485APOS 1 global_part-c.txt AXP GLOBAL SERIES, INC. - RIVERSOURCE ABSOLUTE RETURN CURRENCY FUND SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pre-Effective Amendment No. [ ] Post-Effective Amendment No. 48 (File No. 33-25824) [X] --------- and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 50 (File No. 811-5696) [X] ------- AXP GLOBAL SERIES, INC. 50606 Ameriprise Financial Center Minneapolis, Minnesota 55474 Leslie L. Ogg - 901 S. Marquette Avenue, Suite 2810 Minneapolis, MN 55402-3268 (612) 330-9283 Approximate Date of Proposed Public Offering: It is proposed that this filing will become effective (check appropriate box) [ ] immediately upon filing pursuant to paragraph (b) [ ] on (date) pursuant to paragraph (b) [X] 60 days after filing pursuant to paragraph (a)(1) [ ] on (date) pursuant to paragraph (a)(1) [ ] 75 days after filing pursuant to paragraph (a)(2) [ ] on (date) pursuant to paragraph (a)(2) of rule 485. If appropriate, check the following box: [ ] This Post-Effective Amendment designates a new effective date for a previously filed Post-Effective Amendment. This filing is not intended to supersede the prospectuses for RiverSource Emerging Markets Fund, RiverSource Global Bond Fund, RiverSource Global Equity Fund and RiverSource Global Technology Fund, Class I prospectus supplements for RiverSource Emerging Markets Fund, RiverSource Global Bond Fund, RiverSource Global Technology Fund, and financial statements for RiverSource Emerging Markets Fund, RiverSource Global Bond Fund, RiverSource Global Equity Fund and RiverSource Global Technology Fund filed in Registrant's Post-Effective Amendment No. 45 to Registration Statement No. 33-25824 filed on or about Dec. 20, 2005. This filing is not intended to supersede the prospectus and Class I prospectus supplement for RiverSource Emerging Markets Bond Fund filed in Registrant's Post-Effective Amendment No. 47 to Registration Statement No. 33-25824 filed on or about Feb. 3, 2006. This filing is not intended to supersede the Statement of Additional Information for RiverSource Emerging Markets Fund, RiverSource Emerging Markets Bond Fund, RiverSource Global Bond Fund, RiverSource Global Equity Fund and RiverSource Global Technology Fund filed in Registrant's 497's filings filed on or about April 3, 2006. PART A. The prospectus containing information for RiverSource Absolute Return - Currency Fund filed in Registrant's Post-Effective Amendment No. 46 to Registration Statement No. 33-25824 on or about Feb. 3, 2006 is incorporated by reference. PART B. The combined Statement of Additional Information containing information for RiverSource Absolute Return - Currency Fund filed in Registrant's Post-Effective Amendment No. 46 to Registration Statement No. 33-25824 on or about Feb. 3, 2006 is incorporated by reference. PART C. OTHER INFORMATION Item 23. Exhibits (a)(1) Articles of Incorporation, dated October 28, 1988, filed as Exhibit 1 to Registration Statement No. 33-25824, are incorporated by reference. (a)(2) Articles of Amendment, dated October 10, 1990, filed as Exhibit 1 to Registrant's Post Effective Amendment No. 9 to Registration Statement No. 33-25824, are incorporated by reference. (a)(3) Articles of Amendment, dated June 16, 1999, filed electronically as Exhibit (a)(3) to Registrant's Post-Effective Amendment No. 35 to Registration Statement No. 33-25824 filed on or about Dec. 21, 2000, are incorporated by reference. (a)(4) Articles of Amendment of AXP Global Series, Inc., dated November 14, 2002, filed electronically as Exhibit (a)(4) to Registration Statement No. 33-25824 on or about Dec. 20, 2002, are incorporated by reference. (b) By-laws, as amended January 11, 2001, filed electronically as Exhibit (b) to Registrant's Post-Effective Amendment No. 36 to Registration Statement No. 33-25824 filed on or about Dec. 20, 2001, are incorporated by reference. (c) Instruments Defining Rights of Security Holders: Not Applicable. (d)(1) Investment Management Services Agreement, dated March 1, 2006, between Registrant, on behalf of RiverSource Emerging Markets Fund, RiverSource Emerging Markets Bond Fund, RiverSource Global Bond Fund, RiverSource Global Equity Fund, RiverSource Global Technology Fund, and RiverSource Investments, LLC is filed electronically herewith as Exhibit (d)(1) to Registrant Post-Effective Amendment No. 48 to Registration Statement No. 33-25824. (d)(2) Subadvisory Agreement, dated July 10, 2004, between Ameriprise Financial Corporation and Threadneedle International Limited, filed electronically on or about Dec. 2, 2004 as Exhibit (d)(2) to AXP International Series, Inc. Post-Effective Amendment No. 40 to Registration Statement No. 92709 is incorporated by reference. (d)(3) The Consent Agreement, dated March 1, 2006, between RiverSource Investments, LLC and Threadneedle International Limited is filed electronically herewith as Exhibit (d)(3) to Registrant Post-Effective Amendment No. 48 to Registration Statement No. 33-25824. (d)(4) Investment Management Services Agreement for RiverSource Absolute Return - Currency Fund to be filed by Amendment. (e)(1) Distribution Agreement, dated Oct. 1, 2005, between Registrant and Ameriprise Financial Services, Inc. filed electronically on or about Oct. 27, 2005 as Exhibit(e) to AXP Fixed Income Series, Inc., Post-Effective Amendment No. 59 to Registration Statement No. 2-51586 is incorporated by reference. (e)(2) Distribution Agreement for RiverSource Absolute Return - Currency Fund to be filed by Amendment. (f) All employees are eligible to participate in a profit sharing plan. Entry into the plan is Jan. 1 or July 1. The Registrant contributes each year an amount up to 15 percent of their annual salaries, the maximum deductible amount permitted under Section 404(a) of the Internal Revenue Code. (g)(1) Custodian Agreement, dated Oct. 1, 2005, between Registrant and Ameriprise Trust Company filed electronically on or about Oct. 27, 2005 as Exhibit(g)(1) to AXP Variable Portfolio - Investment Series, Inc. Post-Effective Amendment No. 57 to Registration Statement No. 2-73115 is incorporated by reference. (g)(2) Amendment, dated Jan. 12, 2006, to Custodian Agreement, dated Oct. 1, 2005, filed electronically on or about Feb. 3, 2006 as Exhibit(g)(2) to AXP Dimensions Series, Inc. Post-Effective Amendment No. 74 to Registration Statement No. 2-28529 is incorporated by reference. (g)(3) Amendment, dated Jan. 13, 2006, to Custodian Agreement, dated Oct. 1, 2005, filed electronically on or about Feb. 3, 2006 as Exhibit(g)(3) to AXP Dimensions Series, Inc. Post-Effective Amendment No. 74 to Registrantion Statement No. 2-28529 is incorporated by reference. (g)(4) Custodian Agreement between American Express Trust Company and The Bank of New York dated May 13, 1999, filed electronically as Exhibit (g)(3) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 33 to Registration Statement No. 2-93745, filed on or about May 28, 1999 is incorporated by reference. (g)(5) Custodian Agreement First Amendment between American Express Trust Company and The Bank of New York, dated December 1, 2000, filed electronically as Exhibit (g)(4) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 37 to Registration Statement No. 2-93745, filed on or about May 28, 2002, is incorporated by reference. (g)(6) Custodian Agreement Second Amendment between American Express Trust Company and The Bank of New York, dated June 7, 2001, filed electronically as Exhibit (g)(5) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 37 to Registration Statement No. 2-93745, filed on or about May 28, 2002, is incorporated by reference. (g)(7) Custodian Agreement Amendment between American Express Trust Company and The Bank of New York, dated January 31, 2002, filed electronically as Exhibit (g)(6) to AXP Precious Metals Fund, Inc. Post-Effective Amendment No. 37 to Registration Statement No. 2-93745, filed on or about May 28, 2002, is incorporated by reference. (g)(8) Custodian Agreement Amendment between American Express Trust Company and The Bank of New York, dated April 29, 2003, filed electronically as Exhibit (g)(8) to AXP Partners Series, Inc. Post-Effective Amendment No. 7 to Registration Statement No. 333-57852, filed on or about May 22, 2003, is incorporated