-----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, UboP5SXStRhBI5MlKbVD5xCgag51JrZivfCa4hRon4dCyP2FE79jWAQWnpLJMBGu 91JQ90jbJCVVyDkb7sQ1hw== 0000950123-10-050352.txt : 20100517 0000950123-10-050352.hdr.sgml : 20100517 20100517155513 ACCESSION NUMBER: 0000950123-10-050352 CONFORMED SUBMISSION TYPE: 497 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100517 DATE AS OF CHANGE: 20100517 EFFECTIVENESS DATE: 20100517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE DIVERSIFIED INCOME SERIES INC CENTRAL INDEX KEY: 0000049697 IRS NUMBER: 411237361 STATE OF INCORPORATION: MN FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-51586 FILM NUMBER: 10838379 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: RIVERSOURCE DIVERSIFIED INCOME SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP FIXED INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP BOND FUND INC DATE OF NAME CHANGE: 20000829 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE INVESTMENT SERIES, INC. CENTRAL INDEX KEY: 0000052347 IRS NUMBER: 410839315 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-11328 FILM NUMBER: 10838381 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 INVESTMENT SERIES INC DATE OF NAME CHANGE: 19991124 FORMER COMPANY: FORMER CONFORMED NAME: IDS INVESTMENT SERIES INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: IDS MUTUAL INC/NEW DATE OF NAME CHANGE: 19911124 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE HIGH YIELD INCOME SERIES, INC. CENTRAL INDEX KEY: 0000728374 IRS NUMBER: 411458705 STATE OF INCORPORATION: MN FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-86637 FILM NUMBER: 10838382 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 HIGH YIELD INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP EXTRA INCOME FUND INC/MN DATE OF NAME CHANGE: 20000825 FORMER COMPANY: FORMER CONFORMED NAME: IDS EXTRA INCOME FUND INC DATE OF NAME CHANGE: 19920703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE STRATEGIC ALLOCATION SERIES, INC. CENTRAL INDEX KEY: 0000755221 IRS NUMBER: 411503589 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-93801 FILM NUMBER: 10838380 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 MANAGED SERIES INC DATE OF NAME CHANGE: 19991124 FORMER COMPANY: FORMER CONFORMED NAME: IDS MANAGED RETIREMENT FUND INC DATE OF NAME CHANGE: 19920703 0000049697 S000003362 RiverSource Diversified Bond Fund C000009231 RiverSource Diversified Bond Fund Class I RDBIX C000009232 RiverSource Diversified Bond Fund Class A INBNX C000009233 RiverSource Diversified Bond Fund Class B ININX C000009234 RiverSource Diversified Bond Fund Class C AXBCX C000038360 RiverSource Diversified Bond Fund Class R2 C000038361 RiverSource Diversified Bond Fund Class R3 RSDBX C000038362 RiverSource Diversified Bond Fund Class R5 RSVBX C000038363 RiverSource Diversified Bond Fund Class W RVBWX C000039562 RiverSource Diversified Bond Fund Class R4 IDBYX 0000052347 S000003395 RiverSource Balanced Fund C000009327 RiverSource Balanced Fund Class C RVBCX C000009328 RiverSource Balanced Fund Class A INMUX C000009329 RiverSource Balanced Fund Class B IDMBX C000043290 RiverSource Balanced Fund Class R4 IDMYX C000076521 RiverSource Balanced Fund Class R2 RVBRX C000076522 RiverSource Balanced Fund Class R5 RVBSX 0000728374 S000003310 RiverSource High Yield Bond Fund C000008855 RiverSource High Yield Bond Fund Class I RSHIX C000008857 RiverSource High Yield Bond Fund Class A INEAX C000008858 RiverSource High Yield Bond Fund Class B IEIBX C000008859 RiverSource High Yield Bond Fund Class C APECX C000042972 RiverSource High Yield Bond Fund Class R2 C000042973 RiverSource High Yield Bond Fund Class R3 C000042974 RiverSource High Yield Bond Fund Class R4 RSHYX C000042975 RiverSource High Yield Bond Fund Class R5 RSHRX C000042976 RiverSource High Yield Bond Fund Class W RHYWX 0000755221 S000017175 RiverSource Strategic Income Allocation Fund C000047619 RiverSource Strategic Income Allocation Fund Class A RSGAX C000047620 RiverSource Strategic Income Allocation Fund Class B RIABX C000047621 RiverSource Strategic Income Allocation Fund Class C RAICX C000068290 RiverSource Strategic Income Allocation Fund Class R2 RSDOX C000068291 RiverSource Strategic Income Allocation Fund Class R3 RSARX C000068292 RiverSource Strategic Income Allocation Fund Class R4 RSTRX C000068293 RiverSource Strategic Income Allocation Fund Class R5 RSFRX 497 1 c58272ae497.txt 497 . . . STATEMENT OF ADDITIONAL INFORMATION (SAI) SUPPLEMENT -- MAY 14, 2010*
FUND (SAI DATE) FORM # RiverSource Balanced Fund (4/1/10) S-6500 CJ RiverSource Diversified Bond Fund (4/1/10) S-6500 CJ RiverSource High Yield Bond Fund (4/1/10) S-6500 CJ
Effective May 27, 2010, Table 19. Portfolio Managers, is revised as follows for the funds listed above: Reporting provided as of fiscal year end, unless otherwise noted:
