-----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, F7yo1+xXHyCXdFpu4xzLhP0DAXSRAU0YoKQM3aF4Q0vo8FrKn3CURZ0N//hZR9D9 ahjlA9vYgQ8hfK7viotGEA== 0000773757-10-000035.txt : 20100527 0000773757-10-000035.hdr.sgml : 20100527 20100527120256 ACCESSION NUMBER: 0000773757-10-000035 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100527 DATE AS OF CHANGE: 20100527 EFFECTIVENESS DATE: 20100527 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: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-09645 FILM NUMBER: 10861509 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 0001097519 S000010774 Columbia LifeGoal Balanced Growth Portfolio C000029775 Class A NBIAX C000029776 Class B NLBBX C000029777 Class C NBICX C000029778 Class R CLBRX C000029779 Class Z NBGPX 0001097519 S000010775 Columbia High Income Fund C000029780 Class A NAHAX C000029781 Class B NHYBX C000029782 Class C NYICX C000029783 Class Z NYPAX 0001097519 S000010777 Columbia Short Term Bond Fund C000029788 Class A NSTRX C000029789 Class B NSTFX C000029790 Class C NSTIX C000029791 Class Z NSTMX C000079024 Class Y CSBYX 0001097519 S000010778 Columbia Short Term Municipal Bond Fund C000029792 Class A NSMMX C000029793 Class B NSMNX C000029794 Class C NSMUX C000029795 Class Z NSMIX 0001097519 S000010780 Columbia California Intermediate Municipal Bond Fund C000029800 Class A NACMX C000029801 Class B C000029802 Class C C000029803 Class Z NCMAX 0001097519 S000010782 Columbia Georgia Intermediate Municipal Bond Fund C000029808 Class A NGIMX C000029809 Class B NGITX C000029810 Class C NGINX C000029811 Class Z NGAMX 0001097519 S000010783 Columbia Maryland Intermediate Municipal Bond Fund C000029812 Class A NMDMX C000029813 Class B NMITX C000029814 Class C NMINX C000029815 Class Z NMDBX 0001097519 S000010784 Columbia North Carolina Intermediate Municipal Bond Fund C000029816 Class A NNCIX C000029817 Class B NNITX C000029818 Class C NNINX C000029819 Class Z NNIBX 0001097519 S000010785 Columbia LifeGoal Growth Portfolio C000029820 Class A NLGIX C000029821 Class B NLGBX C000029822 Class C NLGCX C000029823 Class R CLGRX C000029824 Class Z NGPAX 0001097519 S000010786 Columbia South Carolina Intermediate Municipal Bond Fund C000029825 Class A NSCIX C000029826 Class B NISCX C000029827 Class C NSICX C000029828 Class Z NSCMX 0001097519 S000010788 Columbia Virginia Intermediate Municipal Bond Fund C000029833 Class A NVAFX C000029834 Class B NVANX C000029835 Class C NVRCX C000029836 Class Z NVABX 0001097519 S000010790 Columbia Asset Allocation Fund II C000029841 Class A PHAAX C000029842 Class B NBASX C000029843 Class C NAACX C000029844 Class Z NPRAX 0001097519 S000010796 Columbia LifeGoal Income and Growth Portfolio C000029869 Class A NLGAX C000029870 Class B NLIBX C000029871 Class C NIICX C000029872 Class R CLIRX C000029873 Class Z NIPAX 0001097519 S000010805 Columbia Masters International Equity Portfolio C000029909 Class A CMTAX C000029910 Class