-----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, M7GcEdYoMorJxFDtvi06duMne0QY8jIh8hdCZ3T04WvUrj8zPa1AgMJHPlqf5IxO 1uW5TU7T6zgVQ09iKv6pLw== 0000021832-04-000062.txt : 20040429 0000021832-04-000062.hdr.sgml : 20040429 20040429133637 ACCESSION NUMBER: 0000021832-04-000062 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040229 FILED AS OF DATE: 20040429 EFFECTIVENESS DATE: 20040429 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA MID CAP GROWTH FUND INC CENTRAL INDEX KEY: 0000773599 IRS NUMBER: 930896403 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04362 FILM NUMBER: 04763878 BUSINESS ADDRESS: STREET 1: 1300 SW SIXTH AVE STREET 2: P O BOX 1350 CITY: PORTLAND STATE: OR ZIP: 97207 BUSINESS PHONE: 5032223600 MAIL ADDRESS: STREET 1: 1300 SW SIXTH AVE STREET 2: P O BOX 1350 CITY: PORTLAND STATE: OR ZIP: 92707 FORMER COMPANY: FORMER CONFORMED NAME: COLUMBIA SPECIAL FUND INC DATE OF NAME CHANGE: 19920703 NSAR-A 1 answer.fil PAGE 1 000 A000000 02/29/2004 000 C000000 0000773599 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 COLUMBIA MID CAP GROWTH FUND, INC. 001 B000000 811-4362 001 C000000 5032223600 002 A000000 1301 SW FIFTH AVENUE 002 B000000 PORTLAND 002 C000000 OR 002 D010000 97201 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 COLUMBIA MANAGEMENT ADVISORS, INC. 008 B000001 A 008 C000001 801-5930 008 D010001 BOSTON 008 D020001 MA 008 D030001 02110 011 A000001 COLUMBIA FUNDS DISTRIBUTOR, INC. 011 B000001 8-30683 011 C010001 BOSTON 011 C020001 MA 011 C030001 02111 012 A000001 COLUMBIA FUNDS SERVICES, INC. 012 B000001 84-1329 012 C010001 BOSTON 012 C020001 MA 012 C030001 02266 012 C040001 8081 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 BOSTON PAGE 2 013 B020001 MA 013 B030001 02110 014 A000001 COLUMBIA FINANCIAL CENTER INCORPORATED 014 B000001 8-40537 014 A000002 FLEET SPECIALISTS, INC. 014 B000002 8-52439 014 A000003 FLEET SECURITIES, INC. 014 B000003 8-23522 014 A000004 QUICK & REILLY, INC. 014 B000004 8-017986 014 A000005 COLUMBIA FUNDS DISTRIBUTOR, INC. 014 B000005 8-30683 015 A000001 CITIBANK, N.A. 015 B000001 S 015 C010001 BUENOS AIRES 015 D010001 ARGENTINA 015 E040001 X 015 A000002 WESTPAC BANKING CORPORATION 015 B000002 S 015 C010002 SYDNEY 015 D010002 AUSTRALIA 015 E040002 X 015 A000003 ERSTE BANK DER OESTERREICHISCHEN SPARKASSEN 015 B000003 S 015 C010003 VIENNA 015 D010003 AUSTRIA 015 E040003 X 015 A000004 HSBC BANK MIDDLE EAST 015 B000004 S 015 C010004 MANAMA 015 D010004 BAHRAIN 015 E040004 X 015 A000005 STANDARD CHARTERED BANK 015 B000005 S 015 C010005 DHAKA 015 D010005 BANGLADESH 015 E040005 X 015 A000006 FORTIS BANK NV-SA 015 B000006 S 015 C010006 BRUSSELS 015 D010006 BELGIUM 015 E040006 X 015 A000007 SOCIETE GENERALE DE BANQUES EN COTE DIVOIRE 015 B000007 S 015 C010007 ABIDJAN, IVORY COAST 015 D010007 BENIN 015 E040007 X 015 A000008 BANK OF BERMUDA LIMITED 015 B000008 S 015 C010008 HAMILTON 015 D010008 BERMUDA PAGE 3 015 E040008 X 015 A000009 CITIBANK, N.A. 015 B000009 S 015 C010009 LA PAZ 015 D010009 BOLIVIA 015 E040009 X 015 A000010 BARCLAYS BANK OF BOTSWANA LIMITED 015 B000010 S 015 C010010 GABORONE 015 D010010 BOTSWANA 015 E040010 X 015 A000011 CITIBANK, N.A. 015 B000011 S 015 C010011 SAO PAULO 015 D010011 BRAZIL 015 E040011 X 015 A000012 ING BANK N.V. 015 B000012 S 015 C010012 SOFIA 015 D010012 BULGARIA 015 E040012 X 015 A000013 SOCIETE GENERALE DE BANQUES EN COTE DIVOIRE 015 B000013 S 015 C010013 ABIDJAN, IVORY COAST 015 D010013 BURKINA FASO 015 E040013 X 015 A000014 STATE STREET TRUST COMPANY CANADA 015 B000014 S 015 C010014 TORONTO 015 D010014 CANADA 015 E040014 X 015 A000015 BANKBOSTON, N.A. 015 B000015 S 015 C010015 SANTIAGO 015 D010015 CHILE 015 E040015 X 015 A000016 HONGKONG AND SHANGHAI BANKING CORP LIMITED 015 B000016 S 015 C010016 SHANGHAI 015 D010016 CHINA 015 E040016 X 015 A000017 HONGKONG AND SHANGHAI BANKING CORP LIMITED 015 B000017 S 015 C010017 SHENZHEN 015 D010017 CHINA 015 E040017 X 015 A000018 CITITRUST COLOMBIA S.A. 