-----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, IKM0TKtXvavdKRB1zSyQjezdvKFC+E/RmmMTY10eebCexFEeVHdF0DLfJxQXvN6P nXvGU8y4PikBO2OPK2bO/A== 0001068800-07-000233.txt : 20070126 0001068800-07-000233.hdr.sgml : 20070126 20070126122318 ACCESSION NUMBER: 0001068800-07-000233 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20061130 FILED AS OF DATE: 20070126 DATE AS OF CHANGE: 20070126 EFFECTIVENESS DATE: 20070126 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: 07555362 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: 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 C000008831 RiverSource Short Duration U.S. Government Fund Class Y IDFYX 0000764802 S000003307 RiverSource U.S. Government Mortgage Fund C000008832 RiverSource U.S. Government Mortgage Fund Class I C000008833 RiverSource U.S. Government Mortgage Fund Class Y RSGYX 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 NSAR-A 1 answer.fil RIVERSOURCE GOVERNMENT INCOME SERIES, INC. 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MORGAN SECURITIES INC. 022 B000005 13-3224016 022 C000005 396818 PAGE 3 022 D000005 167213 022 A000006 BARCLAYS CAPITAL 022 B000006 N/A 022 C000006 296748 022 D000006 217203 022 A000007 CITIGROUP GLOBAL MARKETS INC. 022 B000007 11-2418191 022 C000007 339817 022 D000007 173273 022 A000008 DEUTSCHE BANK SECURITIES 022 B000008 13-2730828 022 C000008 238511 022 D000008 178031 022 A000009 CREDIT SUISSE SECURITIES (USA) L.L.C. 022 B000009 13-5659485 022 C000009 134050 022 D000009 212208 022 A000010 UBS SECURITIES 022 B000010 13-3873456 022 C000010 171673 022 D000010 169679 023 C000000 7739332 023 D000000 1883505 026 A000000 N 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 Y 026 F000000 Y 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 054 A00AA00 Y 054 B00AA00 Y 054 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 077 A000000 Y 077 B000000 N 077 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D000104 0 025 D000105 0 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 16556 028 A020100 2835 028 A030100 0 028 A040100 53734 028 B010100 49848 028 B020100 2834 028 B030100 0 028 B040100 80654 028 C010100 8363 028 C020100 2940 028 C030100 0 028 C040100 49852 028 D010100 11011 028 D020100 2986 028 D030100 0 028 D040100 42024 028 E010100 16287 028 E020100 3155 028 E030100 0 028 E040100 42213 028 F010100 9851 028 F020100 3082 028 F030100 0 028 F040100 35443 028 G010100 111916 028 G020100 17832 028 G030100 0 028 G040100 303920 028 H000100 3515 029 000100 Y 030 A000100 305 030 B000100 4.75 030 C000100 0.00 PAGE 6 031 A000100 103 031 B000100 0 032 000100 0 033 000100 202 034 000100 Y 035 000100 199 036 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 2284 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 PAGE 7 051 000100 N 052 000100 N 053 A000100 Y 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 5.0 062 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 1.2 062 M000100 20.8 062 N000100 74.5 062 O000100 0.0 062 P000100 5.2 062 Q000100 0.0 062 R000100 0.0 063 A000100 0 063 B000100 12.5 064 A000100 N 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 PAGE 8 070 F010100 N 070 F020100 N 070 G010100 Y 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 N 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 N 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 1055603 071 B000100 1275020 071 C000100 1014609 071 D000100 104 072 A000100 6 072 B000100 23670 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 2374 072 G000100 334 072 H000100 0 072 I000100 918 072 J000100 68 072 K000100 66 072 L000100 0 072 M000100 11 072 N000100 33 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 23 072 S000100 0 072 T000100 2284 072 U000100 0 PAGE 9 072 V000100 0 072 W000100 39 072 X000100 6150 072 Y000100 771 072 Z000100 18291 072AA000100 0 072BB000100 2243 072CC010100 16501 072CC020100 0 072DD010100 12900 072DD020100 