-----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, FBqD4ntn1+qxFs84VYrT64lc6ywxXsjHt1DTjjolgU0gNj5sxvMe+mOFCXNtOOW/ wKtrWtI6Sd0414Z9MFZSkg== 0000950123-10-005610.txt : 20100127 0000950123-10-005610.hdr.sgml : 20100127 20100127134648 ACCESSION NUMBER: 0000950123-10-005610 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20091130 FILED AS OF DATE: 20100127 DATE AS OF CHANGE: 20100127 EFFECTIVENESS DATE: 20100127 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE GOVERNMENT INCOME SERIES INC CENTRAL INDEX KEY: 0000764802 IRS NUMBER: 412021315 STATE OF INCORPORATION: MN FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04260 FILM NUMBER: 10550024 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 GOVERNMENT INCOME SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP GOVERNMENT INCOME SERIES INC DATE OF NAME CHANGE: 20021118 FORMER COMPANY: FORMER CONFORMED NAME: AXP FEDERAL INCOME FUND INC /MN/ DATE OF NAME CHANGE: 20000829 0000764802 S000003306 RiverSource Short Duration U.S. Government Fund C000008827 RiverSource Short Duration U.S. Government Fund Class I AGMIX C000008828 RiverSource Short Duration U.S. Government Fund Class A IFINX C000008829 RiverSource Short Duration U.S. Government Fund Class B ISHOX C000008830 RiverSource Short Duration U.S. Government Fund Class C AXFCX C000042928 RiverSource Short Duration U.S. Government Fund Class R4 IDFYX C000042929 RiverSource Short Duration U.S. Government Fund Class W RSDWX C000076520 RiverSource Short Duration U.S. Government Fund Class R2 RSDRX 0000764802 S000003307 RiverSource U.S. Government Mortgage Fund C000008832 RiverSource U.S. Government Mortgage Fund Class I RVGIX C000008834 RiverSource U.S. Government Mortgage Fund Class A AUGAX C000008835 RiverSource U.S. Government Mortgage Fund Class B AUGBX C000008836 RiverSource U.S. Government Mortgage Fund Class C AUGCX C000042930 RiverSource U.S. Government Mortgage Fund Class R4 RSGYX NSAR-A 1 answer.fil SEMI ANNUAL REPORT PAGE 1 000 A000000 11/30/2009 000 C000000 0000764802 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 GOVERNMENT INCOME SERIES, INC. 001 B000000 811-4260 001 C000000 6126715682 002 A000000 50606 AMERIPRISE FINANCIAL CENTER 002 B000000 MINNEAPOLIS 002 C000000 MN 002 D010000 55474 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 RVS SHORT DURATION U.S. GOVERNMENT FUND 007 C030100 N 007 C010200 2 007 C020200 RVS U.S. GOVERNMENT MORTGAGE FUND 007 C030200 N 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 RIVERSOURCE INVESTMENTS, LLC 008 B00AA01 A 008 C00AA01 801-25943 008 D01AA01 MINNEAPOLIS 008 D02AA01 MN 008 D03AA01 55474 010 A00AA01 AMERIPRISE FINANCIAL, INC. 010 C01AA01 MINNEAPOLIS 010 C02AA01 MN 010 C03AA01 55474 011 A00AA01 RIVERSOURCE FUND DISTRIBUTORS, INC. 011 B00AA01 8-25845 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 PAGE 2 011 A00AA02 DELETE 012 A00AA01 RIVERSOURCE SERVICE CORPORATION 012 B00AA01 84-5685 012 C01AA01 MINNEAPOLIS 012 C02AA01 MN 012 C03AA01 55474 013 A00AA01 ERNST & YOUNG LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 133 019 C00AA00 RIVERSORCE 020 A000001 J.P. 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E040102 X 024 000100 Y 025 A000101 GOLDMAN SACHS GROUP 025 B000101 13-5108880 025 C000101 D 025 D000101 7863 025 A000102 JPMORGAN CHASE COMMERICAL MTGE SECURITIES 025 B000102 13-3224016 025 C000102 D 025 D000102 5220 025 A000103 JPMORGAN CHASE & CO. 025 B000103 13-3224016 025 C000103 D 025 D000103 2984 025 A000104 MORGAN STANLEY 025 B000104 13-2655998 025 C000104 D 025 D000104 8357 025 A000105 MORGAN STANLEY MTGE LOAN TRUST 025 B000105 13-2655998 025 C000105 D 025 D000105 883 025 A000106 MORGAN STANLEY CAPITAL I 025 B000106 13-2655998 025 C000106 D 025 D000106 1921 025 A000107 MORGAN STANLEY HOME EQUITY LOAN TRUST 025 B000107 13-2655998 025 C000107 D 025 D000107 1159 025 A000108 LEHMAN XS TRUST 025 B000108 13-2501865 025 C000108 D 025 D000108 798 025 A000109 JEFFERIES & CO 025 B000109 95-2622900 025 C000109 D 025 D000109 1340 025 A000110 BEAR STEARNS COMMERCIAL MTGE SECURITIES 025 B000110 13-3299429 025 C000110 D 025 D000110 1544 025 A000111 BEAR STEARNS ASSET BACKED SECURITIES TRUST 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000100 17 036 A000100 N 036 B000100 0 PAGE 7 037 000100 N 038 000100 0 039 000100 N 040 000100 Y 041 000100 Y 042 A000100 0 042 B000100 0 042 C000100 0 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 100 043 000100 1240 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 1000000 048 A020100 0.480 048 B010100 1000000 048 B020100 0.455 048 C010100 1000000 048 C020100 0.430 048 D010100 3000000 048 D020100 0.405 048 E010100 1500000 048 E020100 0.380 048 F010100 1500000 048 F020100 0.365 048 G010100 1000000 048 G020100 0.340 048 H010100 5000000 048 H020100 0.325 048 I010100 5000000 048 I020100 0.315 048 J010100 4000000 048 J020100 0.290 048 K010100 50000000 048 K020100 0.250 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 Y 053 B000100 Y 053 C000100 N 055 A000100 N 055 B000100 N 056 000100 Y PAGE 8 057 000100 N 058 A000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 2000 062 A000100 Y 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 14.9 062 M000100 0.0 062 N000100 49.0 062 O000100 0.0 062 P000100 51.5 062 Q000100 0.2 062 R000100 0.0 063 A000100 0 063 B000100 11.6 064 A000100 Y 064 B000100 N 066 A000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 N 070 B010100 N 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 N 070 D020100 N 070 E010100 Y 070 E020100 Y 070 F010100 N 070 F020100 N 070 G010100 Y 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N PAGE 9 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 Y 070 L010100 Y 070 L020100 N 070 M010100 N 070 M020100 N 070 N010100 Y 070 N020100 Y 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 Y 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 1379088 071 B000100 1430082 071 C000100 687723 071 D000100 201 072 A000100 6 072 B000100 12134 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 1687 072 G000100 241 072 H000100 0 072 I000100 560 072 J000100 7 072 K000100 116 072 L000100 0 072 M000100 10 072 N000100 39 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 7 072 S000100 8 072 T000100 1240 072 U000100 0 072 V000100 0 072 W000100 21 072 X000100 3936 072 Y000100 574 072 Z000100 8772 072AA000100 0 072BB000100 1162 072CC010100 18117 PAGE 10 072CC020100 0 072DD010100 7481 072DD020100 2023 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 0 074 B000100 0 074 C000100 0 074 D000100 709939 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 105070 074 J000100 22868 074 K000100 0 074 L000100 4524 074 M000100 0 074 N000100 842401 074 O000100 31758 074 P000100 192 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 106351 074 S000100 0 074 T000100 704100 074 U010100 112007 074 U020100 36349 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 57367 074 Y000100 30632 075 A000100 0 075 B000100 697394 076 000100 0.00 015 A000201 JPMORGAN CHASE BANK, N.A. 015 B000201 C 015 C010201 NEW YORK 015 C020201 NY 015 C030201 10005 015 E010201 X 024 000200 Y 025 A000201 CITIGROUP/DEUTSCHE BANK COMMERICAL MTGE TRUST 025 B000201 11-2418191 025 C000201 D PAGE 11 025 D000201 3024 025 A000202 CREDIT SUISSE MORTGAGE CAPITAL CTFS 025 B000202 13-5659485 025 C000202 D 025 D000202 4813 025 A000203 GS MORTGAGE SECURITIES II 025 B000203 13-5108880 025 C000203 D 025 D000203 815 025 A000204 LB-UBS COMMERCIAL MTGE TRUST 025 B000204 13-2518466 025 C000204 D 025 D000204 1908 025 A000205 BEAR STEARNS COMMERCIAL MTGE SECURITIES 025 B000205 13-3299429 025 C000205 D 025 D000205 6175 025 A000206 BEAR STEARNS ASSET BACKED SEC. TRUST 025 B000206 13-3299429 025 C000206 D 025 D000206 437 025 A000207 CHASEFLEX TRUST 025 B000207 13-5225436 025 C000207 D 025 D000207 409 025 A000208 CITIGROUP MTGE LOAN TRUST 025 B000208 11-2418191 025 C000208 D 025 