by reference. (g)(9) Custodian Agreement for RiverSource Absolute Return - Currency Fund to be filed by Amendment. (h)(1) Board Services Agreement, dated Jan. 11, 2006, between RiverSource Funds and Board Services Corporation filed electronically on or about March 29, 2006 as Exhibit (h)(1) to AXP Market Advantage Series, Inc. Post-Effective Amendment No. 35 to Registration Statement No. 33-30770 is incorporated by reference. (h)(2) Administrative Services Agreement, dated Oct. 1, 2005, between Registrant and Ameriprise Financial, Inc. filed electronically on or about Oct. 27, 2005 as Exhbit(h)(1) to AXP Fixed Income Series, Inc. Post-Effective Amendment No. 59 to Registration Statement No. 2-51586 is incorporated by reference. (h)(3) Amendment, dated Jan. 12, 2006, to Administrative Services Agreement, dated Oct. 1, 2005, filed electronically on or about Feb. 3, 2006 as Exhibit(h)(2) to AXP Dimensions Series, Inc. Post-Effective Amendment No. 74 to Registration Statement No. 2-28529 is incorporated by reference. (h)(4) Class Y Shareholder Service Agreement, dated Oct. 1, 2005, between Registrant and Ameriprise Financial Services, Inc. filed electronically on or about Oct. 27, 2005 as Exhbit(h)(4) to AXP Fixed Income Series, Inc. Post-Effective Amendment No. 59 to Registration Statement No. 2-51586 is incorporated by reference. (h)(5) Amendment, dated Jan. 12, 2006, to Class Y Shareholder Service Agreement, dated Oct. 1, 2005, filed electronically on or about Feb. 3, 2006 as Exhibit(h)(4) to AXP Dimensions Series, Inc. Post-Effective Amendment No. 74 to Registration Statement No. 2-28529 is incorporated by reference. (h)(6) Transfer Agency Agreement, dated Oct. 1, 2005, between Registrant and RiverSource Service Corporation filed electronically on or about Oct. 27, 2005 as Exhbit(h)(6) to AXP Fixed Income Series, Inc. Post-Effective Amendment No. 59 to Registration Statement No. 2-51586 is incorporated by reference. (h)(7) Amendment, dated Jan. 12, 2006, to Transfer Agency Agreement, dated Oct. 1, 2005, filed electronically on or about Feb. 3, 2006 as Exhibit(h)(5) to AXP Dimensions Series, Inc. Post-Effective Amendment No. 74 to Registration Statement No. 2-28529 is incorporated by reference. (h)(8) Agreement and Plan of Reorganization between AXP Global Series, Inc., on behalf of AXP Emerging Markets Fund, and Strategist World Fund, Inc., on behalf of Strategist Emerging Markets Fund, dated March 10, 2000, filed electronically as Exhibit (h)(7) to Registrant's Post- Effective Amendment No. 35 to Registration Statement No. 33-25824 filed on or about Dec. 21, 2000, is incorporated by reference. (h)(9) Agreement and Plan of Reorganization between AXP Global Series, Inc., on behalf of AXP Global Bond Fund, and Strategist World Fund, Inc., on behalf of Strategist World Income Fund, dated March 10, 2000, filed electronically as Exhibit (h)(8) to Registrant's Post-Effective Amendment No. 35 to Registration Statement No. 33-25824 filed on or about Dec. 21, 2000, is incorporated by reference. (h)(10) Agreement and Plan of Reorganization between AXP Global Series, Inc., on behalf of AXP Global Growth Fund, and Strategist World Fund, Inc., on behalf of Strategist World Growth Fund, dated March 10, 2000, filed electronically as Exhibit (h)(9) to Registrant's Post-Effective Amendment No. 35 to Registration Statement No. 33-25824 filed on or about Dec. 21, 2000, is incorporated by reference. (h)(11) Agreement and Plan of Reorganization between AXP Global Series, Inc., on behalf of AXP Innovations Fund, and Strategist World Fund, Inc., on behalf of Strategist World Technologies Fund, dated March 10, 2000, filed electronically as Exhibit (h)(10) to Registrant's Post-Effective Amendment No. 35 to Registration Statement No. 33-25824 filed on or about Dec. 21, 2000, is incorporated by reference. (h)(12) Master Fee Cap/Fee Waiver Agreement dated, Oct. 1, 2005, as amended March 17, 2006 between RiverSource Investments, LLC, Ameriprise Financial, Inc., RiverSource Service Corporation, Ameriprise Financial Services, Inc. and the RiverSource Funds and Preferred Master Trust filed electronically on or about March 29, 2006, as Exhibit(h)(12) to AXP Market Advantage Series, Inc. Post-Effective Amendment No. 35 to Registration Statement No. 33-30770 is incorporated by reference. (h)(13) License Agreement, dated Oct. 1, 2005, between Ameriprise Financial, Inc. and the RiverSource Funds filed electronically on or about Oct. 27, 2005 as Exhibit (h)(7) to AXP Fixed Income Series, Inc. Post-Effective Amendment No. 59 to Registration Statement No. 2-51586 is incorporated by reference. (h)(14) License Agreement, dated June 17, 1999, between American Express Funds and American Express Company filed electronically on or about Sept. 23, 1999 as Exhibit (h)(4) to AXP Stock Fund, Inc.'s Post-Effective Amendment No. 98 to Registration Statement No. 2-11358, is incorporated by reference. (h)(15) Addendum to Schedule A and Schedule B of the License Agreement between the American Express Funds and American Express Company, dated June 23, 2004, filed electronically on or about June 28, 2004 as Exhibit (h)(2) to AXP Variable Portfolio - Select Series, Inc. Pre-Effective Amendment No. 1 to Registration Statement No. 333-113780 is incorporated by reference. (h)(16) Administrative Services Agreement for RiverSource Absolute Return - Currency Fund to be filed by Amendment. (h)(17) Class Y Shareholder Service Agreement for RiverSource Absolute Return - Currency Fund to be filed by Amendment. (h)(18) Transfer Agency Agreement for RiverSource Absolute Return - Currency Fund to be filed by Amendment. (i) Opinion and consent of counsel as to the legality of the securities being registered is filed electronically herewith. (j) Consent of Independent Registered Public Accounting Firm: N/A. (k) Omitted Financial Statements: Not Applicable. (l) Initial Capital Agreements: Not Applicable. (m)(1) Plan and Agreement of Distribution (for Class A and Class B Shares), dated Oct. 1, 2005, between Registrant and Ameriprise Financial Services, Inc. filed electronically on or about Oct. 27, 2005 as Exhibit (m)(1) to AXP Fixed Income Series, Inc. Post-Effective Amendment No. 59 to Registration Statement No. 2-51586 is incorporated by reference. (m)(2) Amendment, dated Jan. 12, 2006, to Plan and Agreement of Distribution (for Class A and Class B shares), dated Oct. 1, 2005, filed electronically on or about Feb. 3, 2006 as Exhibit(m)(2) to AXP Dimensions Series, Inc. Post-Effective Amendment No. 74 to Registration Statement No. 2-28529 is incorporated by reference. (m)(3) Plan and Agreement of Distribution (for Class C Shares), dated Oct. 1, 2005, between Registrant and Ameriprise Financial Services, Inc. filed electronically on or about Oct. 27, 2005 as Exhibit (m)(2) to AXP Fixed Income Series, Inc. Post-Effective Amendment No. 59 to Registration Statement No. 2-51586 is incorporated by reference. (m)(4) Amendment, dated Jan. 12, 2006, to Plan and Agreement of Distribution (for Class C Shares), dated Oct. 1, 2005, filed electronically on or about Feb. 3, 2006 as Exhibit (m)(4) to AXP Dimensions Series, Inc. Post-Effective Amendment No. 74 to Registration Statement No. 2-28529 is incorporated by reference. (m)(5) Plan and Agreement of Distribution for RiverSource Absolute Return - Currency Fund to be filed by Amendment. (n) Amended 18f-3 Plan, dated as of May 26, 2004, filed electronically on or about July 29, 2004 as Exhibit (n) to AXP Discovery Series, Inc. Post-Effective Amendment No. 49 to Registration Statement No. 2-72174 is incorporated by reference. (o) Reserved. (p)(1) Code of Ethics adopted under Rule 17j-1 for Registrant filed electronically on or about March 28, 2005 as Exhibit (p)(1) to AXP Selected Series, Inc.'s Post-Effective Amendment No. 42 to Registration Statement No. 2-93745 is incorporated by reference. (p)(2) Code of Ethics adopted under Rule 17j-1 for Registrant's investment adviser and principal underwriter, dated Oct. 26, 2005, filed electronically on or about Nov. 22, 2005 as Exhibit (p)(2) to AXP Equity Series, Inc. Post-Effective Amendment No. 100 to Registration Statement No. 2-13188 is incorporated by reference. (p)(3) Code of Ethics, dated May 2005, adopted under Rule 17j-1, for