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077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N PAGE 19 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE DOUGLAS RODES TITLE VICE PRESIDENT EX-99 2 exh.txt Sub-Item 77C Matters submitted to a vote of security holders On October 7, 2003, a Special Meeting of Shareholders of Columbia Mid Cap Growth Fund, Inc. was held to conduct a vote for and against the approval of the Items listed on the Proxy Statement for said meeting. The votes cast at the Meeting were as follows: PROPOSAL 1. Election of the following Directors: Douglas A. Hacker, Janet Langford Kelly, Richard W. Lowry, Charles R. Nelson, John J. Neuhauser, Patrick J. Simpson, Thomas E. Stitzel, Thomas C. Theobald, Anne-Lee Verville, Richard L. Woolworth, William E. Mayer, and Joseph R. Palombo:
- -------------------------- ------------------ --------------------- ---------------------- ------------------ ELECTION OF DIRECTORS FOR % OF SHARES TO WITHHELD % OF SHARES TO TOTAL OUTSTANDING TOTAL SHARES OUTSTANDING SHARES - -------------------------- ------------------ --------------------- ---------------------- ------------------ Douglas A. Hacker 30,649,601 53% 1,617,123 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Janet Langford Kelly 30,655,439 53% 1,611,284 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Richard W. Lowry 30,651,458 53% 1,615,265 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ William E. Mayer 30,649,296 53% 1,617,428 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Charles R. Nelson 30,659,489 53% 1,607,234 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ John J. Neuhauser 30,648,836 53% 1,617,888 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Joseph R. Palombo 30,649,521 53% 1,617,201 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Patrick J. Simpson 30,655,655 53% 1,611,068 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Thomas E. Stitzel 30,653,069 53% 1,613,654 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Thomas C. Theobald 30,648,962 53% 1,617,762 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Anne-Lee Verville 30,640,692 53% 1,626,031 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------ Richard L. Woolworth 30,658,940 53% 1,607,784 3% - -------------------------- ------------------ --------------------- ---------------------- ------------------
TRUSTEES ELECTED PROPOSAL 2. To change the name of the Columbia Special Fund, Inc. to the Columbia Mid Cap Growth Fund, Inc. Total shares in favor of proposal: 30,220,048 53% Total shares against proposal: 802,850 1% Total shares abstaining proposal: 1,243,825 2% NAME CHANGED Sub-Item 77E Legal Proceedings Various civil actions have been filed against the Registrant in regard to market timing allegations. As of April 22, 2004, we have received the following complaints: (1.) George Slaybe et al, Plaintiffs, v. Columbia Management Advisors, Inc., Defendant United States District Court District of Massachusetts Case # 04 10534 PBS Complaint Allegation: Market Timing (2.) David Armetta derivatively on behalf of the Columbia Common Stock Fund, Plaintiff, v. FleetBoston