0001193125-17-061262.txt : 20170228 0001193125-17-061262.hdr.sgml : 20170228 20170228125304 ACCESSION NUMBER: 0001193125-17-061262 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170228 DATE AS OF CHANGE: 20170228 EFFECTIVENESS DATE: 20170228 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WANGER ADVISORS TRUST CENTRAL INDEX KEY: 0000929521 IRS NUMBER: 362692100 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-08748 FILM NUMBER: 17645886 BUSINESS ADDRESS: STREET 1: 227 WEST MONROE STREET STE 3000 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126349200 MAIL ADDRESS: STREET 1: 227 WEST MONROE STREET STE 3000 CITY: CHICAGO STATE: IL ZIP: 60606-5016 0000929521 S000008981 Wanger USA C000024403 Wanger USA WUSAX 0000929521 S000008982 Wanger International C000024404 Wanger International WSCAX 0000929521 S000008983 Wanger Select C000024405 Wanger Select WATWX NSAR-B 1 d350449dnsarb.fil WANGER ADVISORS TRUST PAGE 1 000 B000000 12/31/2016 000 C000000 0000929521 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 WANGER ADVISORS TRUST 001 B000000 811-08748 001 C000000 3126349230 002 A000000 227 W. MONROE ST. 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WARSZAWIE S.A. 015 B000207 S 015 C010207 WARSAW 015 D010207 POLAND 015 E040207 X 015 A000208 BANK LEUMI LE-ISRAEL B.M. 015 B000208 S 015 C010208 TEL AVIV 015 D010208 ISRAEL 015 E040208 X 015 A000209 BANQUE INTERNATIONALE ARABE DE TUNISIE, S.A. 015 B000209 S 015 C010209 TUNIS 015 D010209 TUNISIA 015 E040209 X 015 A000210 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000210 S 015 C010210 BRUSSELS 015 D010210 BELGIUM 015 E040210 X 015 A000211 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000211 S 015 C010211 PANTIN 015 D010211 FRANCE 015 E040211 X 015 A000212 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000212 S 015 C010212 MILAN 015 D010212 ITALY 015 E040212 X 015 A000213 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000213 S 015 C010213 HESPERANGE 015 D010213 LUXEMBOURG 015 E040213 X 015 A000214 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000214 S 015 C010214 AMSTERDAM 015 D010214 NETHERLANDS 015 E040214 X 015 A000215 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000215 S 015 C010215 LISBON 015 D010215 PORTUGAL 015 E040215 X 015 A000216 CANADIAN IMPERIAL BANK OF COMMERCE 015 B000216 S 015 C010216 TORONTO 015 D010216 CANADA PAGE 4 015 E040216 X 015 A000217 CITIBANK A.S. 015 B000217 S 015 C010217 ISTANBUL 015 D010217 TURKEY 015 E040217 X 015 A000218 CITIBANK DEL PERU S.A. 015 B000218 S 015 C010218 LIMA 015 D010218 PERU 015 E040218 X 015 A000219 CITIBANK EUROPE PLC 015 B000219 S 015 C010219 BUCHAREST 015 D010219 ROMANIA 015 E040219 X 015 A000220 CITIBANK EUROPE PLC 015 B000220 S 015 C010220 SOFIA 015 D010220 BULGARIA 015 E040220 X 015 A000221 CITIBANK, N.A. 015 B000221 S 015 C010221 CAIRO 015 D010221 EGYPT 015 E040221 X 015 A000222 CITIBANK, N.A. 015 B000222 S 015 C010222 CARACAS 015 D010222 VENEZUELA 015 E040222 X 015 A000223 Cititrust Columbia S.A. 015 B000223 S 015 C010223 BOGATA 015 D010223 COLOMBIA 015 E040223 X 015 A000224 DBS BANK LTD. 015 B000224 S 015 C010224 SINGAPORE 015 D010224 SINGAPORE 