RiverSource Global Balanced Fund, RiverSource Emerging Markets Fund and RiverSource Global Equity Fund Subadviser, Threadneedle International Ltd., filed electronically on or about Dec. 20, 2005, as Exhibit (p)(3) to AXP International Series, Inc. Post-Effective Amendment No. 42 to Registration Statement No. 2-92309 is incorporated by reference. (q)(1) Directors'/Trustees' Power of Attorney, to sign Amendments to this Registration Statement, dated Jan. 11, 2006, filed electronically on or about Feb. 3, 2006 as Exhibit (q)(1) to Registrant's Post-Effective Amendment No. 46 to Registration Statement No. 33-25824 is incorporated by reference. (q)(2) Officers' Power of Attorney, to sign Amendments to this Registration Statement, dated Jan. 9, 2002, filed electronically as Exhibit (q)(2) to Registrant's Post-Effective Amendment No. 37 to Registration Statement No. 33-25824 on or about October 23, 2002 is incorporated by reference. (q)(3) Officers' Power of Attorney, to sign Amendments to this Registration Statement, dated September 17, 2002, filed electronically as Exhibit (q)(3) to Registrant's Post-Effective Amendment No. 37 to Registration Statement No. 33-25824 on or about October 23, 2002 is incorporated by reference. Item 24. Persons Controlled by or Under Common Control with Registrant: None. Item 25. Indemnification The Articles of Incorporation of the registrant provide that the Fund shall indemnify any person who was or is a party or is threatened to be made a party, by reason of the fact that she or he is or was a director, officer, employee or agent of the Fund, or is or was serving at the request of the Fund as a director, officer, employee or agent of another company, partnership, joint venture, trust or other enterprise, to any threatened, pending or completed action, suit or proceeding, wherever brought, and the Fund may purchase liability insurance and advance legal expenses, all to the fullest extent permitted by the laws of the State of Minnesota, as now existing or hereafter amended. The By-laws of the registrant provide that present or former directors or officers of the Fund made or threatened to be made a party to or involved (including as a witness) in an actual or threatened action, suit or proceeding shall be indemnified by the Fund to the full extent authorized by the Minnesota Business Corporation Act, all as more fully set forth in the By-laws filed as an exhibit to this registration statement. Insofar as indemnification for liability arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue. Any indemnification hereunder shall not be exclusive of any other rights of indemnification to which the directors, officers, employees or agents might otherwise be entitled. No indemnification shall be made in violation of the Investment Company Act of 1940.
Item 26. Business and Other Connections of Investment Adviser (Ameriprise Financial, Inc.) Directors and officers of Ameriprise Financial Inc. who are directors and/or officers of one or more other companies: Name and Title Other company(s) Address* Title within other company(s) ------------------------- ----------------------- ------------------------- ----------------------- Gumer C. Alvero American Centurion Life 20 Madison Ave. Extension Director and Vice President - Vice President - General Assurance Company P.O. Box 5555 Annuities Manager Annuities Albany, NY 12205-0555 American Enterprise Life President and Director Insurance Company American Enterprise President REO 1, LLC Ameriprise Financial Vice President - General Manager Services, Inc. Annuities American Express Insurance Director and Vice President Agency of Alabama Inc. American Express Insurance Director and Vice President Agency of Arizona Inc. American Express Insurance Director and Vice President Agency of Idaho Inc. American Express Insurance Director and Vice President Agency of Maryland Inc. American Express Insurance Director and Vice President Agency of Massachusetts Inc. American Express Insurance Director and Vice President Agency of Nevada Inc. American Express Insurance Director and Vice President Agency of New Mexico Inc. American Express Insurance Director and Vice President Agency of Oklahoma Inc. American Express Insurance Director and Vice President Agency of Wyoming Inc. American Partners Life 1751 Ameriprise Director and President Insurance Company Financial Center Minneapolis MN 55474 IDS Life Insurance Company Director and Executive Vice President - Annuities IDS Life Insurance Company P.O. Box 5144 Director and Vice President - of New York Albany, NY 12205 Annuities Neysa M. Alecu Advisory Capital Partners LLC Anti-Money Laundering Anti-Money Laundering Officer Officer Advisory Capital Strategies Anti-Money Laundering Group Inc. Officer Advisory Convertible Arbitrage Anti-Money Laundering LLC Officer Advisory Select LLC Anti-Money Laundering Officer American Enterprise Life Insurance Anti-Money Laundering Company Officer American Enterprise Anti-Money Laundering Investment Services, Inc. Officer American Enterprise REO 1 LLC Anti-Money Laundering Officer RiverSource Investments, LLC Anti-Money Laundering Officer American Express Asset Management Anti-Money Laundering International, Inc. Officer Ameriprise Certificate Company Anti-Money Laundering Officer RiverSource Service Corporation Anti-Money Laundering Officer Ameriprise Financial Services, Anti-Money Laundering Inc. Officer American Express Insurance Anti-Money Laundering Agency of Alabama Inc. Officer American Express Insurance Anti-Money Laundering Agency of Arizona Inc. Officer American Express Insurance Anti-Money Laundering Agency of Idaho Inc. Officer American Express Insurance Anti-Money Laundering Agency of Maryland Inc. Officer American Express Insurance Anti-Money Laundering Agency of Massachusetts Inc. Officer American Express Insurance Anti-Money Laundering Agency of Nevada Inc. Officer American Express Insurance Anti-Money Laundering Agency of New Mexico Inc. Officer American Express Insurance Anti-Money Laundering Agency of Oklahoma Inc. Officer American Express Insurance Anti-Money Laundering Agency of Texas Inc. Officer American Express Insurance Anti-Money Laundering Agency of Wyoming Inc. Officer American Partners Life Anti-Money Laundering Insurance Company Officer Ameriprise Auto & Home Insurance Anti-Money Laundering Agency Inc. Officer Boston Equity General Anti-Money Laundering Partner LLC Officer IDS Capital Holdings Inc. Anti-Money Laundering Officer IDS Life Insurance Company Anti-Money Laundering Officer IDS Management Corporation Anti-Money Laundering Officer Abu M. Arif Vice President - Marketing Strategy and Retail Retirement Ward D. Armstrong Ameriprise Financial Senior Vice President - Senior Vice President - Services Inc. Retirement Services and Retirement Services Asset Management Group and Asset Management Group RiverSource Director and Senior Vice President Investments, LLC Ameriprise Trust Director and Chairman of Company the Board Kenwood Capital Management LLC Manager American Express Asset Director Management International Inc. John M. Baker Ameriprise Financial Vice President - Chief Client Vice President - Plan Sponsor Services Inc. Service Officer Services RiverSource Vice President Investments, LLC Ameriprise Trust Director and Senior Vice President Company Timothy V. Bechtold American Centurion Life 20 Madison Ave. Extension Director, President and Chief Vice President - Assurance Company P.O. Box 5555 Executive Officer Insurance Products Albany, NY 12205-0555 American Enterprise Life Director Insurance Company Ameriprise Financial Vice President - Insurance Services Inc. Products American Express Insurance Director, President and Chief Agency of Alabama Inc. Executive Officer American Express Insurance Director, President and Chief Agency of Arizona Inc. Executive Officer American Express Insurance Director, President and Chief Agency of Idaho Inc. Executive Officer American Express Insurance Director, President and Chief Agency of Maryland Inc. Executive Officer American Express Insurance Director, President and Chief Agency of Massachusetts Inc. Executive Officer American Express Insurance Director, President and Chief Agency of Nevada Inc. Executive Officer American Express Insurance