-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Kn27CT2yxAVcbxTpbLZnrPFeRi+nd0pmfUt9OxLNnFh5qK3UQ2zL2b81OcMP6sQS nN66FAJLzyLzEyFRhDkD7A== 0000021832-06-000054.txt : 20060403 0000021832-06-000054.hdr.sgml : 20060403 20060403101718 ACCESSION NUMBER: 0000021832-06-000054 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060131 FILED AS OF DATE: 20060403 DATE AS OF CHANGE: 20060403 EFFECTIVENESS DATE: 20060403 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS TRUST VI CENTRAL INDEX KEY: 0000883163 IRS NUMBER: 046700215 STATE OF INCORPORATION: MA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-06529 FILM NUMBER: 06731514 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6174263750 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: LIBERTY FUNDS TRUST VI DATE OF NAME CHANGE: 19990524 FORMER COMPANY: FORMER CONFORMED NAME: COLONIAL TRUST VI DATE OF NAME CHANGE: 19920826 0000883163 S000009466 Columbia Growth & Income Fund C000025900 Class A C000025901 Class B C000025902 Class C C000025903 Class Z NSAR-A 1 answer.fil PAGE 1 000 A000000 01/31/2006 000 C000000 0000883163 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 COLUMBIA FUNDS TRUST VI 001 B000000 811-6529 001 C000000 6174263750 002 A000000 ONE FINANCIAL CENTER 002 B000000 BOSTON 002 C000000 MA 002 D010000 02111 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 1 007 C010100 1 007 C020100 COLUMBIA GROWTH & INCOME FUND 007 C030100 Y 008 A000101 COLUMBIA MANAGEMENT ADVISORS, LLC. 008 B000101 A 008 C000101 801-5930 008 D010101 BOSTON 008 D020101 MA 008 D030101 02110 011 A00AA01 COLUMBIA MANAGEMENT DISTRIBUTORS, INC. 011 B00AA01 8-30683 011 C01AA01 BOSTON 011 C02AA01 MA 011 C03AA01 02111 012 A00AA01 COLUMBIA MANAGEMENT SERVICES, INC. 012 B00AA01 84-1329 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02266 012 C04AA01 8081 013 A00AA01 PRICEWATERHOUSECOOPERS, LLP 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 COLUMBIA FINANCIAL CENTER INCORPORATED 014 B00AA01 8-40537 014 A00AA02 FLEET SPECIALISTS, INC. 014 B00AA02 8-52439 014 A00AA03 FLEET SECURITIES, INC. 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KALEN TITLE VICE PRESIDENT EX-99 2 exh.txt Columbia Growth & Income Fund (Fund) 77C Matters submitted to a vote of security holders On September 16, 2005, a Special Meeting of the Shareholders of the Fund was held to approve the following items, as described in the combined Proxy Statement/Prospectus for the Meeting. The votes cast at the Meeting were as follows: To elect Trustees: For Withheld - -------------------------- ----------------------------------- ---------------- Douglas A. Hacker 80,263,195.364 1,219,478.845 - -------------------------- ----------------------------------- ---------------- - -------------------------- ----------------------------------- ---------------- Janet Langford Kelly 80,297,706.831 1,184,967.378 - -------------------------- ----------------------------------- ---------------- - -------------------------- ----------------------------------- ---------------- Richard W. Lowry 80,283,606.001 1,199,068.208 - -------------------------- ----------------------------------- ---------------- - -------------------------- ----------------------------------- ---------------- Charles R. Nelson 80,326,952.316 1,155,721.893 - -------------------------- ----------------------------------- --------------- - -------------------------- ----------------------------------- -------------- John J. Neuhauser 80,300,677.743 1,181,996.466 - -------------------------- ----------------------------------- ---------------- - -------------------------- ----------------------------------- ---------------- Patrick J. Simpson 80,303,297.429 1,179,376.780 - -------------------------- ----------------------------------- ---------------- - -------------------------- ----------------------------------- --------------- Thomas E. Sitzel 80,277,501.203 1,205,173.006 - -------------------------- ----------------------------------- --------------- - -------------------------- ----------------------------------- ---------------- Thomas C. Theobald 80,299,350.301 1,183,323.908 - ------------------------- ----------------------------------- ----------------- - ------------------------- ----------------------------------- ----------------- Anne-Lee Verville 80,298,718.072 1,183,956.137 - ------------------------ ----------------------------------- ----------------- - ------------------------ ----------------------------------- ----------------- Richard L. Woolworth 80,296,981.774 1,185,692.435 - ------------------------ -------------------------------- ----------------- - ------------------------ -------------------------------- ----------------- William E. Mayer 71,566,272.080 9,916,402.129 - ------------------------- -------------------------------- ----------------- Shares of beneficial interest being a plurality of the shares represented at the Meeting. To approve of an Agreement and Plan of Reorganization For Against Abstain - ------------------------ -------------------------- -------------------------- 50,372,981.823 1,346,100.850 1,502,795.275 - ------------------------ -------------------------- -------------------------- Shares of beneficial interest being a plurality of the shares represented at the Meeting. 