Financial Corporation, Columbia Management Group, Inc., Columbia Management Advisors, Inc., Columbia Funds Distributor, Inc., Douglas A. Hacker, Janet Langford Kelly, Richard W. Lowry, Charles R. Nelson, John J. Neuhauser, Patrick J. Simpson, Thomas E. Stitzel, Thomas C. Theobald, Anne-Lee Verville, Richard L. Woolworth, William E. Mayer, Joseph R. Palombo and John Does 1-100, Defendants, and Columbia Common Stock Fund, nominal defendant United States District Court District of Massachusetts Case # 04 10555 MLW Complaint Allegation: Market Timing (3.) Edward I. Segel and Iris Segel derivatively on behalf of Columbia Acorn Fund, Columbia Acorn Trust and the Columbia Funds, Plaintiffs, v. FleetBoston Financial Corporation, Fleet National Bank, Columbia Management Group, Inc., Columbia Funds Services, Inc., Columbia Wanger Asset Management, Columbia Management Advisors, Inc., Columbia Funds Distributor, Inc., John Does 1-4, Margaret Eisen, Leo Guthart, Jerome Kahn, Jr., Steven N. Kaplan, David C. Kleinman, Allan B. Muchin, John A. Wing, Charles P. McQuaid, Ralph Wanger, Ilytat, L.P., Ritchie Capital Management, Inc., Edward J. Stern, Canary Capital Partners LLC, Canary Capital Partners, LTD., Canary Investment Management, LLC, Daniel Calugar, Sal Giacalone, D.R. Loeser, Signalert Corporation, Alan Waldbaum, and Tandem Financial Services, Defendants, and Columbia Acorn Fund, Columbia Acorn Trust, and the Columbia Funds United States District Court District of Massachusetts Case # 04-10567MEL Complaint Allegation: Market Timing (4.) Catherine Dukes, Individually and On Behalf of All Others Similarly Situated v. Columbia Funds, FleetBoston Financial Corporation, Columbia Management Group, Inc., Columbia Management Advisors, Inc., Columbia Wanger Asset Management, L.P., Columbia Funds Distributor, Inc., and John Does 1-100 United States District Court District of Massachusetts Case # 04-10315-PBS Complaint Allegation: Market Timing (5.) AB Medical Equipment Corp., Individually and On Behalf of All Others Similarly Situated, Plaintiff, v. FleetBoston Financial Corporation, Columbia Management Group, Inc., Columbia Management Advisors, Inc., Columbia Wanger Asset Management L.P., Columbia Funds Distributor, Inc. and Columbia Funds United States District Court District of Massachusetts Case # 04-10355PBS (6.) Karen M. McKenna, Individually and on Behalf of All Others Similarly Situated, Plaintiff, v. Columbia Funds, Columbia Acorn Trust, FleetBoston Financial Corporation, Columbia Management Group, Inc., Columbia Management Advisors, Inc., Columbia Wanger Asset Management, L.P., Columbia Funds Distributor, Inc. and John Does 1-100, Defendants United States District Court Southern District of New York Case # 04 CV 1576 Complaint Allegation: Market Timing (7.) Lawrence S. Wick, as custodian for Ryan S. Wick, Andrew T. Wick, and Hayley L. Wick, and Ryan S. Wick, Andrew T. Wick, and Hayley L. Wick individually and on behalf of others similarly situated, Plaintiffs, v. FleetBoston Financial Corporation, Columbia Management Group, Inc., Columbia Management Advisors, Inc., Columbia Wanger Asset Management, L.P., Columbia Funds Distributor, Inc., Columbia Funds United States District Court District of Massachusetts Case # 04-10408HEL Complaint Allegation: Market Timing (8.) Steven B. Ehrlich, Custodian for Cory Ryan Ehrlich UTMA/Florida, Individually and On Behalf of All Others Similarly Situated v. Columbia Funds, FleetBoston Financial Corporation, Columbia Management Group, Inc., Columbia Management