Director, President and Chief Agency of New Mexico Inc. Executive Officer American Express Insurance Director and President and Chief Agency of Oklahoma Inc. Executive Officer American Express Insurance Director, President and Chief Agency of Wyoming Inc. Executive Officer American Partners Life Director and Vice President - Insurance Company Insurance Products IDS Life Insurance Company Director and President IDS Life Insurance Company P.O. Box 5144 Director, President and Chief of New York Albany, NY 12205 Executive Officer IDS REO 1, LLC President IDS REO 2, LLC President Kent M. Bergene Vice President - Pricing and Product Development Arthur H. Berman American Enterprise Life Director Senior Vice President and Insurance Company Treasurer Ameriprise Financial Senior Vice President Services Inc. and Treasurer American Partners Life Director Insurance Company IDS Life Insurance Director Company Walter S. Berman Advisory Capital Partners LLC Treasurer Executive Vice President and Chief Financial Advisory Capital Strategies Treasurer Officer Group Inc. Advisory Convertible Arbitrage Treasurer LLC Advisory Select LLC Treasurer American Centurion Life Vice President and Treasurer Assurance Company American Enterprise Life Vice President and Treasurer Insurance Company American Enterprise REO 1, LLC Treasurer RiverSource Investments, LLC Treasurer American Express Asset Management Treasurer International, Inc. Ameriprise Certificate Company Treasurer RiverSource Service Corporation Treasurer RiverSource Tax Advantaged Treasurer Investments, Inc. Ameriprise Financial Director Services Inc. American Express Vice President and Treasurer Financial Advisors Services Japan Inc. American Express Insurance Treasurer Agency of Alabama Inc. American Express Insurance Treasurer Agency of Arizona Inc. American Express Insurance Treasurer Agency of Idaho Inc. American Express Insurance Treasurer Agency of Maryland Inc. American Express Insurance Treasurer Agency of Massachusetts Inc. American Express Insurance Treasurer Agency of Nevada Inc. American Express Insurance Treasurer Agency of New Mexico Inc. American Express Insurance Treasurer Agency of Oklahoma Inc. American Express Insurance Treasurer Agency of Wyoming Inc. American Partners Life Vice President and Treasurer Insurance Company AMEX Assurance Company Treasurer Boston Equity General Treasurer Partner LLC IDS Cable Corporation Treasurer IDS Cable II Corporation Treasurer IDS Capital Holdings Inc. Treasurer IDS Life Insurance Company Vice President and Treasurer IDS Life Insurance Company Vice President and Treasurer of New York IDS Management Corporation Treasurer IDS Partnership Services Treasurer Corporation IDS Property Casualty Treasurer Insurance Company IDS Realty Corporation Treasurer IDS REO 1, LLC Treasurer IDS REO 2, LLC Treasurer Investors Syndicate Vice President and Treasurer Development Corp. Kenwood Capital Treasurer Management LLC Robert C. Bloomer Ameriprise Financial Vice President - Technologies III Vice President - Services Inc. Technologies III Leslie H. Bodell Ameriprise Financial Vice President - Technologies I Vice President - Services Inc. Technologies I Randy L. Boser Ameriprise Financial Vice President - Mutual Fund Vice President - Services Inc. Business Development Business Development IDS Life Insurance Company Assistant Vice President Uzma S. Burki Ameriprise Financial Vice President - Organizational Vice President - Services Inc. Talent Development Organizational & Talent Development Michael G. Burton Vice President and Chief Counsel - Regulatory Affairs Richard N. Bush Advisory Capital Partners LLC Senior Vice President - Corporate Tax Senior Vice President - Corporate Tax Advisory Capital Strategies Senior Vice President - Corporate Tax Group Inc. Advisory Convertible Arbitrage Senior Vice President - Corporate Tax LLC American Centurion Life Senior Vice President - Corporate Tax Assurance Company American Enterprise Investment Senior Vice President - Corporate Tax Services Inc American Enterprise Life Senior Vice President - Corporate Tax Insurance Company American Enterprise REO 1 LLC Senior Vice President - Corporate Tax American Express Asset Senior Vice President - Corporate Tax Management International Inc American Express Financial Senior Vice President - Corporate Tax Advisors Japan Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Alabama Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Arizona Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Idaho Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Maryland Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Massachusetts Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Nevada Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of New Mexico Inc American Express Insurance Senior Vice President - Corporate Tax Agency of Oklahoma Inc. American Express Insurance Senior Vice President - Corporate Tax Agency of Wyoming Inc. American Express Property Senior Vice President - Corporate Tax Casualty Insurance Agency of Kentucky Inc. American Express Property Senior Vice President - Corporate Tax Casualty Insurance Agency of Maryland Inc. American Express Property Senior Vice President - Corporate Tax Casualty Insurance Agency of Pennsylvania Inc. American Partners Life Senior Vice President - Corporate Tax Insurance Company Ameriprise Financial Services Senior Vice President - Corporate Tax Inc. AMEX Assurance Company Senior Vice President - Corporate Tax Boston Equity General Partner LLC Senior Vice President - Corporate Tax IDS Cable Corporation Senior Vice President - Corporate Tax IDS Cable II Corporation Senior Vice President - Corporate Tax IDS Capital Holdings Inc. Senior Vice President - Corporate Tax IDS Futures Corporation Senior Vice President - Corporate Tax IDS Life Insurance Company Senior Vice President - Corporate Tax IDS Life Insurance Company of Senior Vice President - Corporate Tax New York IDS Management Corporation Senior Vice President - Corporate Tax IDS Property Casualty Insurance Senior Vice President - Corporate Tax Company IDS Realty Corporation Senior Vice President - Corporate Tax IDS REO 1 LLC Senior Vice President - Corporate Tax IDS REO 2 LLC Senior Vice President - Corporate Tax RiverSource Investments LLC Senior Vice President - Corporate Tax RiverSource Service Corporation Senior Vice President - Corporate Tax Riversource Tax Advantaged Senior Vice President - Corporate Tax Investments Inc. Kenneth J. Ciak AMEX Assurance Company Director, President and Chief Vice President and General Executive Officer Manager - IDS Property Casualty Ameriprise Financial Vice President and General Services Inc. Manager - IDS Property Casualty Ameriprise Insurance Company Director Ameriprise Auto & Home Director, President and Chief Insurance Executive Officer of Kentucky Inc. Ameriprise Auto & Home Director, President and Chief Insurance Executive Officer of Maryland Inc. Ameriprise Auto & Home Director, President and Chief Insurance Executive Officer of Pennsylvania Inc. IDS Property Casualty 1 WEG Blvd. Director, President and Chief Insurance Company DePere, WI 54115 Executive Officer Paul A. Connolly Ameriprise Financial Vice President - RL HR/US Retail Vice President - Retail Services Inc. Distribution Services James M. Cracchiolo Ameriprise Financial Director, Chairman of the Board, Director, Chairman of Services Inc. and Chief Executive Officer the Board, Chief Executive Officer, and President Threadneedle Asset Director and Chairman of the Board Management Holdings LTD Colleen Curran Ameriprise Financial Vice President and Vice President and Assistant Services Inc. Assistant General Counsel General Counsel Luz Maria Davis Ameriprise Financial Vice President - Employee Vice President - Services Inc. Communications Communications Paul James Dolan Ameriprise Financial Vice President - CAO Product Sales Vice President - Services Inc. CAO Product Sales RiverSource Distributors Inc. Chief Administrative Officer William V. Elliott Ameriprise Financial Vice President - Financial Vice President - Financial Services Inc. Planning and Advice Planning and Advice William J. Emptage Ameriprise Financial Vice President - Strategic Vice President - Strategic Services Inc. Planning Planning Benjamin R. Field