015 E040224 X 015 A000225 DEUTSCHE BANK AG 015 B000225 S 015 C010225 ESCHBORN 015 D010225 GERMANY 015 E040225 X 015 A000226 DEUTSCHE BANK AG 015 B000226 S 015 C010226 BUDAPEST 015 D010226 HUNGARY 015 E040226 X PAGE 5 015 A000227 DEUTSCHE BANK AG 015 B000227 S 015 C010227 JAKARTA 015 D010227 INDONESIA 015 E040227 X 015 A000228 DEUTSCHE BANK AG 015 B000228 S 015 C010228 LONDON 015 D010228 UNITED KINGDOM 015 E040228 X 015 A000229 FIRSTRAND BANK LIMITED 015 B000229 S 015 C010229 JOHANNESBURG 015 D010229 SOUTH AFRICA 015 E040229 X 015 A000230 HSBC BANK (CHINA) COMPANY LIMITED 015 B000230 S 015 C010230 SHANGHAI 015 D010230 CHINA 015 E040230 X 015 A000231 HSBC BANK (VIETNAM) LTD. 015 B000231 S 015 C010231 HO CHI MINH CITY 015 D010231 VIETNAM 015 E040231 X 015 A000232 HSBC BANK ARGENTINA S.A. 015 B000232 S 015 C010232 BUENOS AIRES 015 D010232 ARGENTINA 015 E040232 X 015 A000233 HSBC BANK BERMUDA LIMITED 015 B000233 S 015 C010233 HAMILTON 015 D010233 BERMUDA 015 E040233 X 015 A000234 HSBC BANK MALAYSIA BERHAD 015 B000234 S 015 C010234 KUALA LUMPUR 015 D010234 MALAYSIA 015 E040234 X 015 A000235 HSBC BANK MIDDLE EAST LIMITED 015 B000235 S 015 C010235 AL SEEF 015 D010235 BAHRAIN 015 E040235 X 015 A000236 HSBC BANK MIDDLE EAST LIMITED 015 B000236 S 015 C010236 SAFAT 015 D010236 KUWAIT 015 E040236 X 015 A000237 HSBC BANK MIDDLE EAST LIMITED PAGE 6 015 B000237 S 015 C010237 BEIRUT 015 D010237 LEBANON 015 E040237 X 015 A000238 HSBC BANK MIDDLE EAST LIMITED 015 B000238 S 015 C010238 DOHA 015 D010238 QATAR 015 E040238 X 015 A000239 HSBC BANK MIDDLE EAST LIMITED 015 B000239 S 015 C010239 DUBAI 015 D010239 UAE 015 E040239 X 015 A000240 HSBC BANK OMAN S.A.O.G. 015 B000240 S 015 C010240 SEEB 015 D010240 OMAN 015 E040240 X 015 A000241 HSBC BANK PLC 015 B000241 S 015 C010241 ATHENS 015 D010241 GREECE 015 E040241 X 015 A000242 HSBC SAUDI ARABIA LIMITED 015 B000242 S 015 C010242 RIYADH 015 D010242 SAUDI ARABIA 015 E040242 X 015 A000243 ISLANDSBANKI HF. 015 B000243 S 015 C010243 REYKJAVIK 015 D010243 ICELAND 015 E040243 X 015 A000244 J.P. MORGAN AG 015 B000244 S 015 C010244 FRANKFURT 015 D010244 GERMANY 015 E040244 X 015 A000245 J.P. MORGAN BANK INTERNATIONAL 015 B000245 S 015 C010245 MOSCOW 015 D010245 RUSSIA 015 E040245 X 015 A000246 J.P. MORGAN S.A. 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LTD 015 B000284 S 015 C010284 EBENE 015 D010284 MAURITIUS 015 E040284 X 015 A000285 THE HONGKONG AND SHANGHAI BANKING CORP. LTD 015 B000285 S 015 C010285 TAGUIG CITY 015 D010285 PHILIPPINES 015 E040285 X 015 A000286 THE HONGKONG AND SHANGHAI BANKING CORP. LTD 015 B000286 S 015 C010286 COLOMBO 015 D010286 SRI LANKA 015 E040286 X 015 A000287 UBS Switzerland AG 015 B000287 S 015 C010287 ZURICH 015 D010287 SWITZERLAND 015 E040287 X 015 A000288 UNICREDIT BANK AUSTRIA AG PAGE 11 015 B000288 S 015 C010288 VIENNA 015 D010288 AUSTRIA 015 E040288 X 015 A000289 UNICREDIT BANK CZECH RPB. & SLOVAKIA A.S. 015 B000289 S 015 C010289 PRAGUE 015 D010289 CZECH REPUBLIC 015 E040289 X 015 A000290 UNICREDIT BANK CZECH RPB. & SLOVAKIA A.S. 015 B000290 S 015 C010290 BRATISLAVA 015 D010290 SLOVAK REPUBLIC 015 E040290 X 015 A000291 UNICREDIT BANK SRBIJA A.D. 015 