-----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, WT3TUmrSrAH5e7ZsYhvZXeOcDATcLWvKqHjif9Mv9lQ4DVPy7sSpbnxvrM/wQAJd 4Yukl1KWNeauHos33E5bGA== 0000773757-07-000247.txt : 20071115 0000773757-07-000247.hdr.sgml : 20071115 20071114174202 ACCESSION NUMBER: 0000773757-07-000247 CONFORMED SUBMISSION TYPE: 40-17G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20071115 DATE AS OF CHANGE: 20071114 EFFECTIVENESS DATE: 20071115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS SERIES TRUST I CENTRAL INDEX KEY: 0000773757 IRS NUMBER: 363376651 STATE OF INCORPORATION: MA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04367 FILM NUMBER: 071246925 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 8003382550 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: COLUMBIA FUNDS TRUST IX DATE OF NAME CHANGE: 20031107 FORMER COMPANY: FORMER CONFORMED NAME: LIBERTY STEIN ROE FUNDS MUNICIPAL TRUST DATE OF NAME CHANGE: 19991025 FORMER COMPANY: FORMER CONFORMED NAME: STEINROE MUNICIPAL TRUST DATE OF NAME CHANGE: 19920703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BANC OF AMERICA FUNDS TRUST CENTRAL INDEX KEY: 0001354948 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-21862 FILM NUMBER: 071246926 BUSINESS ADDRESS: BUSINESS PHONE: 800-345-6611 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS MASTER INVESTMENT TRUST LLC CENTRAL INDEX KEY: 0001078410 IRS NUMBER: 000000000 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09347 FILM NUMBER: 071246927 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174263750 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: COLUMBIA FUNDS MASTER INVESTMENT TRUST DATE OF NAME CHANGE: 20050926 FORMER COMPANY: FORMER CONFORMED NAME: NATIONS MASTER INVESTMENT TRUST DATE OF NAME CHANGE: 19990205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS VARIABLE INSURANCE TRUST I CENTRAL INDEX KEY: 0001049787 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-08481 FILM NUMBER: 071246928 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: COLUMBIA FUNDS VARIABLE TRUST I DATE OF NAME CHANGE: 20060426 FORMER COMPANY: FORMER CONFORMED NAME: NATIONS SEPARATE ACCOUNT TRUST DATE OF NAME CHANGE: 20010502 FORMER COMPANY: FORMER CONFORMED NAME: NATIONS ANNUITY TRUST DATE OF NAME CHANGE: 19971114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS SERIES TRUST CENTRAL INDEX KEY: 0001097519 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09645 FILM NUMBER: 071246929 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: NATIONS FUNDS TRUST DATE OF NAME CHANGE: 19991022 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS VARIABLE INSURANCE TRUST CENTRAL INDEX KEY: 0000815425 IRS NUMBER: 043031721 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-05199 FILM NUMBER: 071246930 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CTR CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6174263750 MAIL ADDRESS: STREET 1: ONE FINANCIAL CTR CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: STEINROE VARIABLE INVESTMENT TRUST DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: STEINROE VARIABLE INVESTMENT FUND DATE OF NAME CHANGE: 19890327 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS INSTITUTIONAL TRUST CENTRAL INDEX KEY: 0000854126 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 40-17G/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-05857 FILM NUMBER: 071246931 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: CMG FUND TRUST DATE OF NAME CHANGE: 20030701 FORMER COMPANY: FORMER CONFORMED NAME: CMC FUND TRUST DATE OF NAME CHANGE: 19920703 40-17G/A 1 cvrltr.txt COLUMBIA FUNDS Banc of America Funds Trust Columbia Funds Institutional Trust Columbia Funds Master Investment Trust, LLC Columbia Funds Series Trust Columbia Funds Series Trust I Columbia Funds Variable Insurance Trust Columbia Funds Variable Insurance Trust I One Financial Center Boston, MA 02111 November 14, 2007 VIA EDGAR U. S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Banc of America Funds Trust, Columbia Funds Institutional Trust, Columbia Funds Master Investment Trust, LLC, Columbia Funds Series Trust, Columbia Funds Series Trust I, Columbia Funds Variable Insurance Trust and Columbia Funds Variable Insurance Trust I (the "Registrants") Ladies and Gentlemen: On behalf of the Registrants, enclosed for filing, pursuant to Rule 17g-1 (the "Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"), are the following documents: 1) a copy of the amended and restated agreement Pursuant to Rule 17g-1 dated as of July 1, 2007, entered into pursuant to paragraph (f) of the Rule, attached as Exhibit 1; and 2) a copy of the additional Riders 13 to 18 to the Registrants' current Fidelity Bond, attached as Exhibit 2. Please contact me at (617) 772-3265 if you have any questions. Sincerely, /s/ Peter T. Fariel Peter T. Fariel Assistant Secretary cc: M. Pilat EX-99.1 2 agrmnt.txt AMENDED AND RESTATED JOINT AGREEMENT Exhibit 1 AMENDED AND RESTATED