Ameriprise Financial Vice President - Finance Education & Vice President - Finance Services Inc. Planning Services Education & Planning Services Gordon M. Fines RiverSource Investments, LLC Vice President - Senior Portfolio Vice President - Financial Manager Education & Planning Services Ameriprise Financial Vice President - Senior Services Inc. Portfolio Manager I Giunero Floro Ameriprise Financial Services Vice President - Creative Services Vice President - Creative Inc. Services Terrence J. Flynn Ameriprise Financial Services Inc. Vice President - Brokerage & Vice President - Brokerage & Clearing Operations Clearing Operations American Enterprise President and Chief Executive Officer Investment Services Inc. RiverSource Director and Senior Vice President - Service Corporation Clearing Operations Jeffrey P. Fox Ameriprise Financial Vice President - Investment Vice President - Services Inc. Accounting Investment Accounting RiverSource Distributors Inc. Chief Financial Officer Laura C. Gagnon Ameriprise Financial Services Inc. Vice President - Investor Relations Vice President - Investor Relations Peter A. Gallus Advisory Capital Strategies Director, President, Chief Operating Vice President - Investment Group Inc. Officer and Chief Compliance Officer Administration Advisory Capital Partners LLC President, Chief Operating Officer and Chief Compliance Officer Advisory Convertible Arbitrage LLC President, Chief Operating Officer and Chief Compliance Officer Advisory Select LLC Vice President and Chief Compliance Officer Ameriprise Financial Vice President - CAO Services Inc. Investment Management RiverSource Investments, LLC Senior Vice President, Chief Operating Officer and Assistant Treasurer American Express Asset Assistant Treasurer Management International, Inc. Boston Equity General President, Chief Operating Officer Partner LLC and Chief Compliance Officer Kenwood Capital Management LLC Manager IDS Capital Holdings Inc. Vice President and Controller Michael R. Greene Vice President - Compliance/Legal/Regulatory Project Management Office Steven Guida RiverSource Director Vice President - New Service Corporation Business and Service Ameriprise Financial Vice President - New Services Inc. Business and Service American Express Insurance Vice President Agency of Massachusetts Inc. Ira D. Hall Director Teresa A. Hanratty Ameriprise Financial Senior Vice Senior Vice President - Services Inc. President - Field Field Management Management Janis K. Heaney Ameriprise Financial Vice President - Incentive Vice President - Incentive Services Inc. Management Management Brian M. Heath Ameriprise Financial Director and President - President - U.S. Services Inc. U.S. Advisor Group Advisor Group Nancy R. Hughes American Centurion Life Assistant Vice President Assistant Vice President Assurance Company American Enterprise Life Assistant Vice President Insurance Company American Enterprise REO 1 LLC Assistant Vice President Ameriprise Certificate Assistant Vice President Company American Partners Life Assistant Vice President Insurance Company IDS Life Insurance Company Assistant Vice President IDS Life Insurance Company Assistant Vice President of New York IDS REO 1 LLC Assistant Vice President IDS REO 2 LLC Assistant Vice President Kelli A. Hunter Ameriprise Financial Executive Vice President - Executive Vice President - Services Inc. Human Resources Human Resources Debra A. Hutchinson Ameriprise Financial Vice President - Technologies I Vice President - Services Inc. Technologies I James M. Jensen Ameriprise Financial Vice President - Compensation Vice President - Advice and Services Inc. and Licensing Services Retail Distribution Group, Product, Compensation and American Express Insurance Director, Vice President Field Administration Agency of Alabama Inc. American Express Insurance Director, Vice President Agency of Arizona Inc. American Express Insurance Director, Vice President Agency of Idaho Inc. American Express Insurance Director, Vice President Agency of Maryland Inc. American Express Insurance Director Agency of Massachusetts Inc. American Express Insurance Director, Vice President Agency of Nevada Inc. American Express Insurance Director, Vice President Agency of New Mexico Inc. American Express Insurance Director, Vice President Agency of Oklahoma Inc. American Express Insurance Director, Vice President Agency of Wyoming Inc. Amy K. Johnson Vice President - Operations and Compliance Paul R. Johnston Ameriprise Financial Secretary Assistant Secretary Services Inc. American Express Property Casualty Insurance Secretary Agency of Maryland Inc. Ameriprise Auto & Home Secretary Insurance Agency Inc. Ameriprise Insurance Company Vice President, General Counsel, Secretary, Director American Partners Life Assistant General Counsel Insurance Company and Secretary AMEX Assurance Company Director, General Counsel and Secretary American Express Property Secretary Casualty Insurance Agency of Kentucky American Express Property Secretary Casualty Insurance Agency of Pennsylvania IDS Cable Corporation Vice President IDS Cable II Corporation Vice President IDS Partnership Services Vice President and Secretary Corporation IDS Property Casualty Director, Vice President, Insurance Company General Counsel and Secretary IDS Realty Corporation Vice President Nancy E. Jones Ameriprise Financial Vice President - Advisor Vice President - Advisor Services Inc. Marketing Marketing William A. Jones Ameriprise Financial Vice President - Technologies III Vice President - Services Inc. Technologies III John C. Junek Ameriprise Financial Senior Vice President and Executive Vice President and Services Inc. General Counsel General Counsel Ora J. Kaine Ameriprise Financial Vice President - Retail Vice President - Retail Services Inc. Distribution Services Distribution Services Michelle M. Keeley AMEX Assurance Company Vice President-Investments Senior Vice President - Fixed Income American Centurion Life Vice President-Investments Assurance Company American Enterprise Life Vice President-Investments Insurance Company RiverSource Director and Senior Vice Investments, LLC President - Fixed Income American Express Director Asset Management International Inc. Ameriprise Vice President-Investments Certificate Company Ameriprise Insurance Company Vice President-Investments IDS Property Casualty Insurance Company Vice President-Investments Ameriprise Financial Senior Vice President-Fixed Income Services Inc. American Partners Life Vice President-Investments Insurance Company IDS Life Insurance Company Vice President-Investments IDS Life Insurance Company Vice President-Investments of New York Kenwood Capital Management LLC Manager Claire Kolmodin Ameriprise Financial Vice President - Strategic Vice President - Strategic Services Inc. Initiatives Initiatives Lori J. Larson Ameriprise Financial Vice President - Advisor Vice President - Advisor Services Inc. Field Force Growth & Field Force Growth & Retention Retention Daniel E. Laufenberg Ameriprise Financial Vice President - Chief U.S. Vice President - Services Inc. Economist Chief U.S. Economist Jane W. Lee Ameriprise Financial Vice President - General Vice President - General Services Inc. Manager Platinum Active Manager Platinum Active Financial Services Financial Services W. Walker Lewis Director Catherine M. Libbe Ameriprise Financial Vice President - Marketing & Vice President - Services Inc. Product Retirement Services Marketing & Product Retirement Services Diane D. Lyngstad Ameriprise Financial Chief Financial Officer and Vice Vice President - Comp & Services Inc. President - Comp & Licensing Licensing Services Services RiverSource Director, Vice President and Service Corporation Chief Financial Officer Andrew J. MacMillan Ameriprise Financial Senior Vice President - Senior Vice President - Services Inc. Corporate Communications Corporate Communications & Government Affairs & Government Affairs Siri S. Marshall Director Timothy J. Masek Ameriprise Financial Vice President - Fixed Income Vice President - Fixed Services Inc. Research Income Research Brian J. McGrane Ameriprise Financial Vice President and Lead Financial Senior Vice President and Services Inc. Officer Finance Lead Financial Officer Advisory Capital Partners LLC Vice