B000291 S 015 C010291 BELGRADE 015 D010291 SERBIA 015 E040291 X 015 A000292 UNICREDIT BANKA SLOVENIJA D.D. 015 B000292 S 015 C010292 LJUBLJANA 015 D010292 SLOVENIA 015 E040292 X 015 A000293 JPMORGAN CHASE BANK, N.A. 015 B000293 S 015 C010293 HONG KONG 015 D010293 CHINA 015 E040293 X 015 A000294 HSBC BANK PLC 015 B000294 S 015 C010294 ATHENS 015 D010294 CYPRUS 015 E040294 X 015 A000295 JPMORGAN CHASE BANK, N.A. 015 B000295 S 015 C010295 LONDON 015 D010295 IRELAND 015 E040295 X 015 A000296 Kookmin Bank Co., LTD. 015 B000296 S 015 C010296 Seoul 015 D010296 South Korea 015 E040296 X 015 A000301 JPMORGAN CHASE BANK, N.A. 015 B000301 C 015 C010301 NEW YORK 015 C020301 NY 015 C030301 10005 015 E010301 X 015 A000302 AB SEB BANKAS PAGE 12 015 B000302 S 015 C010302 VILNIUS 015 D010302 LITHUANIA 015 E040302 X 015 A000303 BANCO BCT, S.A. 015 B000303 S 015 C010303 SAN JOSE 015 D010303 COSTA RICA 015 E040303 X 015 A000304 BANCO ITAU URUGUAY S.A. 015 B000304 S 015 C010304 MONTEVIDEO 015 D010304 URUGUAY 015 E040304 X 015 A000305 BANCO NACIONAL DE MEXICO, S.A. 015 B000305 S 015 C010305 MEXICO, D.F. 015 D010305 MEXICO 015 E040305 X 015 A000306 BANCO SANTANDER CHILE 015 B000306 S 015 C010306 SANTIAGO 015 D010306 CHILE 015 E040306 X 015 A000307 BANK HANDLOWY W. WARSZAWIE S.A. 015 B000307 S 015 C010307 WARSAW 015 D010307 POLAND 015 E040307 X 015 A000308 BANK LEUMI LE-ISRAEL B.M. 015 B000308 S 015 C010308 TEL AVIV 015 D010308 ISRAEL 015 E040308 X 015 A000309 BANQUE INTERNATIONALE ARABE DE TUNISIE, S.A. 015 B000309 S 015 C010309 TUNIS 015 D010309 TUNISIA 015 E040309 X 015 A000310 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000310 S 015 C010310 BRUSSELS 015 D010310 BELGIUM 015 E040310 X 015 A000311 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000311 S 015 C010311 PANTIN 015 D010311 FRANCE 015 E040311 X 015 A000312 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000312 S PAGE 13 015 C010312 MILAN 015 D010312 ITALY 015 E040312 X 015 A000313 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000313 S 015 C010313 HESPERANGE 015 D010313 LUXEMBOURG 015 E040313 X 015 A000314 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000314 S 015 C010314 AMSTERDAM 015 D010314 NETHERLANDS 015 E040314 X 015 A000315 BNP PARIBAS SECURITIES SERVICES S.C.A. 015 B000315 S 015 C010315 LISBON 015 D010315 PORTUGAL 015 E040315 X 015 A000316 CANADIAN IMPERIAL BANK OF COMMERCE 015 B000316 S 015 C010316 TORONTO 015 D010316 CANADA 015 E040316 X 015 A000317 CITIBANK A.S. 015 B000317 S 015 C010317 ISTANBUL 015 D010317 TURKEY 015 E040317 X 015 A000318 CITIBANK DEL PERU S.A. 015 B000318 S 015 C010318 LIMA 015 D010318 PERU 015 E040318 X 015 A000319 CITIBANK EUROPE PLC 015 B000319 S 015 C010319 BUCHAREST 015 D010319 ROMANIA 015 E040319 X 015 A000320 CITIBANK EUROPE PLC 015 B000320 S 015 C010320 SOFIA 015 D010320 BULGARIA 015 E040320 X 015 A000321 CITIBANK, N.A. 015 B000321 S 015 C010321 CAIRO 015 D010321 EGYPT 015 E040321 X 015 A000322 CITIBANK, N.A. 015 B000322 S 015 C010322 CARACAS PAGE 14 015 D010322 VENEZUELA 015 E040322 X 015 A000323 Cititrust Columbia S.A. 015 B000323 S 015 C010323 BOGATA 015 D010323 COLOMBIA 015 E040323 X 015 A000324 