JOINT FIDELITY BOND AGREEMENT WHEREAS, Columbia Funds Series Trust ("CFST") is an open-end management investment company registered as such under the Investment Company Act of 1940, as amended ("1940 Act"), currently consisting of 49 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Columbia Funds Variable Insurance Trust I ("CFVIT I") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 6 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Columbia Funds Master Investment Trust, LLC ("CFMIT") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 6 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Banc of America Funds Trust ("BAFT") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 8 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Columbia Funds Series Trust I ("CFST I") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 39 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Columbia Funds Variable Insurance Trust ("CFVIT") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 11 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Columbia Funds Institutional Trust ("CFIT") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 18 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Excelsior Funds Trust ("EFT") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 5 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Excelsior Funds, Inc. ("EFI") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 15 -1- investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, Excelsior Tax-Exempt Funds, Inc. ("ETFI") is an open-end management investment company registered as such under the 1940 Act, currently consisting of 7 investment portfolios, but which may from time to time consist of a greater or lesser number of investment portfolios; WHEREAS, BACAP Alternative Multi-Strategy Fund, LLC ("BAMS") is a closed-end management investment company registered as such under the 1940 Act; WHEREAS, Columbia Management Multi-Strategy Hedge Fund, LLC ("CMMSHF") is a closed-end management investment company registered as such under the 1940 Act; WHEREAS, Columbia Management Advisors, LLC ("CMA") is an investment adviser registered as such under the Investment Advisers Act of 1940 (the "Advisers Act"); WHEREAS, Columbia Management Distributors, Inc. ("CMDI") is a broker- dealer registered as such under the Securities Exchange Act of 1934; WHEREAS, Columbia Management Services, Inc. ("CMSI") is a transfer agent registered as such under the Securities Exchange Act of 1934; WHEREAS, Banc of America Investment Advisors, Inc. ("BAIA") is an investment adviser registered as such under the Advisers Act; WHEREAS, CFST, CFVIT I, CFMIT, BAFT, CFST I, CFVIT, CFIT, EFT, EFI, ETFI, BAMS and CMMSHF are required to provide and maintain a fidelity bond pursuant to Rule 17g-1 under the 1940 Act; WHEREAS, Rule 17g-1(b) provides that the fidelity bond may be in the form of a joint insured bond covering each of the parties hereto; WHEREAS, the Directors or Trustees of CFST, CFVIT I, CFMIT, BAFT, CFST I, CFVIT, CFIT, EFT, EFI, ETFI, BAMS and CMMSHF, including a majority of such Directors or Trustees who are not "interested persons" (as that term is defined in the 1940 Act) of CFST, CFVIT I, CFMIT, BAFT, CFST I, CFVIT, CFIT, EFT, EFI, ETFI, BAMS or CMMSHF, as applicable, have made the determinations required by Rule 17g-1, including those provisions specifically applicable to a joint insured bond; WHEREAS, CMA, CMDI, CMSI, BAIA, CFST, CFVIT I, CFMIT, BAFT, CFST I, CFVIT, CFIT, BAMS and CMMSHF have each paid a pro rata portion of the premiums for the joint insured bond pursuant to the Joint Fidelity Bond Agreement dated as of October 31, 2006; -2- WHEREAS, the parties other than EFT, EFI and ETFI have previously entered into a Joint Fidelity Bond Agreement dated as of October 31, 2006; and WHEREAS, the parties wish to add EFT, EFI and ETFI as parties to such Joint Fidelity Bond Agreement; NOW, THEREFORE, the parties hereto hereby agree as follows: 1. In the event recovery is received under the joint insured bond as a result of a loss sustained by two or more of the insured parties, the proceeds of the joint insured bond shall be allocated among the insured parties having sustained losses in proportion to, and, in any event, at least equal to, the amount which each such party would have received had it provided and maintained a single insured bond with the minimum coverage required by paragraph (d)(1) of Rule 17g-1 under the 1940 Act. 2. The parties hereby agree that any newly-formed investment company advised by CMA or BAIA may become an insured under the joint insured bond and a party to this Agreement by executing this Agreement and by paying its share of additional premiums, if any, resulting from adding it to the joint insured bond. 3. This Agreement covers the joint insured bond for the period ending October 31, 2007. 