-----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, E8cJfsfDiHupZA9rUcCV3i1QIcX4ZUYHNkWI9C6iKB8qdCUg74Y5jaboZ8agfBA+ 3eEXOF3SymENeYluIzgc1A== 0000022105-00-000005.txt : 20000229 0000022105-00-000005.hdr.sgml : 20000229 ACCESSION NUMBER: 0000022105-00-000005 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000228 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA SPECIAL FUND INC CENTRAL INDEX KEY: 0000773599 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: SEC FILE NUMBER: 811-04362 FILM NUMBER: 554234 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 NSAR-B 1 N-SAR (6.1) PAGE 1 000 B000000 12/31/1999 000 C000000 773599 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 U 001 A000000 COLUMBIA SPECIAL 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 0 020 A000001 NATIONSBANK MONTGOMERY 020 B000001 750520130 020 C000001 221 020 A000002 MERRILL LYNCH & CO. 020 B000002 135674085 020 C000002 200 020 A000003 GOLDMAN SACHS & CO. 020 B000003 135108880 020 C000003 169 020 A000004 SMITH BARNEY 020 B000004 131912900 020 C000004 163 020 A000005 FIRST BOSTON (CREDIT SUISSE) 020 B000005 135659485 020 C000005 150 020 A000006 MORGAN STANLEY & CO. 020 B000006 132655998 020 C000006 141 020 A000007 INSTINET CORP 020 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JERRY INSKEEP, JR. TITLE PRESIDENT EX-27 2
6 THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM THE AUDITED ANNUAL REPORT OF THE COLUMBIA FUNDS DATED DECEMBER 31, 1999, AND THE AUDITED ANNUAL REPORT OF THE COLUMBIA FUNDS DATED DECEMBER 31, 1998, AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. 0000773599 COLUMBIA SPECIAL FUND, INC. YEAR DEC-31-1999 JAN-01-1999 DEC-31-1999 600,061,598 927,357,895 7,210,086 0 0 934,567,981 11,705,368 0 4,540,621 16,245,989 0 483,906,950 30,686,574 41,038,458 0 0 107,118,745 0 327,296,297 918,321,992 1,867,507 1,641,320 0 8,489,172 (4,980,345) 202,258,383 38,703,738 235,981,776 0 0 64,905,812 0 8,091,686 20,554,037 2,110,467 (51,036,899) 0 (1,328,411) 0 0 7,081,977 0 8,495,887 777,596,904 23.62 (0.16) 8.74 0 2.27 0 29.93 1.09
EX-99 3 Report of Independent Accountants To the Board of Directors and Shareholders of Columbia Special Fund, Inc. In planning and performing our audit of the financial statements of Columbia Special Fund, Inc. (the Fund) for the year ended December 31, 1999, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Fund is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that controls may become inadequate because of changes in conditions or that the effectiveness of their design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of December 31, 1999. This report is intended solely for the information and use of the Board of Directors, management and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. PricewaterhouseCoopers LLP Portland, Oregon February 4, 2000 EX-99 4 EXHIBIT 77.O 77.O TRANSACTIONS EFFECTED PURSUANT TO RULE 10F-3 Columbia Special Fund, Inc.: Qualifying transactions are listed below. On a quarterly basis, the Registrant's Board of Directors receives a Form 10F-3 containing information that enables them to determine that all purchases made during the quarter were effected in compliance with the Registrant's 10F-3 procedures. 1) Issuer: Adelphia Date of Purchase: 10/1/1999 Underwriter from whom Purchased: Smith Barney Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: CS First Boston Donaldson, Lufkin & Jenrette Goldman Sachs Lehman Brothers Morgan Stanley & Co. Salomon, Smith Barney Aggregate dollar amount of purchase: $5,700,000 Aggregate dollar amount of offering: $342,000,000 Purchase price (net of fees and expenses): $55.80 Date offering commenced: 10/1/1999 Commission: $1.20 2) Issuer: Silicon Image, Inc. Date of Purchase: 10/5/1999 Underwriter from whom Purchased: CS First Boston Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: CS First Boston Dain Rauscher Wessels Aggregate dollar amount of purchase: $240,000 Aggregate dollar amount of offering: $48,000,000 Purchase price (net of fees and expenses): $11.50 Date offering commenced: 10/5/1999 Commission: $0.50 3) Issuer: PlanetRX.com Date of Purchase: 10/6/1999 Underwriter from whom Purchased: Goldman Sachs Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: William