President and Chief Financial Officer Advisory Capital Vice President and Chief Financial Strategies Group Inc. Officer Advisory Convertible Vice President and Chief Financial Arbitrage LLC Officer Advisory Select LLC Vice President and Chief Financial Officer American Enterprise Life Director, Executive Vice President Life Insurance Company and Chief Financial Officer RiverSource Vice President and Chief Financial Investments, LLC Officer American Express Asset Vice President and Chief Financial Management International Inc. Officer Ameriprise Vice President and Chief Financial Certificate Company Officer Ameriprise Trust Company Director Boston Equity General Vice President and Chief Financial Partner LLC Officer IDS Life Insurance Company Director, Executive Vice President and Chief Financial Officer Sarah M. McKenzie Ameriprise Financial Vice President - Vice President - Services Inc. Managed and Brokerage Products Managed and Brokerage Products Ameriprise Enterprise Investment Director Services Inc. Penny J. Meier Ameriprise Financial Vice President - Business Vice President - Business Services Inc. Transformation/Six Sigma Transformation/Six Sigma Paula R. Meyer Ameriprise Financial Senior Vice President and General Senior Vice President Services Inc. Manager - Mutual Funds - Mutual Funds Ameriprise Certificate Director, President and Company Chief Executive Officer American Express Director and President International Deposit Company Ameriprise Trust Company Director Investors Syndicate Director, President and Chief Development Corp. Executive Officer RiverSource Distributors, Inc. Director and Chief Operating Officer RiverSource Investments LLC Senior Vice President Rebecca A. Nash Ameriprise Financial Vice President - Vice President - Services Inc. Service Operations Service Operations Ameriprise Insurance Company Senior Vice President - Insurance AMEX Assurance Company Vice President - Insurance IDS Property Casualty Senior Vice President - Insurance Company Insurance Jeffrey Noddle Director Francois B. Odouard Ameriprise Financial Vice President - Brokerage Vice President - Services Inc. Brokerage Michael J. O'Keefe Ameriprise Financial Vice President - Advisory Vice President - Advisory Services Inc. Business Systems Business Systems Benji Orr Advisory Capital Partners LLC Deputy Anti-Money Laundering Deputy Anti-Money Officer Laundering Officer Advisory Capital Strategies Group Deputy Anti-Money Laundering Inc. Officer Advisory Convertible Arbitrage Deputy Anti-Money Laundering LLC Officer Advisory Select LLC Deputy Anti-Money Laundering Officer American Enterprise Life Deputy Anti-Money Laundering Insurance Company Officer American Enterprise Investment Deputy Anti-Money Laundering Services Inc Officer American Enterprise REO 1 LLC Deputy Anti-Money Laundering Officer American Express Asset Management Deputy Anti-Money Laundering International Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Arizona Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Alabama Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Idaho Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Maryland Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Massachusetts Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Nevada Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of New Mexico Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Oklahoma Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Texas Inc. Officer American Express Insurance Agency Deputy Anti-Money Laundering of Wyoming Inc. Officer Ameriprise Auto & Home Insurance Deputy Anti-Money Laundering Agency Inc. Officer Ameriprise Certificate Company Deputy Anti-Money Laundering Officer American Partners Life Insurance Company Deputy Anti-Money Laundering Officer Ameriprise Financial Services, Deputy Anti-Money Laundering Inc. Officer Boston Equity General Partner LLC Deputy Anti-Money Laundering Officer IDS Capital Holdings Inc. Deputy Anti-Money Laundering Officer IDS Life Insurance Company Deputy Anti-Money Laundering Officer IDS Management Corporation Deputy Anti-Money Laundering Officer RiverSource Investments, LLC Deputy Anti-Money Laundering Officer RiverSource Distributors LLC Deputy Anti-Money Laundering Officer RiverSource Service Corporation Deputy Anti-Money Laundering Officer Douglas J. Parish Ameriprise Financial General Auditor General Auditor Services, Inc. Richard F. Powers III Director Glen Salow Executive Vice President - Technology and Active Operations H. Jay Sarles Director Robert F. Sharpe, Jr. Director Paul Pearson Vice President - SPS and External Products Active Scott R. Plummer American Enterprise Life 38a-1 Chief Compliance Officer Vice President - Insurance Company Asset Management Compliance Ameriprise Certificate Vice President, Secretary, General Company Counsel American Partners 38a-1 Chief Compliance Officer Life Insurance Company IDS Life Insurance Company 38a-1 Chief Compliance Officer RiverSource Distributors, Inc. Chief Counsel Mark A. Riordan Ameriprise Financial Vice President - Finance Vice President - Finance Services Inc. Emerging Technologies Emerging Technologies IDS Cable Corporation Director IDS Cable Corporation II Director Andrew C. Schell Ameriprise Financial Vice President - Strategy Vice President - Strategy Services Inc. and Planning and Planning Mark E. Schwarzmann American Enterprise Life Director, Chairman of the Board and President - Insurance & Insurance Company Chief Executive Officer Annuities and Product Distribution American Partners Life Director, Chairman of the Board and Insurance Company Chief Executive Officer IDS Life Insurance Company Director, Chairman of the Board and Chief Executive Officer RiverSource Distributors Inc. Director, President and Chief Executive Officer Gary A. Scott Ameriprise Financial Vice President - Client Acquisition Vice President - Services Inc. Marketing and Services Client Acquisition Marketing and Services Kim M. Sharan Executive Vice President and Chief Marketing Officer Jacqueline M. Sinjem Ameriprise Financial Vice President - Plan Sponsor Vice President - Plan Services Inc. Services Sponsor Services Ameriprise Trust Vice President Company Bridget M. Sperl RiverSource Director, Chairman of the Board; Senior Vice President - Service Corporation President and Chief Executive Client Service Organization Ameriprise Financial Senior Vice President - Services Inc. Client Service Organization Ameriprise Insurance Company Director IDS Life Insurance Company Executive Vice President - Client Service IDS Property Casualty Director Insurance Company Lisa A. Steffes Ameriprise Financial Vice President - Marketing Vice President - Marketing Services Inc. Officer Development Officer Development Ameriprise Insurance Company Director IDS Property Casualty 1 WEG Blvd. Director Insurance Company DePere, WI 54115 David K. Stewart American Centurion Life Vice President and Controller Senior Vice President and Assurance Company Controller American Enterprise Treasurer Investment Services Inc. American Enterprise Life Vice President and Controller Insurance Company Ameriprise Vice President, Controller and Certificate Company Chief Accounting Officer Ameriprise Financial Vice President and Controller Services Inc. American Partners Life Vice President and Controller Insurance Company IDS Life Insurance Vice President and Controller Company IDS Life Insurance Vice President and Controller Company of New York Jeffrey J. Stremcha Ameriprise Financial Vice President - Technologies I Vice President - Services Inc. Technologies I John T. Sweeney American Enterprise Investment Chief Financial Officer Vice President - Lead Services, Inc. Financial Officer - Products Group Ameriprise Financial Vice President, Lead Financial Services Inc. Officer - Banking, Brokerage and Managed Products Ameriprise Insurance Company Director AMEX Assurance Company Director IDS Partnership Director Services Corporation IDS Property Casualty Director Insurance Company IDS Realty Corporation Director Joseph E. Sweeney Ameriprise Financial Services Inc. Senior Vice President, General President - Financial Manager - U.S. Brokerage and Planning, Products and Services Membership Banking American Enterprise Investment Director Services Inc. William