Advisors, Inc., Columbia Wanger Asset Management, L.P., Columbia Funds Distributor, Inc., and John Does 1-100 United States District Court District of Massachusetts Case # 04 10405 PBS Complaint Allegation: Market Timing (9.) R.L. Simmonds and Jean Simmonds, on behalf of Themselves and on behalf of All Others Similarly Situated v. Columbia Funds, Columbia Management Advisors, Inc., Columbia Funds Distributor, Inc., Columbia Management Group, Inc., FleetBoston Financial Corporation, Columbia Wanger Asset Management, L.P., United States District Court Southern District of New York Case # 04 CV 01879 Complaint Allegation: Market Timing Sub-Item 77I Terms of new or amended securities Columbia Mid Cap Growth Fund, Inc. Rule 18f-3 Plan and 12b-1 Plan are filed with Post Effective Amendment Number 23 for the Fund's Registration Statement on Form N-1A, filed October 10, 2003 and is herein incorporated by reference to accession number 0000950149-03-002332. See Exhibit 77Q1- for a copy of Articles of Amendment to Registrant's Articles of Incorporation. Exhibit 77Q1- A Copy Articles of Amendment ARTICLES OF AMENDMENT TO THE AMENDED AND RESTATED ARTICLES OF INCORPORATION OF COLUMBIA SPECIAL FUND, INC. Pursuant to ORS 60.134, Columbia Special Fund, Inc. (the "Corporation") hereby adopts an amendment to its Amended and Restated Articles of Incorporation. 1. The name of the Corporation is Columbia Special Fund, Inc. 2. Article I of the Corporation's Amended and Restated Articles of Incorporation is amended to read in its entirety as follows: "ARTICLE I The name of the Corporation is Columbia Mid Cap Growth Fund, Inc." 3. The amendment was adopted by the Board of Directors on August 19, 2003. 4. The amendment required shareholder approval. The amendment was submitted to the shareholders of the Company for their approval on October 7, 2003. The results of the voting were as follows: Shares entitled to vote: 57,372,822 shares of common stock Shares voted in favor: 30,220,048.33 shares of common stock Shares voted against: 802,849.77 shares of common stock Shares abstaining: 1,243,825.21 shares of common stock 5. Article III of the Corporation's Amended and Restated Articles of Incorporation is amended to add new Sections G and H as follows: "G. The Board of Directors hereby designates 100,000,000 shares of the authorized but unissued shares of Common Stock as 100,000,000 authorized but unissued shares of Class C Common Stock. H. The shares of Class C Common Stock classified hereby shall have the relative rights, preferences, and limitations as set forth elsewhere in these Articles with respect to Common Stock generally, shall be subject to the charges and expenses imposed by the Board of Directors pursuant to a plan adopted under Rule 18f-3 (or successor or similar provision) under the 1940 Act and disclosed in the registration statement of the Corporation on Form N-1A (or any successor form) filed with the Securities and Exchange Commission, including the Corporation's prospectus and Statement of Additional Information as amended from time to time, in effect at the time such shares are issued (the "Registration Statement")." 6. The amendment was adopted by the Board of Directors on September 30, 2003. Pursuant to ORS 60.434(6) shareholder action was not required. 7. EFFECTIVE DATE. These Articles of Amendment are effective as of 12:01 a.m. on October 13, 2003. DATED: October 7, 2003 COLUMBIA SPECIAL FUND, INC. By: JEFF B. CURTIS ------------------------------- Jeff B. Curtis President -----END PRIVACY-ENHANCED MESSAGE-----