485BPOS 1 c49531e485bpos.txt 485BPOS 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. 59 (File No. 33-25824) and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Amendment No. 61 (File No. 811-5696) RIVERSOURCE GLOBAL SERIES, INC. 50606 Ameriprise Financial Center Minneapolis, Minnesota 55474 Scott R. Plummer 5228 Ameriprise Financial Center Minneapolis, MN 55474 (612) 671-1947 Approximate Date of Proposed Public Offering: It is proposed that this filing will become effective (check appropriate box.) [X] immediately upon filing pursuant to paragraph (b) [ ] on (date) pursuant to paragraph (b) [ ] 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. Part A. The prospectus for Threadneedle Emerging Markets Fund is incorporated by reference to that filed in Registrant's Post-Effective Amendment No. 58 to Registration Statement No. 33-25824 on or about Dec. 24, 2008. (THREADNEEDLE(R) LOGO) PROSPECTUS SUPPLEMENT -- FEB. 20, 2009 THREADNEEDLE EMERGING MARKETS FUND -- PROSPECTUS (DEC. 30, 2008) S-6354-99 V THE FRONT COVER OF THE PROSPECTUS IS REVISED TO INCLUDE THE FOLLOWING ADDITIONAL CLASS OF SHARES: R2 The information below supplements the relevant sections of the prospectus. The caption headings used in this Supplement correspond to the caption headings used in the prospectus. You may purchase these shares only if you are an eligible investor, as described under the caption "Buying and Selling Shares" in the Fund's prospectus. PAST PERFORMANCE Class R2 is new and therefore performance information is not shown. Please note that you will find performance returns for other classes of shares of the Fund, together with returns of one or more broad measures of market performance, in the performance table of the prospectus. The performance table is intended to indicate some of the risks of investing in the Fund by showing changes in the Fund's performance over time. Past performance for Class R2 for the period prior to the beginning of operations for that class may be calculated based on the performance of Class B. The blended class performance will be adjusted to reflect differences in sales charges, but not differences in annual Fund operating expenses (for example, 12b-1 fees). The use of blended performance generally results in a presentation of higher performance for classes with higher operating expenses than those of the class with which they are blended, and a presentation of lower performance for classes with lower operating expenses than those of the class with which they are blended. FEES AND EXPENSES Fund investors pay various expenses. The table below describes the fees and expenses that you may pay if you buy and hold shares of the Fund. The table is supplemented to include the following: SHAREHOLDER FEES (FEES PAID DIRECTLY FROM YOUR INVESTMENT)
CLASS R2 -------- Maximum sales charge (load) imposed on purchases (as a percentage of offering price) None Maximum deferred sales charge (load) imposed on sales (as a percentage of offering price at time of purchase) None
ANNUAL FUND OPERATING EXPENSES (EXPENSES THAT ARE DEDUCTED FROM FUND ASSETS)
AS A PERCENTAGE OF AVERAGE DAILY NET ASSETS: CLASS R2 -------------------------------------------- -------- Management fees(a) 1.16% Distribution and/or service (12b-1) fees 0.50% Other expenses(b) 0.57% Total annual fund operating expenses 2.23%
(a) Includes the impact of a performance incentive adjustment that increased the management fee by 0.08% for the most recent fiscal year. The index against which the Fund's performance is measured for purposes of determining the performance incentive adjustment is the Lipper Emerging Markets Funds Index. See "Fund Management and Compensation" for more information. (b) Other expenses are based on estimated amounts for the current fiscal year and include an administrative services fee, a transfer agency fee, a custody fee, other nonadvisory expenses and a plan administration services fee. Other expenses may also include fees and expenses of affiliated and unaffiliated funds (acquired funds) which the Fund indirectly bears when it invests in the acquired funds. The impact of these acquired funds fees and expenses is estimated to be less than 0.01% for the current fiscal period. Because acquired funds will have varied expense and fee levels and the Fund may own different proportions of acquired funds at different times, the amount of fees and expenses incurred by the Fund with respect to such investments will vary. EXAMPLES This example is intended to help you compare the cost of investing in the Fund with the cost of investing in other mutual funds. The table is supplemented as follows: The amounts shown are the same whether or not you redeem your shares at the end of the periods shown.