B CMTBX C000029911 Class C CMTCX C000029912 Class R CMERX C000029913 Class Z CMTZX 0001097519 S000010807 Columbia LifeGoal Income Portfolio C000029918 Class A NLFAX C000029919 Class B NLOBX C000029920 Class C NLFCX C000029921 Class Z 0001097519 S000010822 Corporate Bond Portfolio C000030048 Corporate Bond Portfolio Shares NCOBX 0001097519 S000010823 Mortgage- and Asset-Backed Portfolio 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H001300 0 042 A001400 0 042 B001400 0 042 C001400 100 042 D001400 0 042 E001400 0 042 F001400 0 042 G001400 0 042 H001400 0 042 A001500 0 042 B001500 0 042 C001500 100 042 D001500 0 042 E001500 0 042 F001500 0 042 G001500 0 042 H001500 0 042 A001900 0 042 B001900 0 042 C001900 100 042 D001900 0 042 E001900 0 042 F001900 0 042 G001900 0 042 H001900 0 042 A002200 0 042 B002200 0 042 C002200 0 042 D002200 0 042 E002200 0 042 F002200 0 042 G002200 0 042 H002200 0 042 A002400 0 042 B002400 0 042 C002400 0 042 D002400 0 042 E002400 0 042 F002400 0 042 G002400 0 042 H002400 0 042 A002600 0 042 B002600 0 042 C002600 100 042 D002600 0 042 E002600 0 042 F002600 0 PAGE 39 042 G002600 0 042 H002600 0 042 A002700 0 042 B002700 0 042 C002700 100 042 D002700 0 042 E002700 0 042 F002700 0 042 G002700 0 042 H002700 0 042 A002900 0 042 B002900 0 042 C002900 100 042 D002900 0 042 E002900 0 042 F002900 0 042 G002900 0 042 H002900 0 042 A003000 0 042 B003000 0 042 C003000 100 042 D003000 0 042 E003000 0 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044 000100 0 044 000700 0 044 001300 0 044 001400 0 044 001500 0 044 001900 0 044 002200 0 044 002400 0 044 002600 0 044 002700 0 PAGE 41 044 002900 0 044 003000 0 044 003200 0 044 003500 0 044 003900 0 044 004100 0 044 006200 0 044 006700 0 045 000100 Y 045 000700 Y 045 001300 Y 045 001400 Y 045 001500 Y 045 001900 Y 045 002200 Y 045 002400 Y 045 002600 Y 045 002700 Y 045 002900 Y 045 003000 Y 045 003200 Y 045 003500 Y 045 003900 Y 045 004100 Y 045 006200 Y 045 006700 Y 046 000100 N 046 000700 N 046 001300 N 046 001400 N 046 001500 N 046 001900 N 046 002200 N 046 002400 N 046 002600 N 046 002700 N 046 002900 N 046 003000 N 046 003200 N 046 003500 N 046 003900 N 046 004100 N 046 006200 N 046 006700 N 047 000100 Y 047 000700 Y 047 001300 Y 047 001400 Y 047 001500 Y 047 001900 Y 047 002200 N PAGE 42 047 002400 N 047 002600 Y 047 002700 Y 047 002900 Y 047 003000 Y 047 003200 Y 047 003500 Y 047 003900 Y 047 004100 Y 047 006200 Y 047 006700 N 048 000100 0.000 048 A010100 500000 048 A020100 0.550 048 B010100 500000 048 B020100 0.520 048 C010100 500000 048 C020100 0.490 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 1500000 048 K020100 0.460 048 000700 0.600 048 A010700 0 048 A020700 0.000 048 B010700 0 048 B020700 0.000 048 C010700 0 048 C020700 0.000 048 D010700 0 048 D020700 0.000 048 E010700 0 048 E020700 0.000 048 F010700 0 048 F020700 0.000 048 G010700 0 048 G020700 0.000 048 H010700 0 048 H020700 0.000 PAGE 43 048 I010700 0 