OTHER ACCOUNTS MANAGED (EXCLUDING THE FUND) --------------------------------------------------------- APPROXIMATE OWNERSHIP CONFLICTS NUMBER AND TYPE TOTAL NET PERFORMANCE BASED OF FUND OF STRUCTURE OF FUND PORTFOLIO MANAGER OF ACCOUNT(a) ASSETS ACCOUNTS(b) SHARES INTEREST COMPENSATION - ------------------------------------------------------------------------------------------------------------------------------------ FOR FUNDS WITH FISCAL PERIOD ENDING MAY 31 - ------------------------------------------------------------------------------------------------------------------------------------ RiverSource High Jennifer Ponce de 4 RICs $5.49 billion None None Yield Bond Leon(c) 1 PIV $9.56 million 28 other accounts $4.89 billion (4) (A) -------------------------------------------------------------------------------------------- Brian Lavin(c) 2 RICs $2.92 billion None None 1 PIV $9.56 million 4 other account $1.78 million - ------------------------------------------------------------------------------------------------------------------------------------ FOR FUNDS WITH FISCAL PERIOD ENDED AUGUST 31 - ------------------------------------------------------------------------------------------------------------------------------------ RiverSource Tom Murphy 6 RICs $6.26 billion 3 RICs ($916.13 M) $10,001 - Diversified Bond 2 PIVs $826.67 million $50,000 14 other accounts $12.60 billion -------------------------------------------------------------------------------------------- Jennifer Ponce de 4 RICs $5.49 billion None $10,001 - (4) (A) Leon(c) 1 PIV $9.56 million $50,000 28 other accounts $4.89 billion -------------------------------------------------------------------------------------------- Colin Lundgren(d) 17 RICs $1.59 billion None $100,001 - 15 other accounts $203.49 million $500,000 - ------------------------------------------------------------------------------------------------------------------------------------ FOR FUNDS WITH FISCAL PERIOD ENDED SEPTEMBER 30 - ------------------------------------------------------------------------------------------------------------------------------------ Balanced Steve Schroll 12 RICs $13.73 billion 8 RICs ($13.23 B) None 2 PIVs $48.35 million 18 other accounts(f) $2.42 billion -------------------------------------------------------------------------------------------- Laton Spahr 12 RICs $13.73 billion 8 RICs ($13.23 B) $1 - 2 PIVs $48.35 million $10,000 (E) 16 other accounts(f) $2.42 billion -------------------------------------------------------------------------------------------- Paul Stocking 12 RICs $13.73 billion 8 RICs ($13.23 B) None 2 PIVs $48.35 million 21 other accounts(f) $2.42 billion (4) -------------------------------------------------------------------------------------------- ------------ Tom Murphy 6 RICs $10.40 billion 2 RICs ($729.4 M) None 2 PIVs $835.61 million 18 other accounts $15.33 billion -------------------------------------------------------------------------------------------- Jennifer Ponce de 4 RICs $5.49 billion None None (A) Leon(c) 1 PIV $9.56 million 28 other accounts $4.89 billion -------------------------------------------------------------------------------------------- Colin Lundgren(d) 17 RICs $1.59 billion None None 15 other accounts $203.49 million - ------------------------------------------------------------------------------------------------------------------------------------ RiverSource Colin Lundgren 16 RICs $1.24 billion None None (4) (A) Strategic 14 other accounts $1.22 billion Income Allocation -------------------------------------------------------------------------------------------- Gene R. Tannuzzo 2 other accounts $0.04 million None $1 - (4) (A) $10,000 -------------------------------------------------------------------------------------------- Brian Lavin(c) 2 RICs $2.92 billion None None 1 PIV $9.56 million 4 other account $1.78 million -------------------------------------------------------------------------------------------- Laura A. 4 RICs $2.2 billion None None (3) (C) Ostrander(e) 10 other accounts $1.7 million - ------------------------------------------------------------------------------------------------------------------------------------
(a) RIC refers to a Registered Investment Company (each series or portfolio of a RIC is treated as a separate RIC); PIV refers to a Pooled Investment Vehicle. (b) 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. (c) Portfolio manager began managing the fund after its fiscal year end; therefore reporting is provided as of April 30, 2010. (d) Portfolio manager began managing the fund after its fiscal year end; therefore reporting is provided as of Dec. 31, 2009. (e) Portfolio manager began managing the fund after its fiscal year end; therefore reporting is provided as of March 31, 2010. (f) Reflects each wrap program strategy as a single client, rather than counting each participant in the program as a separate client. The rest of this section remains the same. *Valid until next update. -----END PRIVACY-ENHANCED MESSAGE-----