1 YEAR 3 YEARS 5 YEARS 10 YEARS ------ ------- ------- -------- Class R2 $226 $697 $1,196 $2,569
Part B. The Statement of Additional Information for Threadneedle Emerging Markets Fund is incorporated by reference to that filed in Registrant's 497 filing filed on or about Feb. 2, 2009. The information in Part A of this Registration Statement that relates to the Statement of Additional Information of the Registrant is incorporated herein by reference. The financial statements for Threadneedle Emerging Markets Fund are incorporated by reference to that filed in Registrant's Post-Effective Amendment No. 58 to Registration Statement No. 33-25824 on or about Dec. 24, 2008. 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. (a)(5) Articles of Amendment, dated April 21, 2006, filed electronically on or about June 2, 2006 as Exhibit (a)(5) to Registrant's Post-Effective Amendment No. 49 to Registration Statement No. 33-25824 are incorporated by reference. (a)(6) Certificate of Designation, dated April 8, 2008 filed electronically on or about April 17, 2008 as Exhibit (a)(6) to Registrant's Post-Effective Amendment No. 54 to Registration Statement No. 33-25824 is incorporated by reference. (a)(7) Certificate of Designation, dated April 10, 2008 filed electronically on or about April 17, 2008 as Exhibit (a)(7) to Registrant's Post-Effective Amendment No. 54 to Registration Statement No. 33-25824 is incorporated by reference. (a)(8) Certificate of Designation reflecting the addition of Class R2 shares to Threadneedle Emerging Markets Fund to be filed by Amendment. (b) By-laws, as amended April 13, 2006, filed electronically on or about April 17, 2008 as Exhibit (b) to Registrant's Post-Effective Amendment No. 54 to Registration Statement No. 33-25824 are incorporated by reference. (c) Instruments Defining Rights of Security Holders: Not Applicable. (d)(1) Investment Management Services Agreement, dated May 1, 2006, amended and restated June 12, 2008, between Registrant and RiverSource Investments, LLC filed electronically on or about Oct. 29, 2008 as Exhibit (d)(1) to Registrant's Post-Effective Amendment No. 57 to Registration Statement No. 33-25824 is incorporated by reference. (d)(2) Subadvisory Agreement, dated June 11, 2008 between RiverSource Investments, LLC and Threadneedle International Limited, filed electronically on or about Oct. 29, 2008 as Exhibit (d)(2) to Registrant's Post-Effective Amendment No. 57 to Registration Statement No. 33-25824 is incorporated by reference. (e)(1) Distribution Agreement, effective Aug. 1, 2006, amended and restated as of Sept. 11, 2007, between Registrant and RiverSource Distributors, Inc. filed electronically on or about Oct. 30, 2007 as Exhibit (e)(2) to Diversified Income Series, Inc. Post-Effective Amendment No. 63 to Registration Statement No. 2-51586 is incorporated by reference. (e)(2) Distribution Agreement, effective Nov. 7, 2008, between Registrant and Seligman Advisors, Inc. filed electronically on or about Nov. 25, 2008 as Exhibit (e)(2) to RiverSource Investment Series, Inc. Post-Effective Amendment No. 121 to Registration Statement No. 2-11328 is incorporated by reference. (e)(3) Form of Service Agreement for RiverSource Distributors, Inc. and RiverSource Service Corporation filed electronically on or about Aug. 27, 2007 as Exhibit (e)(3) to RiverSource Sector Series, Inc. Post-Effective Amendment No. 39 to Registration Statement No. 33-20872 is incorporated by reference. (e)(4) Form of RiverSource Funds Dealer Agreement filed electronically on or about Aug. 27, 2007 as Exhibit (e)(4) to RiverSource Sector Series, Inc. Post-Effective Amendment No. 39 to Registration Statement No. 33-20872 is incorporated by reference. (f) Deferred Compensation Plan, amended and restated Jan. 1, 2009, filed electronically on or about Jan. 27, 2009 as Exhibit (f) to RiverSource Equity Series, Inc. Post-Effective Amendment No. 105 to Registration Statement No. 2-13188 is incorporated by reference. (g) Form of Master Global Custody Agreement with JP Morgan Chase Bank, N.A. filed electronically on or about Dec. 23, 2008 as Exhibit (g) to RiverSource International Mangers, Inc. Post-Effective Amendment No. 18 to Registration Statement No. 333-64010 is incorporated by reference. (h)(1) Administrative Services Agreement, dated Oct. 1, 2005, amended and restated June 12, 2008, between Registrant and Ameriprise Financial, Inc. filed electronically on or about July 28, 2008 as Exhibit (h)(1) to RiverSource High Yield Income Series, Inc. Post-Effective Amendment No. 45 to Registration Statement No. 2-86637 is incorporated by