0000950123-11-069637.txt : 20110728
0000950123-11-069637.hdr.sgml : 20110728
20110728163513
ACCESSION NUMBER: 0000950123-11-069637
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20110531
FILED AS OF DATE: 20110728
DATE AS OF CHANGE: 20110728
EFFECTIVENESS DATE: 20110728
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: 11994132
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 R
RSDRX
0000764802
S000003307
Columbia U.S. Government Mortgage Fund
C000008832
Columbia U.S. Government Mortgage Fund Class I
RVGIX
C000008834
Columbia U.S. Government Mortgage Fund Class A
AUGAX
C000008835
Columbia U.S. Government Mortgage Fund Class B
AUGBX
C000008836
Columbia U.S. Government Mortgage Fund Class C
AUGCX
C000042930
Columbia U.S. Government Mortgage Fund Class R4
RSGYX
C000094116
Columbia U.S. Government Mortgage Fund Class Z
CUGZX
NSAR-B
1
answer.fil
NSAR-B
PAGE 1
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PAGE 2
011 C03AA01 02111
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012 C03AA01 02110
013 A00AA01 ERNST & YOUNG LLP
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PAGE 3
022 A000004 CITIGROUP GLOBAL MARKETS INC.
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PAGE 6
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PAGE 8
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PAGE 9
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PAGE 11
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PAGE 12
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PAGE 13
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PAGE 14
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PAGE 16
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SIGNATURE
TITLE
This report is signed on behalf of the registrant (or depositor or trustee).
City of: Minneapolis State of: Minnesota Date: July 22, 2011
Name of Registrant, Depositor, or Trustee: RiverSource Government Income
Series, Inc.
/s/ Michael G. Clarke
----------------------
Michael G. Clarke
Treasurer
/s/ Wade M. Voigt
----------------------
Wade M. Voigt
Assistant Treasurer
Witness
RIVERSOURCE GOVERNMENT INCOME SERIES, INC.
EX-99.77B ACCT LTTR
2
c65610ex77b.txt
ACCT LTTR
EX-99.77B
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 audit of the financial statements of the
RiverSource Short Duration U.S. Government Fund (the Fund) which comprises the
RiverSource Government Income Series, Inc. as of and for the year ended May 31,
2011, in accordance with the standards of the Public Company Accounting
Oversight Board (United States), we considered the Fund's 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
Fund's internal control over financial reporting. Accordingly, we express no
such opinion.
The management of the Fund 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 trustees 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 Fund's 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 Fund's
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, 2011.
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 22, 2011
EX-99.77C VOTES
3
ex77c.txt
VOTES
RIVERSOURCE GOVERNMENT INCOME SERIES, INC.
EXHIBIT 77C
RESULTS OF MEETING OF SHAREHOLDERS
SPECIAL MEETING OF SHAREHOLDERS HELD ON FEB. 15, 2011
(UNAUDITED)
A brief description of the proposal(s) 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 the proposals are set forth below. A vote is based on total
number of shares outstanding in the Fund.
PROPOSAL 1. To elect directors to the Board.*
-----------------------------------------------------------------------------------------------------------------
DOLLARS VOTED DOLLARS VOTED BROKER NON-
"FOR" "WITHHOLD" ABSTENTIONS VOTES
-----------------------------------------------------------------------------------------------------------------
01. Kathleen Blatz 701,935,846.519 15,293,672.461 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
02. Edward J. Boudreau, Jr. 702,236,051.833 14,993,467.146 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
03. Pamela G. Carlton 701,753,035.705 15,476,483.275 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
04. William P. Carmichael 700,607,641.416 16,621,877.564 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
05. Patricia M. Flynn 702,450,962.105 14,778,556.874 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
06. William A. Hawkins 702,262,140.096 14,967,378.883 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
07. R. Glenn Hilliard 701,980,632.890 15,248,886.090 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
08. Stephen R. Lewis, Jr. 702,062,404.407 15,167,114.572 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
09. John F. Maher 701,809,574.514 15,419,944.466 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
10. John J. Nagorniak 702,196,789.033 15,032,729.947 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
11. Catherine James Paglia 702,073,383.794 15,156,135.185 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
12. Leroy C. Richie 701,268,265.466 15,961,253.514 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
13. Anthony M. Santomero 702,005,499.277 15,224,019.702 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
14. Minor M. Shaw 701,772,012.953 15,457,506.027 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
15. Alison Taunton-Rigby 701,986,324.628 15,243,194.352 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
16. William F. Truscott 701,830,876.527 15,398,642.453 0.00 0.00
-----------------------------------------------------------------------------------------------------------------
PROPOSAL 2. To approve the proposed amendment to the Articles of Incorporation
of RiverSource Government Income Series, Inc. to increase the
maximum number of board members.*
--------------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------------
676,787,403.541 27,458,387.129 12,983,703.560 24.750
--------------------------------------------------------------------------------------------------------------------
* All dollars of RiverSource Government Income Series, Inc. are voted
together as a single class for election of directors and amendments to the
Articles of Incorporation.
Columbia U.S. Government Mortgage Fund
PROPOSAL 3. To approve a proposed Agreement and Plan of Redomicile.
--------------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------------
200,064,612.731 847,712.184 1,551,716.509 19,783,333.390
--------------------------------------------------------------------------------------------------------------------
PROPOSAL 4. To approve a proposed Investment Management Services Agreement with
Columbia Management Investment Advisers, LLC.
--------------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------------
200,429,748.746 821,563.716 1,212,734.183 19,783,328.170
--------------------------------------------------------------------------------------------------------------------
RiverSource Short Duration U.S. Government Fund
PROPOSAL 1. To approve an Agreement and Plan of Reorganization between
RiverSource Short Duration U.S. Government Fund and Columbia Short
Term Bond Fund.
--------------------------------------------------------------------------------------------------------------------
DOLLARS VOTED "FOR" DOLLARS VOTED "AGAINST" ABSTENTIONS BROKER NON-VOTES
--------------------------------------------------------------------------------------------------------------------
389,535,720.333 13,174,733.863 14,917,296.389 77,354,393.580
--------------------------------------------------------------------------------------------------------------------
EX-99.77E LEGAL
4
ex77e.txt
LEGAL
RIVERSOURCE GOVERNMENT INCOME SERIES, INC.
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.