DBS BANK LTD. 015 B000324 S 015 C010324 SINGAPORE 015 D010324 SINGAPORE 015 E040324 X 015 A000325 DEUTSCHE BANK AG 015 B000325 S 015 C010325 ESCHBORN 015 D010325 GERMANY 015 E040325 X 015 A000326 DEUTSCHE BANK AG 015 B000326 S 015 C010326 BUDAPEST 015 D010326 HUNGARY 015 E040326 X 015 A000327 DEUTSCHE BANK AG 015 B000327 S 015 C010327 JAKARTA 015 D010327 INDONESIA 015 E040327 X 015 A000328 DEUTSCHE BANK AG 015 B000328 S 015 C010328 LONDON 015 D010328 UNITED KINGDOM 015 E040328 X 015 A000329 FIRSTRAND BANK LIMITED 015 B000329 S 015 C010329 JOHANNESBURG 015 D010329 SOUTH AFRICA 015 E040329 X 015 A000330 HSBC BANK (CHINA) COMPANY LIMITED 015 B000330 S 015 C010330 SHANGHAI 015 D010330 CHINA 015 E040330 X 015 A000331 HSBC BANK (VIETNAM) LTD. 015 B000331 S 015 C010331 HO CHI MINH CITY 015 D010331 VIETNAM 015 E040331 X 015 A000332 HSBC BANK ARGENTINA S.A. 015 B000332 S 015 C010332 BUENOS AIRES 015 D010332 ARGENTINA PAGE 15 015 E040332 X 015 A000333 HSBC BANK BERMUDA LIMITED 015 B000333 S 015 C010333 HAMILTON 015 D010333 BERMUDA 015 E040333 X 015 A000334 HSBC BANK MALAYSIA BERHAD 015 B000334 S 015 C010334 KUALA LUMPUR 015 D010334 MALAYSIA 015 E040334 X 015 A000335 HSBC BANK MIDDLE EAST LIMITED 015 B000335 S 015 C010335 AL SEEF 015 D010335 BAHRAIN 015 E040335 X 015 A000336 HSBC BANK MIDDLE EAST LIMITED 015 B000336 S 015 C010336 SAFAT 015 D010336 KUWAIT 015 E040336 X 015 A000337 HSBC BANK MIDDLE EAST LIMITED 015 B000337 S 015 C010337 BEIRUT 015 D010337 LEBANON 015 E040337 X 015 A000338 HSBC BANK MIDDLE EAST LIMITED 015 B000338 S 015 C010338 DOHA 015 D010338 QATAR 015 E040338 X 015 A000339 HSBC BANK MIDDLE EAST LIMITED 015 B000339 S 015 C010339 DUBAI 015 D010339 UAE 015 E040339 X 015 A000340 HSBC BANK OMAN S.A.O.G. 015 B000340 S 015 C010340 SEEB 015 D010340 OMAN 015 E040340 X 015 A000341 HSBC BANK PLC 015 B000341 S 015 C010341 ATHENS 015 D010341 GREECE 015 E040341 X 015 A000342 HSBC SAUDI ARABIA LIMITED 015 B000342 S 015 C010342 RIYADH 015 D010342 SAUDI ARABIA 015 E040342 X PAGE 16 015 A000343 ISLANDSBANKI HF. 015 B000343 S 015 C010343 REYKJAVIK 015 D010343 ICELAND 015 E040343 X 015 A000344 J.P. 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070 H020300 N 070 I010300 Y 070 I020300 N 070 J010300 Y 070 J020300 Y 070 K010300 Y 070 K020300 Y 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 Y 070 N010300 Y 070 N020300 Y 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 Y 070 Q010300 Y 070 Q020300 N 070 R010300 Y 070 R020300 N 071 A000100 732244 071 B000100 814410 071 C000100 622626 071 D000100 118 071 A000200 298300 PAGE 33 071 B000200 366176 071 C000200 531237 071 D000200 56 071 A000300 112635 071 B000300 134662 071 C000300 121572 071 D000300 93 072 A000100 12 072 B000100 263 072 C000100 5076 072 D000100 0 072 E000100 0 072 F000100 5542 072 G000100 320 072 H000100 0 072 I000100 1 072 J000100 22 072 K000100 199 072 L000100 0 072 M000100 0 072 N000100 0 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 38 072 S000100 105 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 135 072 X000100 6362 072 Y000100 0 072 Z000100 -1023 072AA000100 107627 072BB000100 0 072CC010100 0 072CC020100 26014 072DD010100 0 