4. This Agreement amends, restates and supersedes the Joint Fidelity Bond Agreement dated as of October 31, 2006. On behalf of each party that is organized as a Massachusetts business trust or a series thereof, notice is hereby given that a copy of the Agreement and Declaration of Trust of such party is on file with the Secretary of State of The Commonwealth of Massachusetts, and that this Agreement is executed by an officer of such party, as an officer and not individually, on behalf of the trustees of such party, as trustees and not individually, and that the obligations of this Agreement with respect to a series of such party shall be binding upon the assets and properties of such series only and shall not be binding upon any of the Trustees, officers, employees, agents or shareholders of such party or such party individually or on the assets and properties of any other series of such party. This Agreement may be executed simultaneously in two or more counterparts, each of which shall be deemed an original, but all of which taken together shall constitute one and the same instrument. [Signature pages follow] -3- Dated: As of July 1, 2007 COLUMBIA FUNDS SERIES TRUST COLUMBIA FUNDS VARIABLE INSURANCE TRUST I COLUMBIA FUNDS MASTER INVESTMENT TRUST, LLC BANC OF AMERICA FUNDS TRUST COLUMBIA FUNDS SERIES TRUST I COLUMBIA FUNDS VARIABLE INSURANCE TRUST COLUMBIA FUNDS INSTITUTIONAL TRUST EXCELSIOR FUNDS TRUST EXCELSIOR FUNDS, INC. EXCELSIOR TAX-EXEMPT FUNDS, INC. For each of the above, By: /s/ J. Kevin Connaughton ----------------------------------------------------- Name: J. Kevin Connaughton Title: Senior Vice President, Chief Financial Officer and Treasurer BACAP ALTERNATIVE MULTI-STRATEGY FUND, LLC By: ----------------------------------------------------- Name: David Bailin Title: President COLUMBIA MANAGEMENT MULTI-STRATEGY HEDGE FUND, LLC By: ----------------------------------------------------- Name: David Bailin Title: President COLUMBIA MANAGEMENT ADVISORS, LLC By: /s/ Christopher L. Wilson ----------------------------------------------------- Name: Christopher L. Wilson Title: Managing Director BANC OF AMERICA INVESTMENT ADVISORS, INC. By: ----------------------------------------------------- Name: David Bailin Title: Senior Executive Vice President -4- Dated: As of July 1, 2007 COLUMBIA FUNDS SERIES TRUST COLUMBIA FUNDS VARIABLE INSURANCE TRUST I COLUMBIA FUNDS MASTER INVESTMENT TRUST, LLC BANC OF AMERICA FUNDS TRUST COLUMBIA FUNDS SERIES TRUST I COLUMBIA FUNDS VARIABLE INSURANCE TRUST COLUMBIA FUNDS INSTITUTIONAL TRUST EXCELSIOR FUNDS TRUST EXCELSIOR FUNDS, INC. EXCELSIOR TAX-EXEMPT FUNDS, INC. For each of the above, By: ----------------------------------------------------- Name: J. Kevin Connaughton Title: Senior Vice President, Chief Financial Officer and Treasurer BACAP ALTERNATIVE MULTI-STRATEGY FUND, LLC By: /s/ David Bailin ----------------------------------------------------- Name: David Bailin Title: President COLUMBIA MANAGEMENT MULTI-STRATEGY HEDGE FUND, LLC By: /s/ David Bailin ----------------------------------------------------- Name: David Bailin Title: President COLUMBIA MANAGEMENT ADVISORS, LLC By: ----------------------------------------------------- Name: Christopher L. Wilson Title: Managing Director BANC OF AMERICA INVESTMENT ADVISORS, INC. By: /s/ David Bailin ----------------------------------------------------- Name: David Bailin Title: Senior Executive Vice President -5- COLUMBIA MANAGEMENT DISTRIBUTORS, INC. By: /s/ Michael A. Jones ----------------------------------------------------- Name: Michael A. Jones Title: President COLUMBIA MANAGEMENT SERVICES, INC. By: /s/ Stephen T. Welsh ----------------------------------------------------- Name: Stephen T. Welsh Title: President -6- EX-99.2 3 riders.txt RIDERS Exhibit 2 ICI MUTUAL INSURANCE COMPANY INVESTMENT COMPANY BLANKET BOND RIDER NO. 13
- ------------------------------------------------------------------------------------------------------------------- INSURED BOND NUMBER Columbia Management Advisors, LLC 87152106B - ------------------------------------------------------------------------------------------------------------------- EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE October 31, 2006 October 31, 2006 to October 31, 2007 /S/ Maggie Sullivan ===================================================================================================================
In consideration of the premium charged for this Bond, it is hereby understood and agreed that Item 1 of the Declarations, Name of Insured, shall include the following: Columbia Qualified Purchaser Funds Trust, LLC Except as above stated, nothing herein shall be held to alter, waive or extend any of the terms of this Bond. ICI MUTUAL INSURANCE COMPANY INVESTMENT COMPANY BLANKET BOND RIDER NO. 14