D000208 3717 025 A000209 JEFFERIES & CO. 025 B000209 95-2622900 025 C000209 D 025 D000209 1653 025 A000210 JPMORGAN REREMIC 025 B000210 13-3224016 025 C000210 D 025 D000210 154 025 A000211 JPMORGAN MTGE ACQUISITION 025 B000211 13-3224016 025 C000211 D 025 D000211 75 025 A000212 JPMORGAN TRUST 025 B000212 13-3224016 025 C000212 D 025 D000212 1352 025 A000213 MORGAN STANLEY HOME EQUITY TRUST 025 B000213 13-2655998 025 C000213 D 025 D000213 435 025 D000214 0 025 D000215 0 PAGE 12 025 D000216 0 028 A010200 2701 028 A020200 1100 028 A030200 0 028 A040200 14649 028 B010200 -791 028 B020200 1085 028 B030200 0 028 B040200 17023 028 C010200 7381 028 C020200 1106 028 C030200 0 028 C040200 6865 028 D010200 1473 028 D020200 1213 028 D030200 0 028 D040200 8939 028 E010200 1235 028 E020200 1141 028 E030200 0 028 E040200 43536 028 F010200 2237 028 F020200 1017 028 F030200 0 028 F040200 9587 028 G010200 14236 028 G020200 6662 028 G030200 0 028 G040200 100599 028 H000200 994 029 000200 Y 030 A000200 37 030 B000200 4.75 030 C000200 0.00 031 A000200 11 031 B000200 0 032 000200 0 033 000200 26 034 000200 Y 035 000200 3 036 A000200 N 036 B000200 0 037 000200 N 038 000200 0 039 000200 N 040 000200 Y 041 000200 Y 042 A000200 0 042 B000200 0 042 C000200 0 042 D000200 0 PAGE 13 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 043 000200 229 044 000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.000 048 A010200 1000000 048 A020200 0.480 048 B010200 1000000 048 B020200 0.455 048 C010200 1000000 048 C020200 0.430 048 D010200 3000000 048 D020200 0.405 048 E010200 1500000 048 E020200 0.380 048 F010200 1500000 048 F020200 0.365 048 G010200 1000000 048 G020200 0.360 048 H010200 5000000 048 H020200 0.350 048 I010200 5000000 048 I020200 0.340 048 J010200 4000000 048 J020200 0.330 048 K010200 50000000 048 K020200 0.290 049 000200 N 050 000200 N 051 000200 N 052 000200 N 053 A000200 Y 053 B000200 Y 053 C000200 N 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 2000 062 A000200 Y 062 B000200 0.0 062 C000200 0.0 PAGE 14 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 3.0 062 M000200 0.0 062 N000200 0.0 062 O000200 0.0 062 P000200 122.4 062 Q000200 0.0 062 R000200 0.0 063 A000200 0 063 B000200 23.6 064 A000200 Y 064 B000200 N 066 A000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 N 070 B010200 N 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 N 070 D020200 N 070 E010200 Y 070 E020200 Y 070 F010200 N 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 Y 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 Y PAGE 15 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 969330 071 B000200 1044139 071 C000200 365031 071 D000200 266 072 A000200 6 072 B000200 8479 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 732 072 G000200 107 072 H000200 0 072 I000200 119 072 J000200 8 072 K000200 20 072 L000200 0 072 M000200 4 072 N000200 28 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 14 072 S000200 2 072 T000200 229 072 U000200 0 072 V000200 0 072 W000200 7 072 X000200 1270 072 Y000200 233 072 Z000200 7442 072AA000200 1048 072BB000200 0 072CC010200 16812 072CC020200 0 072DD010200 1762 072DD020200 5270 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 0 PAGE 16 074 B000200 0 074 C000200 0 074 D000200 327216 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 8133 074 J000200 23023 074 K000200 0 074 L000200 1795 074 M000200 0 074 N000200 360167 074 O000200 91731 074 P000200 38 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 975 074 S000200 0 074 T000200 267423 074 U010200 15557 074 U020200 37160 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 9959 074 Y000200 164 075 A000200 0 075 B000200 301851 076 000200 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 20, 2010 Name of Registrant, Depositor, or Trustee: RiverSource Government Income Series, Inc. /s/ Jeffrey P. Fox -- Treasurer and Principal Financial Officer - ---------------------- By (Name and