reference. (h)(2) Transfer Agency Agreement, dated Oct. 1, 2005, amended and restated June 12, 2008, between Registrant and RiverSource Service Corporation filed electronically on or about July 28, 2008 as Exhibit (h)(2) to RiverSource High Yield Income Series, Inc. Post-Effective Amendment No. 45 to Registration Statement No. 2-86637 is incorporated by reference. (h)(3) Plan Administration Services Agreement, dated Dec. 1, 2006, amended and restated June 12, 2008, between Registrant and RiverSource Service Corporation filed electronically on or about July 28, 2008 as Exhibit (h)(3) to RiverSource High Yield Income Series, Inc. Post-Effective Amendment No. 45 to Registration Statement No. 2-86637 is incorporated by reference. (h)(4) 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)(5) 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)(6) 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)(7) 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)(8) Master Fee Cap/Fee Waiver Agreement, dated Oct. 1, 2005, amended and restated June 12, 2008, between RiverSource Investments, LLC, Ameriprise Financial, Inc., RiverSource Service Corporation, RiverSource Distributors, Inc. and the Registrant filed electronically on or about July 28, 2008 as Exhibit (h)(5) to RiverSource High Yield Income Series, Inc. Post-Effective Amendment No. 45 to Registration Statement No. 2-86637 is incorporated by reference. (h)(9) License Agreement, effective May 1, 2006, amended and restated as of Sept. 11, 2007, between Ameriprise Financial, Inc. and RiverSource Funds filed electronically on or about Oct. 30, 2007 as Exhibit (h)(7) to RiverSource Diversified Income Series, Inc. Post-Effective Amendment No. 63 to Registration Statement No. 2-51586 is incorporated by reference. (h)(10) Form of License Agreement, dated July 10, 2004, between Threadneedle Asset Management Holdings Limited and the Registrant filed electronically on or about Dec. 24, 2008 as Exhibit (h)(10) to Registrant's Post-Effective Amendment No. 58 to Registration Statement No. 33-25824 is incorporated by reference. (h)(11) Form of License Agreement Amendment, dated May 15, 2008, between Threadneedle Asset Management Holdings Limited and RiverSource Global Series, Inc., RiverSource International Series, Inc. and RiverSource Variable Series Trust filed electronically on or about June 30, 2008 as Exhibit (h)(10) to Registrant's Post-Effective Amendment No. 56 to Registration Statement No. 33-25824 is incorporated by reference. (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 (Ernst & Young LLP) is filed electronically herewith. (k) Omitted Financial Statements: Not Applicable. (l) Initial Capital Agreement: Not Applicable. (m)(1) Plan of Distribution and Agreement of Distribution, dated Aug. 1, 2006, amended and restated June 12, 2008, between Registrant and RiverSource Distributors, Inc. filed electronically on or about July 28, 2008 as Exhibit (m) to RiverSource High Yield Income Series, Inc. Post-Effective Amendment No. 45 to Registration Statement No. 2-86637 is incorporated by reference. (m)(2) Plan of Distribution and Agreement of Distribution, effective Nov. 7, 2008, between Registrant and Seligman Advisors, Inc. filed electronically on or about Nov. 25, 2008 as Exhibit (m)(2) to RiverSource Investment Series, Inc. Post-Effective Amendment No. 121 to Registration Statement No. 2-11328 is incorporated by reference. (n) Rule 18f - 3(d) Plan, amended and restated as of June 12, 2008, filed electronically on or about June 30, 2008 as Exhibit (n) to RiverSource Investment Series, Inc. Post-Effective Amendment No. 120 to Registration Statement No. 2-11328 is incorporated by reference. (o) Reserved. (p)(1) Code of Ethics adopted under Rule 17j-1 for Registrant filed electronically on or about Aug. 27, 2007 as Exhibit (p)(1) to RiverSource Sector Series, Inc. Post-Effective Amendment No. 39 to Registration Statement No. 33-20872 is incorporated by reference. (p)(2) Code of Ethics adopted under Rule 17j-1 for Registrant's principal underwriter, dated April 2008, filed electronically on or about April 25, 2008 as Exhibit (p)(2) to RiverSource Variable Series Trust Post-Effective Amendment No. 3 to Registration Statement No. 333-146374 is incorporated by reference. (p)(3) Code of Ethics adopted under Rule 17j-1 for Registrant's investment adviser, dated Nov. 15, 2008, filed electronically on or about Nov. 25, 2008 as Exhibit (p)(3) to RiverSource Investment Series, Inc. Post-Effective Amendment No. 121 to Registration Statement No. 2-11328 is incorporated by reference. (p)(4) Code of Ethics, dated March 2006, adopted under