048 I020700 0.000 048 J010700 0 048 J020700 0.000 048 K010700 0 048 K020700 0.000 048 001300 0.250 048 A011300 0 048 A021300 0.000 048 B011300 0 048 B021300 0.000 048 C011300 0 048 C021300 0.000 048 D011300 0 048 D021300 0.000 048 E011300 0 048 E021300 0.000 048 F011300 0 048 F021300 0.000 048 G011300 0 048 G021300 0.000 048 H011300 0 048 H021300 0.000 048 I011300 0 048 I021300 0.000 048 J011300 0 048 J021300 0.000 048 K011300 0 048 K021300 0.000 048 001400 0.250 048 A011400 0 048 A021400 0.000 048 B011400 0 048 B021400 0.000 048 C011400 0 048 C021400 0.000 048 D011400 0 048 D021400 0.000 048 E011400 0 048 E021400 0.000 048 F011400 0 048 F021400 0.000 048 G011400 0 048 G021400 0.000 048 H011400 0 048 H021400 0.000 048 I011400 0 048 I021400 0.000 048 J011400 0 048 J021400 0.000 048 K011400 0 PAGE 44 048 K021400 0.000 048 001500 0.250 048 A011500 0 048 A021500 0.000 048 B011500 0 048 B021500 0.000 048 C011500 0 048 C021500 0.000 048 D011500 0 048 D021500 0.000 048 E011500 0 048 E021500 0.000 048 F011500 0 048 F021500 0.000 048 G011500 0 048 G021500 0.000 048 H011500 0 048 H021500 0.000 048 I011500 0 048 I021500 0.000 048 J011500 0 048 J021500 0.000 048 K011500 0 048 K021500 0.000 048 001900 0.000 048 A011900 500000 048 A021900 0.400 048 B011900 500000 048 B021900 0.350 048 C011900 500000 048 C021900 0.320 048 D011900 1500000 048 D021900 0.290 048 E011900 3000000 048 E021900 0.280 048 F011900 0 048 F021900 0.000 048 G011900 0 048 G021900 0.000 048 H011900 0 048 H021900 0.000 048 I011900 0 048 I021900 0.000 048 J011900 0 048 J021900 0.000 048 K011900 6000000 048 K021900 0.270 048 002200 0.000 048 A012200 0 048 A022200 0.000 048 B012200 0 PAGE 45 048 B022200 0.000 048 C012200 0 048 C022200 0.000 048 D012200 0 048 D022200 0.000 048 E012200 0 048 E022200 0.000 048 F012200 0 048 F022200 0.000 048 G012200 0 048 G022200 0.000 048 H012200 0 048 H022200 0.000 048 I012200 0 048 I022200 0.000 048 J012200 0 048 J022200 0.000 048 K012200 0 048 K022200 0.000 048 002400 0.000 048 A012400 0 048 A022400 0.000 048 B012400 0 048 B022400 0.000 048 C012400 0 048 C022400 0.000 048 D012400 0 048 D022400 0.000 048 E012400 0 048 E022400 0.000 048 F012400 0 048 F022400 0.000 048 G012400 0 048 G022400 0.000 048 H012400 0 048 H022400 0.000 048 I012400 0 048 I022400 0.000 048 J012400 0 048 J022400 0.000 048 K012400 0 048 K022400 0.000 048 002600 0.000 048 A012600 500000 048 A022600 0.400 048 B012600 500000 048 B022600 0.350 048 C012600 500000 048 C022600 0.320 048 D012600 1500000 048 D022600 0.290 PAGE 46 048 E012600 3000000 048 E022600 0.280 048 F012600 0 048 F022600 0.000 048 G012600 0 048 G022600 0.000 048 H012600 0 048 H022600 0.000 048 I012600 0 048 I022600 0.000 048 J012600 0 048 J022600 0.000 048 K012600 6000000 048 K022600 0.270 048 002700 0.000 048 A012700 500000 048 A022700 0.400 048 B012700 500000 048 B022700 0.350 048 C012700 500000 048 C022700 0.320 048 D012700 1500000 048 D022700 0.290 048 E012700 3000000 048 