072DD020100 0 072EE000100 177479 072 A000200 12 072 B000200 824 072 C000200 11678 072 D000200 0 072 E000200 0 072 F000200 5102 072 G000200 271 072 H000200 0 072 I000200 1 072 J000200 0 072 K000200 224 PAGE 34 072 L000200 0 072 M000200 0 072 N000200 0 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 77 072 S000200 91 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 101 072 X000200 5867 072 Y000200 0 072 Z000200 6635 072AA000200 6135 072BB000200 0 072CC010200 0 072CC020200 19665 072DD010200 6159 072DD020200 0 072EE000200 44384 072 A000300 12 072 B000300 2 072 C000300 1128 072 D000300 0 072 E000300 0 072 F000300 1001 072 G000300 63 072 H000300 0 072 I000300 0 072 J000300 0 072 K000300 30 072 L000300 0 072 M000300 0 072 N000300 0 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 28 072 S000300 21 072 T000300 0 072 U000300 0 072 V000300 0 072 W000300 23 072 X000300 1166 072 Y000300 250 072 Z000300 214 072AA000300 17764 072BB000300 0 072CC010300 0 PAGE 35 072CC020300 2721 072DD010300 210 072DD020300 0 072EE000300 39393 073 A010100 0.0000 073 A020100 0.0000 073 B000100 8.7400 073 C000100 0.0000 073 A010200 0.2951 073 A020200 0.0000 073 B000200 2.1370 073 C000200 0.0000 073 A010300 0.0316 073 A020300 0.0000 073 B000300 7.5586 073 C000300 0.0000 074 A000100 0 074 B000100 0 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 649917 074 G000100 0 074 H000100 0 074 I000100 35744 074 J000100 15157 074 K000100 187 074 L000100 420 074 M000100 13 074 N000100 701438 074 O000100 19743 074 P000100 238 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 17221 074 S000100 0 074 T000100 664236 074 U010100 25035 074 U020100 0 074 V010100 26.53 074 V020100 0.00 074 W000100 0.0000 074 X000100 28 074 Y000100 0 074 A000200 18 074 B000200 0 074 C000200 0 074 D000200 0 074 E000200 0 PAGE 36 074 F000200 488669 074 G000200 0 074 H000200 0 074 I000200 24902 074 J000200 445 074 K000200 196 074 L000200 1465 074 M000200 11 074 N000200 515706 074 O000200 340 074 P000200 211 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 20360 074 S000200 0 074 T000200 494795 074 U010200 20932 074 U020200 0 074 V010200 23.64 074 V020200 0.00 074 W000200 0.0000 074 X000200 30 074 Y000200 0 074 A000300 0 074 B000300 0 074 C000300 0 074 D000300 0 074 E000300 0 074 F000300 122028 074 G000300 0 074 H000300 0 074 I000300 2611 074 J000300 1798 074 K000300 0 074 L000300 68 074 M000300 2 074 N000300 126507 074 O000300 884 074 P000300 53 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 70 074 S000300 0 074 T000300 125500 074 U010300 6571 074 U020300 0 074 V010300 19.10 PAGE 37 074 V020300 0.00 074 W000300 0.0000 074 X000300 11 074 Y000300 0 075 A000100 0 075 B000100 647103 075 A000200 0 075 B000200 544514 075 A000300 0 075 B000300 126278 076 000100 0.00 076 000200 0.00 076 000300 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 ICI Mutual Insurance Company 080 B00AA00 n/a 080 C00AA00 10000 081 A00AA00 Y 081 B00AA00 8 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 PAGE 38 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE SEE BELOW TITLE SEE BELOW This report is signed on behalf of the registrant (or depositor or trustee). City of: Boston State of: Massachusetts Date: February 17, 2017 Name of Registrant, Depositor, or Trustee: Wanger Advisors Trust /s/ Michael G. Clarke -------------------------- Michael G. Clarke Assistant Treasurer /s/ Martha A. Skinner -------------------------- Martha A. Skinner Assistant Treasurer Witness WANGER ADVISORS TRUST EX-99.77B 2 d350449dex9977b.htm EXHIBIT 77B EXHIBIT 77B