Rule 17j-1, for Threadneedle Emerging Markets Fund's, Threadneedle Global Equity Fund's, Threadneedle Global Equity Income Fund's and Threadneedle Global Extended Alpha Fund's Subadviser, Threadneedle International Ltd., filed electronically on or about June 30, 2008, as Exhibit (p)(3) to Registrant's Post-Effective Amendment No. 56 to Registration Statement No. 33-25824 is incorporated by reference. (q) Directors/Trustees Power of Attorney to sign Amendments to this Registration Statement, dated Jan. 8, 2009, is filed electronically herewith as Exhibit (q) to Registrant's Post-Effective Amendment No. 59 to Registration Statement No. 33-25824. Item 24. Persons Controlled by or Under Common Control with Registrant: RiverSource Investments, LLC, as sponsor of the RiverSource Funds, may make initial capital investments in RiverSource funds (seed accounts). RiverSource Investments also serves as investment manager of certain RiverSource funds-of-funds that invest primarily in Class I shares of affiliated RiverSource funds (the "underlying funds"). RiverSource Investments does not make initial capital investments or invest in underlying funds for the purpose of exercising control. However, since these ownership interests may be significant, in excess of 25%, such that RiverSource Investments may be deemed to control certain RiverSource funds, procedures have been put in place to assure that public shareholders determine the outcome of all actions taken at shareholder meetings. Specifically, RiverSource Investments (which votes proxies for the seed accounts) and the Boards of Directors or Trustees of the RiverSource funds-of-funds (which votes proxies for the RiverSource funds-of-funds) vote on each proposal in the same proportion that other shareholders vote on the proposal. 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 the Investment Adviser (RiverSource Investments, LLC) The following are directors and principal officers of RiverSource Investments, LLC who are directors and/or officers of one or more other companies:
Name and Title Other Companies Address* Title within other companies --------------------- ---------------------------------- --------------------------- -------------------------------------- Neysa M. Alecu, Advisory Capital Strategies Group 100 Park Avenue, New York, Anti-Money Laundering Officer Anti-Money Laundering Inc. NY 10017 Officer Advisory Select LLC Dissolved Anti-Money Laundering Officer (resigned 5/1/07) American Enterprise Investment 70400 AXP Financial Anti-Money Laundering Officer Services Inc. Center, Minneapolis, MN 55474 Ameriprise Auto & Home Insurance 3500 Packerland Drive Anti-Money Laundering Officer Agency, Inc. De Pere, WI 54115 Ameriprise Certificate Company 70100 Ameriprise Financial Anti-Money Laundering Officer Center, Minneapolis, MN (resigned 8/24/07) 55474 Ameriprise Financial, Inc. 200 Ameriprise Financial Anti-Money Laundering Officer Center, Minneapolis, MN 55474 Ameriprise Financial Services, 5221 Ameriprise Financial Anti-Money Laundering Officer Inc. Center, Minneapolis, MN 55474 Ameriprise Trust Company 200 Ameriprise Financial Anti-Money Laundering Officer Center, Minneapolis, MN 55474 Boston Equity General Partner LLC Anti-Money Laundering Officer IDS Capital Holdings Inc. Anti-Money Laundering Officer IDS Management Corporation Anti-Money Laundering Officer Kenwood Capital Management LLC 333 S. 7th Street, Suite Anti-Money Laundering Officer 2330, Minneapolis, MN 55402 RiverSource Distributors, Inc. 50611 Ameriprise Financial Anti-Money Laundering Officer Center, Minneapolis, MN 55474 RiverSource Life Insurance Company 829 Ameriprise Financial Anti-Money Laundering Officer Center, Minneapolis, MN 55474 RiverSource Service Corporation 734 Ameriprise Financial Anti-Money Laundering Officer Center, Minneapolis, MN 55474 Patrick Thomas Ameriprise Trust Company 200 Ameriprise Financial Director, Senior Vice President Bannigan, Center, Minneapolis, MN Director and Senior 55474 Vice President - Asset Management, RiverSource Distributors, Inc. 50611 Ameriprise Financial Vice President Products and Center, Minneapolis, MN Marketing 55474 RiverSource Service Corporation 734 Ameriprise Financial Director Center, Minneapolis, MN 55474 Seligman Advisors, Inc. 100 Park Avenue, New York, Director and Vice President Seligman Services, Inc. NY 10017 Walter S. Berman, Advisory Capital Strategies Group 100 Park Avenue, New York, Treasurer Treasurer Inc. NY 10017