Blair Goldman Sachs Hambrecht & Quest Aggregate dollar amount of purchase: $560,000 Aggregate dollar amount of offering: $96,000,000 Purchase price (net of fees and expenses): $15.33 Date offering commenced: 10/6/1999 Commission: $0.67 4) Issuer: Interwoven Date of Purchase: 10/7/1999 Underwriter from whom Purchased: CS First Boston Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: CS First Boston Dain Rauscher Wessels Aggregate dollar amount of purchase: $170,000 Aggregate dollar amount of offering: $61,582,000 Purchase price (net of fees and expenses): $16.29 Date offering commenced: 10/17/1999 Commission: $0.71 5) Issuer: Martha Stewart Date of Purchase: 10/18/1999 Underwriter from whom Purchased: Morgan Stanley & Co. Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: Morgan Stanley & Co. Merrill Lynch, Pierce, Fenner Bear, Stearns & Co. Donaldson, Lufkin & Jenrette Banc of America Securities LLC Advest, Inc. Robert W. Baird & Co. Sanford C. Bernstein & Co. Blaylock & Partners Chatsworth Securities LLC CIBC World Markets Corp. Crowell, Weedon & Co. D.A. Davidson & Co. A.G. Edwards & Sons Fahnestock & Co. First Union Securities Gabelli & Co. Gerard Klauer Mattison & Co. Goldman Sachs & Co. Janney Montgomery Scott LLC Edward D. Jones & Co. Legg Mason Wood Walker McDonald Investments Monness, Crespi, Hardt Paine Webber Ramirez & Co. Raymond James & Assoc. Schroder & Co. Muriel Siebert & Co. Salomon Smith Barney Wasserstein Perella Sec. Aggregate dollar amount of purchase: $1,350,000 Aggregate dollar amount of offering: $129,600,000 Purchase price (net of fees and expenses): $17.24 Date offering commenced: 10/18/1999 Commission: $0.76 6) Issuer: Extreme Networks Date of Purchase: 10/19/1999 Underwriter from whom Purchased: Morgan Stanley & Co. Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: Cowen Securities Hambrecht & Quest Morgan Stanley & Co. Thomas Weisel Dain Rauscher Wessels Aggregate dollar amount of purchase: $3,850,000 Aggregate dollar amount of offering: $500,500,000 Purchase price (net of fees and expenses): $74.88 Date offering commenced: 10/19/1999 Commission: $2.12 7) Issuer: Charter Communications Date of Purchase: 11/8/1999 Underwriter from whom Purchased: Morgan Stanley & Co. NB Montgomery Securities Neuberger Berman Prudential Securities Raymond James A.G. Edwards & Sons Wasserstein Perella Securities Advest, Inc. Bradford (JC) & Co. McDonald Investments Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: Goldman Sachs & Co. Bear, Stearsn & Co. Morgan Stanley & Co. Donaldson, Lufkin & Jenrette Merrill Lynch, Pierce, Fenner Salomon Smith Barney A.G Edwards & Sons M.R. Beal & Co. Allen & Co. Banc of America Securities CIBC World Markets Chase Securities CS First Boston Corp First Union Securities Ing Barings Edward D. Jones & Co. Nesbitt Burns Securities Prudential Securities RBC Dominion Securities Cowen (SG) Securities TD Securities Wasserstein Perella Securities Advest, Inc. Baird (Robert) & Co. Blair (William) & Co. Bradford (JC) & Co. Chapman Co. Chatsworth Securities Dain Rauscher, Inc. Hilliard Lyons Huntleigh Securities Janco Partners Legg Mason Wood Walker McDonald Investments Neuberger & Berman LLC Olde Discount Corp Ramirez & Co. Raymond James & Assoc. Muriel Siebert & Co. Stephens, Inc. Stifel, Nicolaus & Co. Aggregate dollar amount of purchase: $38,095,000 Aggregate dollar amount of offering: $4,275,000,000 Purchase price (net of fees and expenses): $18.56 Date offering commenced: 11/8/1999 Commission: $0.44 8) Issuer: Agilent Technologies Date of Purchase: 11/17/1999 Underwriter from whom Purchased: SG Cowen Securities Corp Goldman Sachs & Co. Affiliated Underwriters: BKB Robertson Stephens Other Members of Syndicate: Morgan Stanley & Co. Goldman Sachs & Co. CS First Boston Corp Merrill Lynch, Pierce, Fenner Salomon Smith Barney Bear, Stears & Co. Morgan (JP) Securities Lehman Brothers SG Cowen Securities Corp ABN Amro, Inc. Buckingham Research Group Deutsche Bank Securities Hambrecht & Quist Williams Capital Group Aggregate dollar amount of purchase: $15,045,000 Aggregate dollar amount of offering: $1,950,000,000 Purchase price (net of fees and expenses): $29.21 Date offering commenced: 11/17/1999 Commission: $0.79 -----END PRIVACY-ENHANCED MESSAGE-----