-----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, H2x1cURd+HVjkZ1PH61QzFrD8qHX5Q1aaIky0Lxi3Qe8A2EA3YliMdr5eZY3w0z0 7jDHO90GOnb3x7gNWK8pRw== 0000950123-10-069766.txt : 20100729 0000950123-10-069766.hdr.sgml : 20100729 20100729160538 ACCESSION NUMBER: 0000950123-10-069766 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20100531 FILED AS OF DATE: 20100729 DATE AS OF CHANGE: 20100729 EFFECTIVENESS DATE: 20100729 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-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-04260 FILM NUMBER: 10977942 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-B 1 answer.fil ANNUAL REPORT PAGE 1 000 B000000 05/31/2010 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 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, 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 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC. 011 B00AA01 8-25845 011 C01AA01 MINNEAPOLIS 011 C02AA01 MN 011 C03AA01 55474 PAGE 2 012 A00AA01 COLUMBIA MANAGEMENT INVESTMENT SERVICES CORP. 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 279 019 C00AA00 COLUMBIAFD 020 A000001 J.P. 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025 A000113 MORGAN STANLEY CAPITAL I 025 B000113 13-2655998 025 C000113 D 025 D000113 4935 025 A000114 DELETE 025 D000114 0 025 D000115 0 025 D000116 0 028 A010100 9827 028 A020100 2745 028 A030100 0 028 A040100 21070 028 B010100 19240 028 B020100 954 028 B030100 0 028 B040100 19085 028 C010100 10684 028 C020100 703 028 C030100 0 028 C040100 19615 028 D010100 9002 028 D020100 693 028 D030100 0 028 D040100 20341 028 E010100 7796 028 E020100 677 028 E030100 0 028 E040100 25761 028 F010100 13678 028 F020100 403 028 F030100 0 028 F040100 16722 028 G010100 70227 028 G020100 6175 028 G030100 0 028 G040100 122594 028 H000100 9763 029 000100 Y 030 A000100 359 030 B000100 3.00 030 C000100 0.00 031 A000100 98 031 B000100 0 032 000100 6 PAGE 7 033 000100 255 034 000100 Y 035 000100 34 036 A000100 N 036 B000100 0 037 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 2354 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 PAGE 8 053 B000100 Y 053 C000100 N 055 A000100 N 055 B000100 N 056 000100 Y 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 4.7 062 M000100 0.0 062 N000100 86.7 062 O000100 0.0 062 P000100 11.6 062 Q000100 10.2 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025 A000201 BEAR STEARNS COMMERCIAL MTGE SECURITIES 025 B000201 13-3299429 025 C000201 D 025 D000201 3165 025 A000202 BEAR STEARNS ASSET BACKED SECURITIES TRUST 025 B000202 13-3299429 025 C000202 D 025 D000202 340 025 A000203 CHASEFLEX TRUST 025 B000203 13-5225436 025 C000203 D 025 D000203 398 025 A000204 CITIGROUP MORTGAGE LOAN TRUST, INC. 025 B000204 11-2418191 025 C000204 D 025 D000204 1107 025 A000205 CREDIT SUISSE MORTGAGE CAPITAL CTFS 025 B000205 13-5659485 025 C000205 D 025 D000205 7823 025 A000206 GS MTGE SECURITIES CORP. 025 B000206 13-5108880 025 C000206 D 025 D000206 6428 025 A000207 JEFFERIES & CO. 025 B000207 95-2622900 025 C000207 D 025 D000207 2285 025 A000208 JPMORGAN CHASE COMMERCIAL MTGE SECURITIES 025 B000208 13-3224016 025 C000208 D 025 D000208 991 025 A000209 JP MORGAN REREMIE 025 B000209 13-3224016 025 C000209 D 025 D000209 535 025 A000210 JPMORGAN MTGE TRUST 025 B000210 13-3224016 025 C000210 D 025 D000210 667 025 A000211 DELETE 025 D000211 0 025 A000212 DELETE 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W000200 15 072 X000200 2274 072 Y000200 438 072 Z000200 13297 072AA000200 5611 072BB000200 0 072CC010200 15111 072CC020200 0 072DD010200 3656 072DD020200 8904 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 790 074 B000200 0 PAGE 16 074 C000200 0 074 D000200 291956 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 11867 074 J000200 17971 074 K000200 0 074 L000200 1446 074 M000200 0 074 N000200 324030 074 O000200 87465 074 P000200 25 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 753 074 S000200 0 074 T000200 235787 074 U010200 15589 074 U020200 30167 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 9371 074 Y000200 151 075 A000200 0 075 B000200 262754 076 000200 0.00 This report is signed on behalf of the registrant (or depositor or trustee). City of: Minneapolis State of: Minnesota Date: July 21, 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-99.77B ACCT LTTR 2 ex9977b.txt EX-77B Exhibit 77B Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Directors of the RiverSource Government Income Series Inc. In planning and performing our audits of the financial statements of the funds listed in the accompanying Attachment A (the Funds) which comprise the RiverSource Government Income Series Inc. as of and for the year ended May 31, 2010, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds' internal control over financial reporting, including controls over 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 the Funds 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 fund'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 generally accepted accounting principles. A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund's assets that could have a material effect on the financial statements. Because of its 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 deficiency in internal control over financial reporting 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 material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds' 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 material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds' internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of May 31, 2010. This report is intended solely for the information and use of management and the Board of Directors of the RiverSource Government 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/ Ernst & Young LLP Minneapolis, MN July 21, 2010 ATTACHMENT A FUNDS COMPRISING THE RIVERSOURCE GOVERNMENT INCOME SERIES INC. RiverSource Short Duration U.S. Government Fund RiverSource U.S. Government Mortgage Fund EX-99.77E LEGAL 3 ex9977e.txt EX-77E RIVERSOURCE GOVERNMENT INCOME SERIES, INC. - FORM N-SAR EXHIBITS - ---------------------------------------------------------------- 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. EX-99.77H CHNG CNTRL 4 ex9977h.txt EX-77H RIVERSOURCE GOVERNMENT INCOME SERIES, INC. - FORM N-SAR EXHIBITS - ---------------------------------------------------------------- EXHIBIT 77H, CHANGES IN CONTROL OF REGISTRANT: For RiverSource U.S. Government Mortgage Fund: During the fiscal year ended May 31, 2010, the Fund served as an underlying investment of affiliated funds-of-funds. The RiverSource Portfolio Builder funds, RiverSource Income Builder funds, and Columbia Management Investment Advisers, 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. -----END PRIVACY-ENHANCED MESSAGE-----