Report of Independent Registered Public Accounting Firm

To the Board of Trustees of Wanger Advisors Trust and Shareholders of Wanger USA, Wanger International, and Wanger Select:

In planning and performing our audit of the financial statements of Wanger USA, Wanger International, and Wanger Select (the “Funds”) as of and for the year ended December 31, 2016, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Funds’ internal control over financial reporting.

The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and the Board of Trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund’s assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds’ annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Funds’ internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds’ internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be material weaknesses as defined above as of December 31, 2016.

This report is intended solely for the information and use of management and the Board of Trustees of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ PricewaterhouseCoopers LLP

Chicago, Illinois

February 17, 2017

EX-99.77E 3 d350449dex9977e.htm EXHIBIT 77E EXHIBIT 77E

77E. Information Regarding Pending and Settled Legal Proceedings

Ameriprise Financial and certain of its affiliates have historically been involved in a number of legal, arbitration and regulatory proceedings, including routine litigation, class actions, and governmental actions, concerning matters arising in connection with the conduct of their business activities. Ameriprise Financial believes that the Funds are not currently the subject of, and that neither Ameriprise Financial nor any of its affiliates are the subject of, any pending legal, arbitration or regulatory proceedings that are likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds. Ameriprise Financial is required to make quarterly (10-Q), annual (10-K) and, as necessary, 8-K filings with the Securities and Exchange Commission (SEC) on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. There can be no assurance that these matters, or the adverse publicity associated with them, will not result in increased fund redemptions, reduced sale of fund shares or other adverse consequences to the Funds. Further, although we believe proceedings are not likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds, these proceedings are subject to uncertainties and, as such, we are unable to estimate the possible loss or range of loss that may result. An adverse outcome in one or more of these proceedings could result in adverse judgments, settlements, fines, penalties or other relief that could have a material adverse effect on the consolidated financial condition or results of operations of Ameriprise Financial.