Title): /s/ Wade M. Voigt -- Assistant Treasurer - ----------------------- Witness (Name and Title): RIVERSOURCE GOVERNMENT INCOME SERIES, INC. EX-99.77E LEGAL 2 ex77e.txt EXHIBIT 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. EX-99.77H CHNG CNTRL 3 ex77h.txt EXHIBIT EXHIBIT 77H For RiverSource U.S. Government Mortgage Fund: During the six-month period ended Nov. 30, 2009, the Fund served as an underlying investment of affiliated funds-of-funds. The RiverSource Income Builder funds and RiverSource Investments, LLC and RiverSource Life Insurance Company through their initial capital investments, were owners of record of more than 25% of the outstanding shares of the Fund. EX-99.77I NEW SECUR 4 ex77i.txt EXHIBIT EXHIBIT 77I RIVERSOURCE GOVERNMENT INCOME SERIES, INC. FOR RIVERSOURCE SHORT DURATION U.S. GOVERNMENT FUND Class R2 shares are offered exclusively to certain qualifying institutional investors at net asset value without an initial sales charge or contingent deferred sales charge on redemption. These shares do not convert to any other class of shares. Class R2 shares have an annual distribution and shareholder servicing (12b-1) fee and an annual plan administration services fee. The following eligible institutional investors may purchase Class R2 shares: o Qualified employee benefit plans. o Trust companies or similar institutions, and charitable organizations that meet the definition in Section 501(c)(3) of the Internal Revenue Code. o Non-qualified deferred compensation plans whose participants are included in a qualified employee benefit plan described above. o State sponsored college savings plans established under Section 529 of the Internal Revenue Code. o Health Savings Accounts created pursuant to public law 108-173. Class R shares generally are not available to retail non-retirement accounts, traditional and Roth IRAs, Coverdell Educational Savings Accounts, SEPs, SARSEPs, SIMPLE IRAs and individual 403(b) plans. Class R shares may be purchased, sold or exchanged only through the distributor or an authorized financial intermediary. EX-99.77M MERGERS 5 ex77m.txt EXHIBIT EXHIBIT 77M FOR RIVERSOURCE GOVERNMENT INCOME SERIES, INC. MERGER OF SELIGMAN U.S. GOVERNMENT SECURITIES FUND INTO RIVERSOURCE SHORT DURATION U.S. GOVERNMENT FUND On August 28, 2009, Seligman U.S. Government Securities Fund (the Selling Fund), a series of Seligman High Income Fund Series, merged into RiverSource Short Duration U.S. Government Fund (the Buying Fund), a series of RiverSource Government Income Series, Inc. BOARD ACTION: Board members of the Selling Fund and Board Members of the Buying Fund, at a meeting held on Jan. 8, 2009, approved an Agreement and Plan of Reorganization (Agreement). Each Board determined that participation in the reorganization was in the best interests of the respective Fund and that the interests of existing shareholders of the respective Fund would not be diluted as a result of the reorganization. SHAREHOLDER APPROVAL: The shareholders of the Selling Fund approved the Agreement between the Selling Fund and the Buying Fund at a special meeting of shareholders held on June 29, 2009. TERMS OF THE REORGANIZATION: Under the Agreement, the Selling Fund transferred all of its assets attributable to Class A, Class B, Class C and Class R* shares to the Buying Fund in exchange for Class A, Class B, Class C and Class R2 shares of the Buying Fund, respectively. Those shares were distributed proportionately to the shareholders of the Selling Fund. The Buying Fund assumed the liabilities of the Selling Fund. The shareholders did not pay any sales charge in connection with the distribution of shares. RiverSource Investments, LLC and its affiliates agreed to bear the costs of effecting the reorganization. * Effective June 13, 2009, the Class R shares of Seligman U.S. Government Securities Fund were redesignated as Class R2 shares. -----END PRIVACY-ENHANCED MESSAGE-----