77E Legal Proceedings On February 9, 2005, Columbia Management Advisors, Inc. (which has since merged into Banc of America Capital Management, LLC (now named Columbia Management Advisors, LLC)) ("Columbia") and Columbia Funds Distributor, Inc. (which has been renamed Columbia Management Distributors, Inc.) (the "Distributor") (collectively, the "Columbia Group") entered into an Assurance of Discontinuance with the New York Attorney General ("NYAG") (the "NYAG Settlement") and consented to the entry of a cease-and-desist order by the Securities and Exchange Commission ("SEC") (the "SEC Order"). The SEC Order and the NYAG Settlement are referred to collectively as the "Settlements". The Settlements contain substantially the same terms and conditions as outlined in the agreements in principle which Columbia Group entered into with the SEC and NYAG in March, 2004. Under the terms of the SEC Order, the Columbia Group has agreed among other things, to: pay $70 million in disgorgement and $70 million in civil money penalties; cease and desist from violations of the antifraud provisions and certain other provisions of the federal securities laws; maintain certain compliance and ethics oversight structures; retain an independent consultant to review the Columbia Group's applicable supervisory, compliance, control and other policies and procedures; and retain an independent distribution consultant (see below). The Columbia Funds have also voluntarily undertaken to implement certain governance measures designed to maintain the independence of their boards of trustees. The NYAG Settlement also, among other things, requires Columbia and its affiliates to reduce certain Columbia Funds (including the former Nations Funds) and other mutual funds management fees collectively by $32 million per year for five years, for a projected total of $160 million in management fee reductions. Pursuant to the procedures set forth in the SEC order, the $140 million in settlement amounts described above will be distributed in accordance with a distribution plan developed by an independent distribution consultant and agreed to by the staff of the SEC. The independent distribution consultant has been in consultation with the Staff, and has submitted a draft proposed plan of distribution, but has not yet submitted a final proposed plan of distribution. As a result of these matters or any adverse publicity or other developments resulting from them, there may be increased redemptions or reduced sales of fund shares, which could increase transaction costs or operating expenses, or have other adverse consequences for the funds. A copy of the SEC Order is available on the SEC website at http://www.sec.gov. A copy of the NYAG Settlement is available as part of the Bank of America Corporation Form 8-K filing on February 10, 2005. In connection with the events described in detail above, various parties have filed suit against certain funds, the Trustees of the Columbia Funds, FleetBoston Financial Corporation and its affiliated entities and/or Bank of America and its affiliated entities. On February 20, 2004, the Judicial Panel on Multidistrict Litigation transferred these cases and cases against several other mutual fund companies based on similar allegations to the United States District Court in Maryland for consolidated or coordinated pretrial proceedings (the "MDL"). Subsequently, additional related cases were transferred to the MDL. On September 29, 2004, the plaintiffs in the MDL filed amended and consolidated complaints. One of these amended complaints is a putative class action that includes claims under the federal securities laws and state common law, and that names Columbia, the Distributor, the Trustees of the Columbia Funds, Bank of America Corporation and others as defendants. Another of the amended complaints is a derivative action purportedly on behalf of the Columbia Funds that asserts claims under federal securities laws and state common law. On February 25, 2005, Columbia and other defendants filed motions to dismiss the claims in the pending cases. On March 1, 2006, for reasons stated in the court's memoranda dated November 3, 2005, the U.S. District Court for the District of Maryland granted in part and denied in part the defendants' motions to dismiss. The court dismissed all of the class action claims pending against the Columbia Funds Trusts and the Columbia Acorn Trusts. As to Columbia, the Distributor and the AdvisorTrustees of the Columbia Funds,t the claims under the Securities Act of 1933, the claims under Sections 34(b) and 36(a) of the Investment Company Act of 1940 (ICA) and the state law claims against Columbia and otherswere dismissed.. T The claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and claims under Section 36(b) of the ICA along with related claims under Section 48(a) of the ICA were not dismissed. On March 21, 2005 purported class action plaintiffs filed suit in Massachusetts state court alleging that the conduct, including market timing, entitles Class B shareholders in certain Columbia funds to an exemption from contingent deferred sales charges upon early redemption ("the CDSC Lawsuit"). The CDSC Lawsuit has been removed to federal court in Massachusetts and the federal Judicial Panel has transferred the CDSC Lawsuit to the MDL. The MDL is ongoing. Accordingly, an estimate of the financial impact of this litigation on any fund, if any, cannot currently be made. In 2004, certain Columbia funds, the Trustees of the Columbia Funds, advisers and affiliated entities were named as defendants in certain purported shareholder class and derivative actions making claims, including claims under the Investment Company and the Investment Advisers Acts of 1940 and state law. The suits allege, inter alia, that the fees and expenses paid by the funds are excessive and that the advisers and their affiliates inappropriately used fund assets to distribute the funds and for other improper purpose. On March 2, 2005, the actions were consolidated in the Massachusetts federal court as In re Columbia Entities Litigation. The plaintiffs filed a consolidated amended complaint on June 9, 2005. On November 30, 2005, the judge dismissed all claims by plaintiffs and ordered that the case be closed. The plaintiffs filed a notice of appeal on December 30, 2005 and this appeal is pending. -----END PRIVACY-ENHANCED MESSAGE-----