Name and Title Other Companies Address* Title within other companies --------------------- ---------------------------------- --------------------------- -------------------------------------- American Enterprise Investment 70400 AXP Financial Treasurer Services Inc. Center, Minneapolis, MN 55474 Ameriprise Auto & Home Insurance 3500 Packerland Drive Treasurer Agency Inc. De Pere, WI 54115 Ameriprise Bank, FSB 9393 Ameriprise Financial Treasurer Center, Minneapolis, MN 55474 Ameriprise Captive Insurance Director and Treasurer Company Ameriprise Certificate Company 70100 Ameriprise Financial Treasurer and Investment Committee Center, Minneapolis, MN Member (resigned 8/24/07) 55474 Ameriprise Financial, Inc. 200 Ameriprise Financial Executive Vice President, Chief Center, Minneapolis, MN Financial Officer and Treasurer 55474 Ameriprise Financial Services, 5221 Ameriprise Financial Director and Treasurer Inc. Center, Minneapolis, MN 55474 Ameriprise Insurance Company 3500 Packerland Drive Treasurer De Pere, WI 54115 Boston Equity General Partner LLC Treasurer IDS Capital Holdings Inc. Treasurer IDS Management Corporation Treasurer IDS Property Casualty Insurance 3500 Packerland Drive Treasurer Company De Pere, WI 54115 Investors Syndicate Development Vice President and Treasurer Corporation RiverSource CDO Seed Investments, Treasurer LLC RiverSource Distributors, Inc. 50611 Ameriprise Financial Treasurer Center, Minneapolis, MN 55474 RiverSource Life Insurance Company 20 Madison Ave. Extension, Vice President and Treasurer of New York Albany, NY 12005 RiverSource Life Insurance Company 829 Ameriprise Financial Vice President and Treasurer Center, Minneapolis, MN 55474 RiverSource Service Corporation 734 Ameriprise Financial Treasurer Center, Minneapolis, MN 55474 RiverSource Tax Advantaged Treasurer Investments, Inc. Securities America Advisors Inc. 12325 Port Grace Blvd., Director Lavista, NE68128-8204 Securities America Financial 7100 W. Center Rd., Ste. Director Corporation 500, Omaha, NE 68106-2716 Securities America, Inc. 12325 Port Grace Blvd., Director Lavista, NE68128 Seligman Advisors, Inc. 100 Park Avenue, New York, Treasurer Seligman Services, Inc. NY 10017
Name and Title Other Companies Address* Title within other companies --------------------- ---------------------------------- --------------------------- -------------------------------------- Threadneedle Asset Management 60 St. Mary Axe, London Director Holdings Ltd. EC3A 8JQ Peter Arthur Gallus, Advisory Capital Strategies Group 100 Park Avenue, New York, Director, Vice President and Chief Senior Vice Inc. NY 10017 Operating Officer President, Chief Operating Officer and Advisory Select LLC Dissolved President and Chief Operating Officer Assistant Treasurer (resigned 5/1/07) Ameriprise Financial, Inc. 200 Ameriprise Financial Vice President - Investment Center, Minneapolis, MN Administration 55474 Ameriprise Financial Services, Inc. 5221 Ameriprise Financial Vice President - CAO-AEFA Investment Center, Minneapolis, MN Management 55474 Boston Equity General Partner LLC President, Chief Operating Officer and Chief Compliance Officer IDS Capital Holdings Inc. Vice President and Controller Kenwood Capital Management LLC 333 S. 7th Street, Suite Board Member 2330, Minneapolis, MN 55402 Seligman Advisors, Inc. 100 Park Avenue, New York, Vice President and Chief Operating Seligman Services, Inc. NY 10017 Officer Christopher Paul Ameriprise Trust Company 200 Ameriprise Financial Director, Head of Institutional Sales, Keating, Director and Center, Minneapolis, MN Client Service and Consultant Vice President and 55474 Relationships Head of Institutional Sales, Client Service Kenwood Capital Management LLC 333 S. 7th Street, Suite Board Member and Consultant 2330, Minneapolis, MN 55402 Relationships Seligman Advisors, Inc. 100 Park Avenue, New York, Vice President Seligman Services, Inc. NY 10017 Michelle Marie Ameriprise Bank, FSB 9393 Ameriprise Financial Director Keeley, Director and Center, Minneapolis, MN Executive Vice 55474 President - Equity and Fixed Income Ameriprise Financial, Inc. 200 Ameriprise Financial Executive Vice President - Equity and Center, Minneapolis, MN Fixed Income 55474 Ameriprise Financial Services, Inc. 5221 Ameriprise Financial Executive Vice President - Equity and Center, Minneapolis, MN Fixed Income 55474 IDS Property Casualty Insurance 3500 Packerland Drive Vice President - Investments Company De Pere, WI 54115 Kenwood Capital Management LLC 333 S. 7th Street, Suite Board Member 2330, Minneapolis, MN 55402 RiverSource CDO Seed Investments, Chairperson and President LLC RiverSource Life Insurance Company 829 Ameriprise Financial Vice President - Investments Center, Minneapolis, MN 55474