E022700 0.280 048 F012700 0 048 F022700 0.000 048 G012700 0 048 G022700 0.000 048 H012700 0 048 H022700 0.000 048 I012700 0 048 I022700 0.000 048 J012700 0 048 J022700 0.000 048 K012700 6000000 048 K022700 0.270 048 002900 0.000 048 A012900 500000 048 A022900 0.400 048 B012900 500000 048 B022900 0.350 048 C012900 500000 048 C022900 0.320 048 D012900 1500000 048 D022900 0.290 048 E012900 3000000 048 E022900 0.280 048 F012900 0 048 F022900 0.000 048 G012900 0 PAGE 47 048 G022900 0.000 048 H012900 0 048 H022900 0.000 048 I012900 0 048 I022900 0.000 048 J012900 0 048 J022900 0.000 048 K012900 6000000 048 K022900 0.270 048 003000 0.000 048 A013000 500000 048 A023000 0.400 048 B013000 500000 048 B023000 0.350 048 C013000 500000 048 C023000 0.320 048 D013000 1500000 048 D023000 0.290 048 E013000 3000000 048 E023000 0.280 048 F013000 0 048 F023000 0.000 048 G013000 0 048 G023000 0.000 048 H013000 0 048 H023000 0.000 048 I013000 0 048 I023000 0.000 048 J013000 0 048 J023000 0.000 048 K013000 6000000 048 K023000 0.270 048 003200 0.000 048 A013200 500000 048 A023200 0.400 048 B013200 500000 048 B023200 0.350 048 C013200 500000 048 C023200 0.320 048 D013200 1500000 048 D023200 0.290 048 E013200 3000000 048 E023200 0.280 048 F013200 0 048 F023200 0.000 048 G013200 0 048 G023200 0.000 048 H013200 0 048 H023200 0.000 048 I013200 0 048 I023200 0.000 PAGE 48 048 J013200 0 048 J023200 0.000 048 K013200 6000000 048 K023200 0.270 048 003500 0.000 048 A013500 500000 048 A023500 0.300 048 B013500 0 048 B023500 0.000 048 C013500 0 048 C023500 0.000 048 D013500 0 048 D023500 0.000 048 E013500 0 048 E023500 0.000 048 F013500 0 048 F023500 0.000 048 G013500 0 048 G023500 0.000 048 H013500 0 048 H023500 0.000 048 I013500 0 048 I023500 0.000 048 J013500 0 048 J023500 0.000 048 K013500 500000 048 K023500 0.250 048 003900 0.300 048 A013900 0 048 A023900 0.000 048 B013900 0 048 B023900 0.000 048 C013900 0 048 C023900 0.000 048 D013900 0 048 D023900 0.000 048 E013900 0 048 E023900 0.000 048 F013900 0 048 F023900 0.000 048 G013900 0 048 G023900 0.000 048 H013900 0 048 H023900 0.000 048 I013900 0 048 I023900 0.000 048 J013900 0 048 J023900 0.000 048 K013900 0 048 K023900 0.000 048 004100 0.000 PAGE 49 048 A014100 500000 048 A024100 0.400 048 B014100 500000 048 B024100 0.350 048 C014100 500000 048 C024100 0.320 048 D014100 1500000 048 D024100 0.290 048 E014100 3000000 048 E024100 0.280 048 F014100 0 048 F024100 0.000 048 G014100 0 048 G024100 0.000 048 H014100 0 048 H024100 0.000 048 I014100 0 048 I024100 0.000 048 J014100 0 048 J024100 0.000 048 K014100 6000000 048 K024100 0.270 048 006200 0.500 048 A016200 0 048 A026200 0.000 048 B016200 0 048 B026200 0.000 048 C016200 0 048 C026200 0.000 048 D016200 0 048 D026200 0.000 048 E016200 0 048 E026200 0.000 048 F016200 0 048 F026200 0.000 048 G016200 0 048 G026200 0.000 048 H016200 0 048 H026200 0.000 048 I016200 0 048 I026200 0.000 048 J016200 0 048 J026200 0.000 048 K016200 0 048 