6418 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 809 074 B000100 0 074 C000100 45994 074 D000100 918083 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 11059 074 J000100 35714 074 K000100 0 074 L000100 5658 074 M000100 0 074 N000100 1017317 074 O000100 53973 074 P000100 204 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 49355 074 S000100 0 074 T000100 913785 074 U010100 123633 074 U020100 68920 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 73482 074 Y000100 349 075 A000100 0 075 B000100 988297 076 000100 0.00 015 A000201 AMERIPRISE TRUST COMPANY 015 B000201 C PAGE 10 015 C010201 MINNEAPOLIS 015 C020201 MN 015 C030201 55474 015 E010201 X 024 000200 Y 025 A000201 CHASEFLEX TRUST 025 B000201 13-5225436 025 C000201 D 025 D000201 678 025 A000202 CS FIRST BOSTON MTGE SECURITIES 025 B000202 13-3320910 025 C000202 D 025 D000202 890 025 A000203 LEHMAN BROTHERS 025 B000203 13-2518466 025 C000203 D 025 D000203 403 025 D000204 0 025 D000205 0 025 D000206 0 025 D000207 0 025 D000208 0 028 A010200 6739 028 A020200 811 028 A030200 0 028 A040200 8748 028 B010200 8110 028 B020200 887 028 B030200 0 028 B040200 12814 028 C010200 10997 028 C020200 889 028 C030200 0 028 C040200 8565 028 D010200 8151 028 D020200 865 028 D030200 0 028 D040200 7577 028 E010200 8851 028 E020200 827 028 E030200 0 028 E040200 7712 028 F010200 3670 028 F020200 806 028 F030200 0 028 F040200 9163 028 G010200 46518 028 G020200 5085 028 G030200 0 028 G040200 54579 028 H000200 1215 PAGE 11 029 000200 Y 030 A000200 89 030 B000200 4.75 030 C000200 0.00 031 A000200 32 031 B000200 0 032 000200 0 033 000200 57 034 000200 Y 035 000200 43 036 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 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 043 000200 472 044 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 PAGE 12 048 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 1.2 062 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 1.1 062 M000200 1.0 062 N000200 105.7 062 O000200 0.0 062 P000200 9.7 062 Q000200 0.0 062 R000200 0.0 063 A000200 0 063 B000200 23.3 064 A000200 N 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 PAGE 13 070 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 N 070 L010200 N 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 358553 071 B000200 337624 071 C000200 265592 071 D000200 127 072 A000200 6 072 B000200 6404 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 575 072 G000200 84 072 H000200 0 072 I000200 365 072 J000200 33 072 K000200 42 072 L000200 0 072 M000200 6 072 N000200 29 072 O000200 0 072 P000200 0 072 Q000200 0 PAGE 14 072 R000200 12 072 S000200 0 072 T000200 472 072 U000200 0 072 V000200 0 072 W000200 30 072 X000200 1648 072 Y000200 415 072 Z000200 5171 072AA000200 595 072BB000200 0 072CC010200 5594 072CC020200 0 072DD010200 2914 072DD020200 2556 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 0 074 B000200 0 074 C000200 3000 074 D000200 280835 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 2644 074 J000200 22188 074 K000200 0 074 L000200 1282 074 M000200 0 074 N000200 309949 074 O000200 68379 074 P000200 43 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 254 074 S000200 0 074 T000200 241273 074 U010200 23906 074 U020200 23897 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 51673 074 Y000200 349 075 A000200 0 PAGE 15 075 B000200 239752 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 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 GOVERNMENT INCOME SERIES, INC. EX-99.77D POLICIES 2 ex77d_govtincome.txt POLICY Exhibit 77 D For RiverSource Short Duration U.S. Government Fund and RiverSource U.S. Government Mortgage Fund: At a Board meeting held on September 13-14, 2006, the non-fundamental investment policy that limits investments in securities of investment companies was eliminated. EX-99.77E LEGAL 3 ex77e_govtincome.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-----