Name and Title Other Companies Address* Title within other companies --------------------- ---------------------------------- --------------------------- -------------------------------------- RiverSource Life Insurance Company 20 Madison Ave. Extension, Vice President - Investments of New York Albany, NY 12005 Ameriprise Certificate Company 70100 Ameriprise Financial Vice President - Investments, Center, Minneapolis, MN Investment Committee Member (resigned 55474 8/24/07) AMEX Assurance Company Vice President - Investments (resigned 9/30/2007) Jennifer Davis Kenwood Capital Management LLC 333 S. 7th Street, Suite Chief Compliance Officer Lammers, 2330, Minneapolis, MN 55402 Chief Compliance Officer RiverSource Service Corporation 734 Ameriprise Financial Chief Compliance Officer Center, Minneapolis, MN 55474 Brian Joseph McGrane, Advisory Capital Strategies Group 100 Park Avenue, New York, Vice President and Chief Financial Director, Vice Inc. NY 10017 Officer President and Chief Financial Officer Advisory Select LLC Dissolved Vice President and Chief Financial Officer (resigned 5/1/07) Ameriprise Financial, Inc. 200 Ameriprise Financial Senior Vice President and Lead Center, Minneapolis, MN Financial Officer 55474 Ameriprise Financial Services, Inc. 5221 Ameriprise Financial Vice President and Lead Financial Center, Minneapolis, MN Officer - Finance 55474 Ameriprise Trust Company 200 Ameriprise Financial Director Center, Minneapolis, MN 55474 Boston Equity General Partner LLC Vice President and Chief Financial Officer RiverSource CDO Seed Investments, Board Member LLC RiverSource Life Insurance Company 829 Ameriprise Financial Director, Executive Vice President and Center, Minneapolis, MN Chief Financial Officer 55474 Ameriprise Certificate Company 70100 Ameriprise Financial Vice President and Chief Financial Center, Minneapolis, MN Officer (resigned 8/24/07) 55474 Thomas R. Moore, Advisory Capital Strategies Group 100 Park Avenue, New York, Secretary Secretary Inc. NY 10017 American Enterprise Investment 70400 AXP Financial Secretary Services Inc. Center, Minneapolis, MN 55474
Name and Title Other Companies Address* Title within other companies --------------------- ---------------------------------- --------------------------- -------------------------------------- Ameriprise Bank, FSB 9393 Ameriprise Financial Secretary Center, Minneapolis, MN 55474 Ameriprise Captive Insurance Assistant Secretary Company Ameriprise Financial, Inc. 200 Ameriprise Financial Vice President, Chief Governance Center, Minneapolis, MN Officer and Corporate Secretary 55474 Ameriprise Financial Services, 5221 Ameriprise Financial Secretary Inc. Center, Minneapolis, MN 55474 Ameriprise Insurance Company 3500 Packerland Drive Secretary De Pere, WI 54115 Ameriprise Trust Company 200 Ameriprise Financial Secretary Center, Minneapolis, MN 55474 IDS Capital Holdings Inc. Secretary IDS Futures Corporation 570 Ameriprise Financial Secretary Center, Minneapolis, MN 55474 IDS Management Corporation Secretary IDS Property Casualty Insurance 3500 Packerland Drive Secretary Company De Pere, WI 54115 Investors Syndicate Development Secretary Corporation RiverSource CDO Seed Investments, Secretary LLC RiverSource Distributors, Inc. 50611 Ameriprise Financial Secretary Center, Minneapolis, MN 55474 RiverSource Life Insurance Company 20 Madison Ave. Extension, Secretary of New York Albany, NY 12005 RiverSource Life Insurance Company 829 Ameriprise Financial Secretary Center, Minneapolis, MN 55474 RiverSource Service Corporation 734 Ameriprise Financial Secretary Center, Minneapolis, MN 55474 RiverSource Tax Advantaged Secretary Investments, Inc. Securities America Financial 7100 W. Center Rd., Ste. Secretary (resigned 11/19/07) Corporation 500, Omaha, NE 68106-2716 Seligman Advisors, Inc. 100 Park Avenue, New York, Secretary Seligman Services, Inc. NY 10017 Scott Roane Plummer, Ameriprise Financial, Inc. 200 Ameriprise Financial Vice President - Asset Management Chief Legal Officer Center, Minneapolis, MN Compliance and Assistant 55474 Secretary Ameriprise Financial Services, Inc. 5221 Ameriprise Financial Vice President and Chief Counsel - Center, Minneapolis, MN Asset Management 55474 RiverSource Distributors, Inc. 50611 Ameriprise Financial Chief Counsel Center, Minneapolis, MN 55474