F. "Ted" Truscott Advisory Capital Strategies Director President - U.S. Asset Group Inc. Management and Chief Investment Officer RiverSource Director, President and Chairman of Investments, LLC the Board and Chief Investment Officer American Express Asset Director Management International, Inc. Ameriprise Financial Senior Vice President and Services Inc. Chief Investment Officer IDS Capital Holdings Inc. Director and President Kenwood Capital Management LLC Manager Threadneedle Asset Management Director Holdings LTD George F. Tsafaridis Ameriprise Financial Vice President - Quality & Service Vice President - Services Inc. Support Quality & Service Support William H. Turner Director Ramanathan Venkataramana Ameriprise Financial Vice President - Technologies III Vice President - Services Inc. Technologies III Peter S. Velardi Ameriprise Financial Senior Vice President - Senior Vice President - Services Inc. Field Management Field Management Andrew O. Washburn Ameriprise Financial Vice President - Mutual Fund Vice President - Services Inc. Marketing Marketing Beth E. Weimer Ameriprise Financial Vice President and Chief Vice President and Services Inc. Compliance Officer - Chief Compliance Officer Asset Management and Insurance American Centurion Life Assurance Company Chief Compliance Officer - Insurance Separate Accounts IDS Life Insurance Company of New York Chief Compliance Officer - Insurance Separate Accounts American Express Asset Chief Compliance Officer Management International Kenwood Capital Chief Compliance Officer Management LLC RiverSource Investments LLC Chief Compliance Officer RiverSource Chief Compliance Officer Service Corporation Jeffery A. Williams Ameriprise Financial Senior Vice President - Senior Vice President - Services Inc. Cross-Sell/Strategic Cross-Sell/Strategic Management Management American Enterprise Investment Series, Inc. Director William J. Williams Ameriprise Financial Senior Vice President - Field Senior Vice President - Services Inc. Management Field Management Dianne L. Wilson Ameriprise Financial Vice President - Insurance Vice President - Services Inc. Operations Insurance Operations Amex Assurance Company Director and Senior Vice President American Express Property Casualty Vice President Insurance Agency of Kentucky Inc. American Express Property Casualty Vice President Insurance Agency of Maryland Inc. American Express Property Casualty Vice President Insurance Agency of Pennsylvania Inc. Ameriprise Insurance Company Director and Senior Vice President - Investments IDS Property Casualty Company Director and Senior Vice President - Insurance Michael R. Woodward Ameriprise Financial Senior Vice President - Senior Vice President - Services Inc. Field Management Field Management American Centurion Life 20 Madison Ave. Extension Director Assurance Company Albany, NY 12205-0555 IDS Life Insurance Company P.O. Box 5144 Director of New York Albany, NY 12205 John R. Woener Ameriprise Financial Senior Vice President - Senior Vice President - Services Inc. Strategic Planning and Strategic Planning and Business Development Business Development * Unless otherwise noted, address is 70100 Ameriprise Financial Center, Minneapolis, MN 55474.
Item 27. Principal Underwriters. (a) Ameriprise Financial Services, Inc. acts as principal underwriter for the following investment companies: AXP California Tax-Exempt Trust; AXP Dimensions Series, Inc.; AXP Discovery Series, Inc.; AXP Equity Series, Inc.; AXP Fixed Income Series, Inc.; AXP Global Series, Inc.; AXP Government Income Series, Inc.; AXP Growth Series, Inc.; AXP High Yield Income Series, Inc.; AXP High Yield Tax-Exempt Series, Inc.; AXP Income Series, Inc.; AXP International Series, Inc.; AXP Investment Series, Inc.; AXP Managed Series, Inc.; AXP Market Advantage Series, Inc.; AXP Money Market Series, Inc.; AXP Partners Series, Inc.; AXP Partners International Series, Inc.; AXP Progressive Series, Inc.; AXP Sector Series, Inc.; AXP Selected Series, Inc.; AXP Special Tax-Exempt Series Trust; AXP Stock Series, Inc.; AXP Strategy Series, Inc.; AXP Tax-Exempt Series, Inc.; AXP Tax-Free Money Series, Inc.; Growth Trust; Growth and Income Trust; Income Trust; Tax-Free Income Trust; World Trust; Ameriprise Certificate Company; Advisory Hedged Opportunity Fund. (b) As to each director, officer or partner of the principal underwriter: Name and Principal Position and Offices with Offices with Registrant Business Address* Underwriter Gumer C. Alvero Vice President - General None Manager Annuities Ward D. Armstrong Senior Vice President - None Retirement Services and Asset Management Group John M. Baker Vice President - Chief None Client Service Officer Dudley Barksdale Vice President - Service None Development Timothy V. Bechtold Vice President - None Insurance Products Arthur H. Berman Senior Vice President and Treasurer None Walter S. Berman Director None Robert C. Bloomer Vice President - Technologies III None Leslie H. Bodell Vice President - Technologies I None Rob Bohli Group Vice President - None 10375 Richmond Avenue #600 South Texas Houston, TX 77042 Walter K. Booker Group Vice President - None 61 South Paramus Road New Jersey Mack-Cali Office Center IV, 3rd Floor Paramus, NJ 07652 Bruce J. Bordelon Group Vice President - None 1333 N. California Blvd., Northern California Suite 200 Walnut Creek, CA 94596 Randy L. Boser Vice President - Mutual Fund None Business Development Richard N. Bush Senior Vice President - Corporate Tax Uzma S. Burki Vice President - Organizational None & Talent Development Kenneth J. Ciak Vice President and None IDS Property Casualty General Manager - IDS 1400 Lombardi Avenue Property Casualty Green Bay, WI 54304 Paul A. Connolly Vice President - RL HR/US Retail None James M. Cracchiolo Director, President, Chairman of None the Board and Chief Executive Officer Colleen Curran Vice President and None Assistant General Counsel Luz Maria Davis Vice President - Employee None Communications Scott M. DiGiammarino Group Vice President - None Suite 500, 8045 Leesburg Washington D.C./Baltimore Pike Vienna, VA 22182 Paul James Dolan Vice President - CAO Product Sales Kenneth Dykman Group Vice President - None 625 Kenmor Ave South East Greater Michigan Suite 301 Grand Rapids, MI 49546 William V. Elliot Vice President - Financial None Planning and Advice William J. Emptage Vice President - Strategic Planning None Benjamin R. Field Vice President - Finanace None Education and Planning Services Gordon M. Fines Vice President - Senior None Portfolio Manager I Giunero Floro Vice President - Creative None Services Terrence J. Flynn Vice President - Brokerage & None Clearing Operations Jeffrey P. Fox Vice President - Investment Treasurer Accounting Peter A. Gallus Vice President - CAO - Investment Management Laura C. Gagnon Vice President - Investor Relations None Gary W. Gassmann Group Vice President - None 2677 Central Park Boulevard Detroit Metro Suite 350 Southfield, MN 48076 John C. Greiber Group Vice President - None Minnesota/Iowa Martin T. Griffin Vice President and National Sales None Manager External Channel Steven Guida Vice President - None New Business and Service Teresa A. Hanratty Senior Vice President - None Suites 6&7 Field Management 169 South River Road Bedford, NH 03110 Lorraine R. Hart Vice President - Fixed Income None Investments Administration Officer Janis K. Heaney Vice President - None Incentive Management Brian M. Heath Director, Senior Vice President - None Suite 150 Advisor Group 801 E. Campbell Road Richardson, TX 75081 Jon E. Hjelm Group Vice President - None 655 Metro Place South Ohio Valley Suite 570 Dublin, OH 43017 David X. Hockenberry Group Vice President - None 830 Crescent Centre Drive Mid South Suite 490 Franklin, TN 37067-7217 Kelli A. Hunter Executive Vice President - None Human Resources Debra A. Hutchinson Vice President - Technologies I None Theodore M. Jenkin Group Vice President - None 6000 Freedom Square Drive Steel Cities Suite 300 Cleveland, OH 44131 James M. Jensen Vice President - None Compensation and Licensing Services Gregory C. Johnson Group Vice President - None 4 Atrium Drive, #100 Upstate New York/Vermont Albany, NY 12205 Jody M. Johnson Group Vice President - None Twin Cities Metro Paul R. Johnston Secretary