F010300 25484 028 F020300 583 028 F030300 0 028 F040300 2063 028 G010300 126159 028 G020300 2337 028 G030300 0 028 G040300 9822 028 H000300 18531 029 000300 Y 030 A000300 768 030 B000300 4.75 030 C000300 0.00 031 A000300 290 031 B000300 0 032 000300 0 033 000300 478 034 000300 Y 035 000300 5 036 A000300 N 036 B000300 0 042 A000300 0 042 B000300 0 042 C000300 0 042 D000300 0 042 E000300 0 042 F000300 0 042 G000300 0 042 H000300 100 043 000300 232 044 000300 0 049 000300 N 050 000300 N 051 000300 N 052 000300 N 053 A000300 Y PAGE 12 053 B000300 Y 053 C000300 N 055 A000300 N 055 B000300 N 056 000300 Y 057 000300 N 066 A000300 Y 066 B000300 N 066 C000300 N 066 D000300 N 066 E000300 N 066 F000300 Y 066 G000300 N 067 000300 N 068 A000300 N 068 B000300 N 069 000300 N 070 A010300 N 070 A020300 N 070 B010300 N 070 B020300 N 070 C010300 N 070 C020300 N 070 D010300 N 070 D020300 N 070 E010300 N 070 E020300 N 070 F010300 N 070 F020300 N 070 G010300 N 070 G020300 N 070 H010300 N 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 Y 070 J020300 N 070 K010300 Y 070 K020300 Y 070 L010300 N 070 L020300 N 070 M010300 N 070 M020300 N 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 N 070 Q010300 N 070 Q020300 N PAGE 13 070 R010300 N 070 R020300 N 071 A000300 126566 071 B000300 8150 071 C000300 123134 071 D000300 7 072 A000300 6 072 B000300 2896 072 C000300 0 072 D000300 0 072 E000300 0 072 F000300 0 072 G000300 12 072 H000300 0 072 I000300 47 072 J000300 1 072 K000300 2 072 L000300 0 072 M000300 0 072 N000300 84 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 8 072 S000300 0 072 T000300 232 072 U000300 0 072 V000300 0 072 W000300 4 072 X000300 390 072 Y000300 33 072 Z000300 2539 072AA000300 164 072BB000300 0 072CC010300 8350 072CC020300 0 072DD010300 2327 072DD020300 392 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 PAGE 14 074 I000300 188278 074 J000300 0 074 K000300 0 074 L000300 890 074 M000300 0 074 N000300 189168 074 O000300 714 074 P000300 38 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 73 074 S000300 0 074 T000300 188343 074 U010300 14842 074 U020300 2956 074 V010300 0.00 074 V020300 0.00 074 W000300 0.0000 074 X000300 6889 074 Y000300 0 075 A000300 0 075 B000300 124137 076 000300 0.00 028 A010400 35459 028 A020400 240 028 A030400 0 028 A040400 886 028 B010400 30573 028 B020400 381 028 B030400 0 028 B040400 2897 028 C010400 37553 028 C020400 484 028 C030400 0 028 C040400 1932 028 D010400 38651 028 D020400 601 028 D030400 0 028 D040400 1913 028 E010400 39166 028 E020400 785 028 E030400 0 028 E040400 2447 028 F010400 41111 028 F020400 925 028 F030400 0 028 F040400 2945 028 G010400 222513 028 G020400 3416 PAGE 15 028 G030400 0 028 G040400 13020 028 H000400 29859 029 000400 Y 030 A000400 1403 030 B000400 4.75 030 C000400 0.00 031 A000400 516 031 B000400 0 032 000400 0 033 000400 887 034 000400 Y 035 000400 6 036 A000400 N 036 B000400 0 042 A000400 0 042 B000400 0 042 C000400 0 042 D000400 0 042 E000400 0 042 F000400 0 042 G000400 0 042 H000400 100 043 000400 319 044 000400 0 049 000400 N 050 000400 N 051 000400 N 052 000400 N 053 A000400 Y 053 B000400 Y 053 C000400 N 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 066 A000400 Y 066 B000400 N 066 C000400 N 066 D000400 N 066 E000400 N 066 F000400 Y 066 G000400 N 067 000400 N 068 A000400 N 068 B000400 N 069 000400 N 070 A010400 N 070 A020400 N 070 B010400 N 070 B020400 N PAGE 16 070 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 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 N 070 R020400 N 071 A000400 229028 071 B000400 16600 071 C000400 174951 071 D000400 9 072 A000400 6 072 B000400 3947 072 C000400 0 072 D000400 0 072 E000400 0 072 F000400 0 072 G000400 17 072 H000400 0 072 I000400 67 072 J000400 0 072 K000400 10 072 L000400 0 072 M000400 0 072 N000400 100 072 O000400 0 PAGE 17 072 P000400 0 072 Q000400 0 072 R000400 8 072 S000400 0 072 T000400 319 072 U000400 0 072 V000400 0 072 W000400 5 072 X000400 526 072 Y000400 32 072 Z000400 3453 072AA000400 83 072BB000400 0 072CC010400 11878 072CC020400 0 072DD010400 3320 072DD020400 494 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 6 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 0 074 G000400 0 074 H000400 0 074 I000400 294307 074 J000400 0 074 K000400 0 074 L000400 1129 074 M000400 0 074 N000400 295442 074 O000400 1865 074 P000400 60 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 74 074 S000400 0 074 T000400 293443 074 U010400 23584 074 U020400 4114 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 10877 PAGE 18 074 Y000400 0 075 A000400 0 075 B000400 176663 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: January 22, 2007 Name of Registrant, Depositor, or Trustee: - -------------------------------------------------------------------------------- By (Name and Title): /s/ Jeffrey P. Fox ------------------ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - -------------------------------------------------------------------------------- Witness (Name and Title): /s/ Paul D. Pearson ------------------- Paul D. Pearson -- Assistant Treasurer - -------------------------------------------------------------------------------- RIVERSOURCE INCOME SERIES, INC. EX-99.77D POLICIES 2 income_ex99p77d.txt POLICIES WITH RESPECT TO SECURITY INVESTMENTS Exhibit 77D - ----------- For RiverSource Income Builder-Basic Income Fund At a Board of Directors meeting held on September 13-14, 2006 it was resolved that the non-fundamental investment policy that limits investments in securities of investment companies shall be and hereby is eliminated. For RiverSource Income Builder-Moderate Income Fund At a Board of Directors meeting held on September 13-14, 2006 it was resolved that the non-fundamental investment policy that limits investments in securities of investment companies shall be and hereby is eliminated. For RiverSource Income Builder-Enhanced Income Fund At a Board of Directors meeting held on September 13-14, 2006 it was resolved that the non-fundamental investment policy that limits investments in securities of investment companies shall be and hereby is eliminated. EX-99.77E LEGAL 3 income_ex99p77e.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. Information regarding certain pending and settled legal proceedings may be found in the Fund's shareholder reports and in the SAI. Additionally, Ameriprise Financial is required to make 10-Q, 10-K and, as necessary, 8-K filings with the Securities and Exchange Commission on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. -----END PRIVACY-ENHANCED MESSAGE-----