Name and Title Other Companies Address* Title within other companies --------------------- ---------------------------------- --------------------------- -------------------------------------- RiverSource Service Corporation 734 Ameriprise Financial Vice President, Chief Legal Officer Center, Minneapolis, MN and Assistant Secretary 55474 Ameriprise Certificate Company 70100 Ameriprise Financial Vice President, General Counsel and Center, Minneapolis, MN Secretary (resigned 8/24/07) 55474 Seligman Advisors, Inc. 100 Park Avenue, New York, Chief Counsel Seligman Services, Inc. NY 10017 William Frederick Advisory Capital Strategies Group 100 Park Avenue, New York, Director 'Ted' Truscott Inc. NY 10017 Chairman, Chief Investment Officer Ameriprise Certificate Company 70100 Ameriprise Financial Director, President and Chief and President Center, Minneapolis, MN Executive Officer (resigned 8/24/07) 55474 Ameriprise Financial, Inc. 200 Ameriprise Financial President - U.S. Asset Management, Center, Minneapolis, MN Annuities and Chief Investment Officer 55474 Ameriprise Financial Services, Inc. 5221 Ameriprise Financial Senior Vice President and Chief Center, Minneapolis, MN Investment Officer 55474 Ameriprise Trust Company 200 Ameriprise Financial Director Center, Minneapolis, MN 55474 IDS Capital Holdings Inc. Director and President Kenwood Capital Management LLC 333 S. 7th Street, Suite Board Member 2330, Minneapolis, MN 55402 RiverSource Distributors, Inc. 50611 Ameriprise Financial Chairman and Chief Executive Officer Center, Minneapolis, MN 55474 Seligman Advisors, Inc. 100 Park Avenue, New York, Chairman and Chief Executive Officer Seligman Services, Inc. NY 10017 Threadneedle Asset Management 60 St. Mary Axe, London Director Holdings Ltd. EC3A 8JQ
* Unless otherwise noted, address is 50605 Ameriprise Financial Center, Minneapolis, MN 55474 Item 27. Principal Underwriter (a) RiverSource Distributors, Inc. acts as principal underwriter for the following investment companies: RiverSource Bond Series, Inc.; RiverSource California Tax-Exempt Trust; RiverSource Dimensions Series, Inc.; RiverSource Diversified Income Series, Inc.; RiverSource Equity Series, Inc.; RiverSource Global Series, Inc.; RiverSource Government Income Series, Inc.; RiverSource High Yield Income Series, Inc.; RiverSource Income Series, Inc.; RiverSource International Managers Series, Inc.; RiverSource International Series, Inc.; RiverSource Investment Series, Inc.; RiverSource Large Cap Series, Inc.; RiverSource Managers Series, Inc.; RiverSource Market Advantage Series, Inc.; RiverSource Money Market Series, Inc.; RiverSource Sector Series, Inc.; RiverSource Selected Series, Inc.; RiverSource Series Trust; RiverSource Short Term Investments Series, Inc.; RiverSource Special Tax-Exempt Series Trust; RiverSource Strategic Allocation Series; Inc., RiverSource Strategy Series, Inc.; RiverSource Tax-Exempt Income Series, Inc.; RiverSource Tax-Exempt Money Market Series, Inc.; RiverSource Tax-Exempt Series, Inc.; RiverSource Variable Series Trust. Seligman Advisors, Inc. acts as principal underwriter for the following investment companies: THE SELIGMAN FAMILY OF FUNDS: Seligman Asset Allocation Series, Inc., Seligman Capital Fund, Inc., Seligman Cash Management Fund, Inc., Seligman Common Stock Fund, Inc., Seligman Communications and Information Fund, Inc., Seligman Core Fixed Income Fund, Inc., Seligman Frontier Fund, Inc., Seligman Growth Fund, Inc., Seligman Global Fund Series, Inc., Seligman High Income Fund Series, Seligman Income and Growth Fund, Inc., Seligman LaSalle Real Estate Fund Series, Inc., Seligman Municipal Fund Series, Inc., Seligman Municipal Series Trust, Seligman New Jersey Municipal Fund, Inc., Seligman Pennsylvania Municipal Fund Series, Seligman Portfolios, Inc., Seligman TargetHorizon ETF Portfolios, Inc. and Seligman Value Fund Series, Inc. THE RIVERSOURCE FAMILY OF FUNDS: RiverSource Bond Series, Inc.; RiverSource California Tax-Exempt Trust; RiverSource Dimensions Series, Inc.; RiverSource Diversified Income Series, Inc.; RiverSource Equity Series, Inc.; RiverSource Global Series, Inc.; RiverSource Government Income Series, Inc.; RiverSource High Yield Income Series, Inc.; RiverSource Income Series, Inc.; RiverSource International Managers Series, Inc.; RiverSource International Series, Inc.; RiverSource Investment Series, Inc.; RiverSource Large Cap Series, Inc.; RiverSource Managers Series, Inc.; RiverSource Market Advantage Series, Inc.; RiverSource Money Market Series, Inc.; RiverSource Sector Series, Inc.; RiverSource Selected Series, Inc.; RiverSource Series Trust; RiverSource Special Tax-Exempt Series Trust; RiverSource Strategic Allocation Series; Inc., RiverSource Strategy Series, Inc.; RiverSource Tax-Exempt Income Series, Inc.; RiverSource Tax-Exempt Money Market Series, Inc. and RiverSource Tax-Exempt Series, Inc.. (b) As to each director, principal officer or partner of RiverSource Distributors, Inc.