Nancy E. Jones Vice President - Advisor None Marketing William A. Jones Vice President - Technologies III None John C. Junek Senior Vice President and None General Counsel Ora J. Kaine Vice President - None Retail Distribution Services Michelle M. Keeley Senior Vice President - None Fixed Income Raymond G. Kelly Group Vice President - None Suite 250 Northern Texas 801 East Campbell Road Richardson, TX 75081 Claire Kolmodin Vice President - Strategic None Initiatives Neysa A. Alecu Anti-Money Laundering None Officer Benji Orr Deputy Anti-Money Laundering None Officer Lori J. Larson Vice President - Advisor None Field Force Growth and Retention Daniel E. Laufenberg Vice President - Chief None U.S. Economist Jane W. Lee Vice President - General None Manager Platinum Active Financial Services Catherine M. Libbe Vice President - Marketing None & Product Retirement Services Diane D. Lyngstad Chief Financial Officer and None Vice President - Comp and Licensing Services Kurt W. Lofgren Vice President and Chief Compliance Officer - U.S. Retail Distribution Andrew J. MacMillan Senior Vice President - Corporate None Communications & Government Affairs Timothy J. Masek Vice President - None Fixed Income Research Frank A. McCarthy Vice President - External None Products Group and Personal Trust Services Brian J. McGrane Vice President and Lead Financial None Officer - Finance Dean O. McGill Group Vice President - None 11835 W. Olympic Blvd Los Angeles Metro Suite 900 East Los Angeles, CA 90064 Jeffrey McGregor Vice President and National None Sales Manager for Distribution Sarah M. McKenzie Vice President - Managed and None Brokerage Products Penny J. Meier Vice President - Business None Transformation/Six Sigma Paula R. Meyer Senior Vice President and President General Manager - Mutual Funds Rebecca A. Nash Vice President - Service None Operations Thomas V. Nicolosi Group Vice President - None Suite 220 New York Metro Area 500 Mamaroneck Ave. Harrison, NY 10528 Patrick H. O'Connell Group Vice President - None Commerce Center One Southern New England 333 East River Hartford, CT 06108-4200 Francois B. Odouard Vice President - Brokerage None Michael J. O'Keefe Vice President - None Advisory Business Systems Geoffery Oprandy Group Vice President - Southwest None 11811 N. Tatum Blvd. Suite 1030 Phoenix, AZ 85028 Douglas J. Parish General Auditor None Kristi L. Petersen Vice President - One Account None and Cash John G. Poole Group Vice President - None 14755 North Outer Forty Road Gateway/Springfield Suite 500 Chesterfield, MO 63017 Larry M. Post Group Vice President - None 2 Constitution Plaza New England Charlestown, MA 02129 Michael J. Rearden Group Vice President - None 1800 S. Pine Island Road, Suite 510 Southern Florida Plantation, FL 33324 Ralph D. Richardson III Group Vice President - None Suite 100 Carolinas 5511 Capital Center Drive Raleigh, NC 27606 Mark A. Riordan Vice President - Finance None Emerging Technologies Maximillian G. Roth Group Vice President - None 1400 Lombardi Avenue Wisconsin/Upper Michigan Suite 202 Green Bay, WI 54304 Andrew C. Schell Vice President - Strategy None and Planning Mark E. Schwarzmann Senior Vice President - None Insurance and Annuities Gary A. Scott Vice President - Client None Acquisition Marketing and Services Jacqueline M. Sinjem Vice President - Plan None Sponsor Services Martin S. Solhaug Vice President - International None Comp and Benefits Albert L. Soule Group Vice President - None 6925 Union Park Center Western Frontier Suite 200 Midvale, UT 84047 Bridget M. Sperl Senior Vice President - None Client Service Organization Kathy Stalwick Vice President None Paul J. Stanislaw Group Vice President - None Suite 1100 Southern California/Hawaii Two Park Plaza Irvine, CA 92614 Lisa A. Steffes Vice President - None Marketing Officer Development David K. Stewart Vice President and Controller None Jeffrey J. Stremcha Vice President - Technologies I None John T. Sweeney Vice President, Lead Financial None Officer - Banking, Brokerage and Managed Products Joseph E. Sweeney Senior Vice President, None General Manager - U.S. Brokerage and Membership Banking Craig P. Taucher Group Vice President - None Suite 150 Georgia/North Florida 4190 Belfort Rd. Jackonville, FL 32216 Neil G. Taylor Group Vice President - None 601 108th Ave North East Pacific Northwest Suite 1800 Bellevue, WA 98004-5902 William F. "Ted" Truscott Senior Vice President and Board member and Chief Investment Officer Vice President George F. Tsafaridis Vice President - Quality & None Service Support Janet M. Vandenbark Group Vice President - None 3951 Westerre Parkway, Suite 250 Virginia Richmond, VA 23233 Ramanathan Venkataramanan Vice President - Technologies III None Peter S. Velardi Senior Vice President - None Field Management Andrew O. Washburn Vice President - None Mutual Fund Marketing Donald F. Weaver Group Vice President - None 3500 Market Street, Eastern Pennsylvania/ Suite 200 Delaware Camp Hill, PA 17011 Beth E. Weimer Vice President and None Chief Compliance Officer - Asset Management and Insurance Phil Wentzel Vice President - Finance None Robert K. Whalen Group Vice President - None 939 West North Ave Chicago Metro Chicago, IL 60606 Jeffrey A. Williams Senior Vice President - None Cross-Sell/Strategic Management William J. Williams Senior Vice President - None Field Management Dianne L. Wilson Vice President - Insurance None Operations Gayle W. Winfree Group Vice President - None 1 Galleria Blvd. Suite 1900 Delta States Metairie, LA 70001 Abraham L. Wons Vice President - Investments Risk None Management Michael R. Woodward Senior Vice President - None 32 Ellicott St Field Management Suite 100 Batavia, NY 14020 John R. Woerner Senior Vice President - Strategic None Planning and Business Development * Business address is: 70100 Ameriprise Financial Center, Minneapolis, MN 55474 unless otherwise noted.
Item 27 (c). Not Applicable. Item 28. Location of Accounts and Records Ameriprise Financial, Inc. 70100 Ameriprise Financial Center Minneapolis, MN 55474 Item 29. Management Services Not Applicable. Item 30. Undertakings Not Applicable. SIGNATURES Pursuant to the requirements of the Securities Act and the Investment Company Act, the Registrant, AXP Global Series, Inc., has duly caused this Amendment to its Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of Minneapolis, and State of Minnesota on the 3rd day of April, 2006. AXP GLOBAL SERIES, INC. By /s/ Paula R. Meyer ---------------------- Paula R. Meyer, President By /s/ Jeffrey P. Fox ---------------------- Jeffrey P. Fox, Treasurer Pursuant to the requirements of the Securities Act, this Amendment to the Registration Statement has been signed below by the following persons in the capacities indicated on the 3rd day of April, 2006. Signature Capacity /s/ Arne H. Carlson* Chair of the Board --------------------- Arne H. Carlson /s/ Kathleen A. Blatz* Director ----------------------- Kathleen A. Blatz /s/ Patricia M. Flynn* Director ------------------------ Patricia M. Flynn /s/ Anne P. Jones* Director ------------------- Anne P. Jones /s/ Jeffrey Laikind* Director --------------------- Jeffrey Laikind /s/ Stephen R. Lewis, Jr.* Director ----------------------------- Stephen R. Lewis, Jr. /s/ Catherine James Paglia* Director ----------------------------- Catherine James Paglia /s/ Alan K. Simpson* Director --------------------- Alan K. Simpson /s/ Alison Taunton-Rigby* Director --------------------------- Alison Taunton-Rigby /s/ William F. Truscott* Director ------------------------- William F. Truscott * Signed pursuant to Directors'/Trustees' Power of Attorney, dated Jan. 11, 2006, filed electronically on or about Feb. 3, 2006 as Exhibit (q)(1) to Registrant's Post-Effective Amendment No. 46 to Registration Statement No. 33-25824, by: /s/ Leslie L. Ogg ------------------ Leslie L. Ogg CONTENTS OF THIS POST-EFFECTIVE AMENDMENT NO. 48 TO REGISTRATION STATEMENT NO. 33-25824 This Post-Effective Amendment contains the following papers and documents: The facing sheet. Part A. The prospectus for: RiverSource Absolute Return - Currency Fund. Class I prospectus supplement for RiverSource Absolute Return - Currency Fund. Part B. Statement of Additional Information Part C. Other information. The signatures.