-----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, VMJktXjm/Ia829cANMueAswBoUPwHiFp6NcxqG4sSQkZ6yFwyLe6lJHSXT1QfRs3 X35s/v2llV0e5GZ7DRgHtg== 0000021832-05-000088.txt : 20050429 0000021832-05-000088.hdr.sgml : 20050429 20050429161116 ACCESSION NUMBER: 0000021832-05-000088 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050228 FILED AS OF DATE: 20050429 DATE AS OF CHANGE: 20050429 EFFECTIVENESS DATE: 20050429 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: 05786094 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 02/28/2005 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 014 A000006 BANC OF AMERICA SECURITIES, LLC 014 B000006 8-33805 014 A000007 BANC OF AMERICA INVESTMENT SERVICES, INC. 014 B000007 8-42263 014 A000008 BANC OF AMERICA ADVISORS, LLC 014 B000008 8-9999 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 PAGE 3 015 D010007 BENIN 015 E040007 X 015 A000008 BANK OF BERMUDA LIMITED 015 B000008 S 015 C010008 HAMILTON 015 D010008 BERMUDA 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 PAGE 4 015 E040017 X 015 A000018 CITITRUST COLOMBIA S.A. 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("CMA") has been named as a defendant in several derivative actions under Sections 34(b), 36(b) and 48(a) of the Investment Company Act of 1940, as amended, alleging, among other things, that the fees and expenses paid by the Registrant are excessive. Cohen v. FleetBoston Financial Corporation was filed in the U.S. District Court for the District of Massachusetts on August 2, 2004; Osburn v. FleetBoston Financial Corporation was filed in the U.S. District Court for the District of Massachusetts on August 10, 2004; Slicker v. FleetBoston Financial Corporation was filed in the U.S. District Court for the District of Massachusetts on August 11, 2004; and Simmonds v. FleetBoston Financial Corporation was filed in the U.S. District Court for the District of Massachusetts on September 8, 2004. CMA and the other defendants to these actions, including various affiliates, mutual funds advised by CMA and its affiliates, and directors of such funds, have denied these allegations and are contesting the plaintiffs' claims. The above-named actions were consolidated on March 2, 2005 (In re Columbia Entities Litigation, Civil Action No. 04-11704-REK). On January 11, 2005, a putative class action lawsuit (Lefler, et. al. v. Hacker, et. al.,) was filed in the U.S. Disrict Court for the District of Massachusetts against, among others, the Trustees of the Fund and Columbia. The lawsuit alleges that defendants violated common law duties to fund shareholders as well as sections of the Investment Company Act of 1940, by failing to ensure that the Fund and other affiliated funds participated in securities class action settlements for which the funds were eligible. Specifically, plaintiffs allege that defendants failed to submit proof of claims in connection with settlements of securities class action lawsuits filed against companies in which the funds held positions. Various civil individual, class and derivative actions have been filed in regard to certain market timing allegations. As of February 28, 2005, the following complaints have been received: (1) George Slaybe et al, Plaintiffs, v. Columbia Management Advisors, Inc., et al. United States District Court District of Massachusetts Case # 04 10534 PBS (2) David Armetta derivatively on behalf of the Columbia Common Stock Fund, Plaintiff v. FleetBoston Financial Corporation, et al. United States District Court District of Massachusetts Case # 04 10555 MLW (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, et al. United States District Court District of Massachusetts Case # 04-10567MEL (4) Catherine Dukes, Individually and On Behalf of All Others Similarly Situated v. Columbia Funds, FleetBoston Financial Corporation, et al. United States District Court District of Massachusetts Case # 04-10315-PBS (5) AB Medical Equipment Corp., Individually and On Behalf of All Others Similarly Situated, Plaintiff, v. FleetBoston Financial Corporation, et al. 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, et al. United States District Court Southern District of New York Case # 04 CV 1576 (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, et al. United States District Court District of Massachusetts Case # 04-10408HEL (8) Steven B. Ehrlich, Custodian for Cory Ryan Ehrlich UTMA/Florida, Individually and On Behalf of All Others Similarly Situated v. FleetBoston Financial Corporation, et al. United States District Court District of Massachusetts Case # 04 10405 PBS (9) Harold Beardsley, et al on behalf of Columbia Disciplined Value Fund (the "Columbia Funds") v. FleetBoston Financial Corporation, et al United States District Court District of Massachusetts Case # 04 10978 PBS -----END PRIVACY-ENHANCED MESSAGE-----