Name and Principal Business Address Positions and Offices with Underwriter Positions and Offices with Fund --------------------------------- -------------------------------------- ------------------------------- Gumer C. Alvero* Director and Vice President None Patrick Thomas Bannigan* Director and Vice President President Timothy V. Bechtold* Director and Vice President None Paul J. Dolan* Chief Operating Officer and Chief None Administrative Officer Jeffrey P. Fox* Chief Financial Officer Treasurer Jeffrey Lee McGregor, Sr.* President None Scott Roane Plummer* Chief Counsel Vice President, General Counsel and Secretary Julie A. Ruether* Chief Compliance Officer None William Frederick 'Ted' Truscott* Chairman and Chief Executive Officer Board Member and Vice President
As to each director, principal officer or partner of Seligman Advisors, Inc.
Name and Principal Business Address Positions and Offices with Underwriter Positions and Offices with Fund --------------------------------- -------------------------------------- ------------------------------- William Frederick "Ted" Truscott* Chairman and Chief Executive Officer Director and Vice President Patrick Thomas Bannigan* Director and Vice President President Jeffrey Lee McGregor, Sr.* Director and President None Paul J. Dolan* Chief Operating Officer and Chief None Administrative Officer Peter A. Gallus* Vice President and Chief Operating None Officer Jeffrey P. Fox* Chief Financial Officer Treasurer Christopher P. Keating* Vice President None Scott Roane Plummer* Chief Counsel Vice President, General Counsel and Secretary Brian Mitchell** Chief Compliance Officer None Thomas R. Moore* Secretary None Walter Berman* Treasurer None Eleanor T. M. Hoagland** Anti-Money Laundering Officer None
* Business address is: 50611 Ameriprise Financial Center, Minneapolis, MN 55474 ** Business address is: 100 Park Avenue, New York, NY 10017. (c) Not Applicable Item 28. Location of Accounts and Records Ameriprise Financial, Inc. 707 Second Avenue, South Minneapolis, MN 55402 Iron Mountain Records Management 920 & 950 Apollo Road Eagan, MN 55121 Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. 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, RIVERSOURCE GLOBAL SERIES, INC., certifies that it meets all of the requirements for effectiveness of this Amendment to its Registration Statement pursuant to Rule 485(b) under the Securities Act and 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 20th day of Feb., 2009. RIVERSOURCE GLOBAL SERIES, INC. By /s/ Patrick T. Bannigan ------------------------------------- Patrick T. Bannigan 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 20th day of Feb., 2009.
Signature Capacity --------- -------- /s/ Stephen R. Lewis, Jr.* Chair of the Board ------------------------------------- Stephen R. Lewis, Jr. /s/ Kathleen A. Blatz* Director ------------------------------------ Kathleen A. Blatz /s/ Arne H. Carlson* Director ------------------------------------ Arne H. Carlson /s/ Pamela G. Carlton* Director ------------------------------------ Pamela G. Carlton /s/ Patricia M. Flynn* Director ------------------------------------ Patricia M. Flynn /s/ Anne P. Jones* Director ------------------------------------ Anne P. Jones
Signature Capacity --------- -------- /s/ Jeffrey Laikind* Director ------------------------------------- Jeffrey Laikind /s/ John F. Maher* Director ------------------------------------- John F. Maher /s/ Catherine James Paglia* Director ------------------------------------- Catherine James Paglia /s/ Leroy C. Richie* Director ------------------------------------- Leroy C. Richie /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. 8, 2009, filed electronically herewith as Exhibit (q) to Registrant's Post-Effective Amendment No. 59 to Registration Statement No. 33-25824, by: /s/ Scott R. Plummer ------------------------------------- Scott R. Plummer CONTENTS OF THIS POST-EFFECTIVE AMENDMENT NO. 59 TO REGISTRATION STATEMENT NO. 33-25824 This Post-Effective Amendment comprises the following papers and documents: The facing sheet. Part A and Part B. Class R2 Supplement for Threadneedle Emerging Markets Fund prospectus. Part C. Other information. The signatures. EXHIBIT INDEX (i) Opinion and consent of counsel as to the legality of the securities being registered. (j) Consent of Independent Registered Public Accounting Firm (Ernst & Young LLP). (q) Directors/Trustees Power of Attorney to sign Amendments to this Registration Statement, dated Jan. 8, 2009.