- ------------------------------------------------------------------------------------------------------------------- INSURED BOND NUMBER Columbia Management Advisors, LLC 87152106B - ------------------------------------------------------------------------------------------------------------------- EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE October 31, 2006 October 31, 2006 to October 31, 2007 /S/ Maggie Sullivan ===================================================================================================================
In consideration of the premium charged for this bond, it is hereby understood and agreed that for purposes of this Bond the term "Investment Company" or "Fund" shall be deemed to include the following: Columbia Qualified Purchaser Funds Trust, LLC Except as stated above, nothing herein shall be held to alter, waive or extend any of the terms of this Bond. ICI MUTUAL INSURANCE COMPANY INVESTMENT COMPANY BLANKET BOND RIDER NO. 15
- ------------------------------------------------------------------------------------------------------------------- INSURED BOND NUMBER Columbia Management Advisors, LLC 87152106B - ------------------------------------------------------------------------------------------------------------------- EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE July 1, 2007 October 31, 2006 to October 31, 2007 /S/ Maggie Sullivan ===================================================================================================================
In consideration of the premium charged for this bond, it is hereby understood and agreed that for purposes of this Bond the term "Investment Company" or "Fund" shall be deemed to include the following: Excelsior Funds, Inc. Excelsior Funds Trust Excelsior Tax-Exempt Funds, Inc. Except as stated above, nothing herein shall be held to alter, waive or extend any of the terms of this Bond. ICI MUTUAL INSURANCE COMPANY INVESTMENT COMPANY BLANKET BOND RIDER NO. 16
- ------------------------------------------------------------------------------------------------------------------- INSURED BOND NUMBER Columbia Management Advisors, LLC 87152106B - ------------------------------------------------------------------------------------------------------------------- EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE October 31, 2006 to October 31, 2007 /S/ Maggie Sullivan ===================================================================================================================
In consideration of the premium charged for this Bond, and notwithstanding Item 1 of the Declarations, Name of Insured, or any other Rider to this Bond, it is hereby understood and agreed that the following shall not be Insureds under this Bond as of the effective date indicated: EFFECTIVE DATE Liberty All Star Funds December 15, 2006 Colonial Intermediate High Income Fund June 29, 2007 Colonial InterMarket Income Trust I Colonial Municipal Income Trust Colonial High Income Municipal Trust Colonial Investment Grade Municipal Trust Colonial California Insured Municipal Fund Except as above stated, nothing herein shall be held to alter, waive or extend any of the terms of this Bond. ICI MUTUAL INSURANCE COMPANY INVESTMENT COMPANY BLANKET BOND RIDER NO. 17
- ------------------------------------------------------------------------------------------------------------------- INSURED BOND NUMBER Columbia Management Advisors, LLC 87152106B - ------------------------------------------------------------------------------------------------------------------- EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE March 30, 2007 October 31, 2006 to October 31, 2007 /S/ Maggie Sullivan ===================================================================================================================
In consideration of the premium charged for this Bond, it is hereby understood and agreed that the name of the Insured identified in Item 1 of the Declarations, Name of Insured, as Columbia Funds Master Trust is changed to: Columbia Funds Master Trust, LLC Except as above stated, nothing herein shall be held to alter, waive or extend any of the terms of this Bond. ICI MUTUAL INSURANCE COMPANY INVESTMENT COMPANY BLANKET BOND RIDER NO. 18
- ------------------------------------------------------------------------------------------------------------------- INSURED BOND NUMBER Columbia Management Advisors, LLC 87152106B - ------------------------------------------------------------------------------------------------------------------- EFFECTIVE DATE BOND PERIOD AUTHORIZED REPRESENTATIVE March 30, 2007 October 31, 2006 to October 31, 2007 /S/ Maggie Sullivan ===================================================================================================================
In consideration of the premium charged for this Bond, it is hereby understood and agreed that Riders No. 13 and No. 14 to this Bond are hereby deleted in its entirety, effective as of 12:01 a.m. on October 31, 2006, standard time at the Principal Address. Except as above stated, nothing herein shall be held to alter, waive or extend any of the terms of this Bond. -----END PRIVACY-ENHANCED MESSAGE-----