K026200 0.000 048 006700 0.000 048 A016700 0 048 A026700 0.000 048 B016700 0 048 B026700 0.000 048 C016700 0 PAGE 50 048 C026700 0.000 048 D016700 0 048 D026700 0.000 048 E016700 0 048 E026700 0.000 048 F016700 0 048 F026700 0.000 048 G016700 0 048 G026700 0.000 048 H016700 0 048 H026700 0.000 048 I016700 0 048 I026700 0.000 048 J016700 0 048 J026700 0.000 048 K016700 0 048 K026700 0.000 049 000100 N 049 000700 N 049 001300 N 049 001400 N 049 001500 N 049 001900 N 049 002200 N 049 002400 N 049 002600 N 049 002700 N 049 002900 N 049 003000 N 049 003200 N 049 003500 N 049 003900 N 049 004100 N 049 006200 N 049 006700 N 050 000100 N 050 000700 N 050 001300 N 050 001400 N 050 001500 N 050 001900 N 050 002200 N 050 002400 N 050 002600 N 050 002700 N 050 002900 N 050 003000 N 050 003200 N 050 003500 N 050 003900 N 050 004100 N PAGE 51 050 006200 N 050 006700 N 051 000100 N 051 000700 N 051 001300 N 051 001400 N 051 001500 N 051 001900 N 051 002200 N 051 002400 N 051 002600 N 051 002700 N 051 002900 N 051 003000 N 051 003200 N 051 003500 N 051 003900 N 051 004100 N 051 006200 N 051 006700 N 052 000100 N 052 000700 N 052 001300 N 052 001400 N 052 001500 N 052 001900 N 052 002200 N 052 002400 N 052 002600 N 052 002700 N 052 002900 N 052 003000 N 052 003200 N 052 003500 N 052 003900 N 052 004100 N 052 006200 N 052 006700 N 053 A000100 N 053 A000700 Y 053 B000700 Y 053 C000700 N 053 A001300 N 053 A001400 N 053 A001500 N 053 A001900 Y 053 B001900 Y 053 C001900 N 053 A002200 N 053 A002400 N 053 A002600 Y PAGE 52 053 B002600 Y 053 C002600 N 053 A002700 Y 053 B002700 Y 053 C002700 N 053 A002900 Y 053 B002900 Y 053 C002900 N 053 A003000 Y 053 B003000 Y 053 C003000 N 053 A003200 Y 053 B003200 Y 053 C003200 N 053 A003500 Y 053 B003500 Y 053 C003500 N 053 A003900 Y 053 B003900 Y 053 C003900 N 053 A004100 N 053 A006200 Y 053 B006200 Y 053 C006200 N 053 A006700 Y 053 B006700 Y 053 C006700 N 054 A000100 Y 054 B000100 Y 054 C000100 N 054 D000100 N 054 E000100 N 054 F000100 N 054 G000100 Y 054 H000100 N 054 I000100 N 054 J000100 Y 054 K000100 N 054 L000100 N 054 M000100 Y 054 N000100 N 054 O000100 Y 054 A000700 Y 054 B000700 Y 054 C000700 N 054 D000700 N 054 E000700 N 054 F000700 N 054 G000700 Y 054 H000700 N 054 I000700 N PAGE 53 054 J000700 Y 054 K000700 N 054 L000700 N 054 M000700 Y 054 N000700 N 054 O000700 Y 054 A001300 Y 054 B001300 Y 054 C001300 Y 054 D001300 Y 054 E001300 Y 054 F001300 Y 054 G001300 Y 054 H001300 N 054 I001300 N 054 J001300 Y 054 K001300 Y 054 L001300 N 054 M001300 Y 054 N001300 Y 054 O001300 Y 054 A001400 Y 054 B001400 Y 054 C001400 Y 054 D001400 Y 054 E001400 Y 054 F001400 Y 054 G001400 Y 054 H001400 N 054 I001400 N 054 J001400 Y 054 K001400 Y 054 L001400 N 054 M001400 Y 054 N001400 Y 054 O001400 Y 054 A001500 Y 054 B001500 Y 054 C001500 Y 054 D001500 Y 054 E001500 Y 054 F001500 Y 054 G001500 Y 054 H001500 N 054 I001500 N 054 J001500 Y 054 K001500 Y 054 L001500 N 054 M001500 Y 054 N001500 Y 054 O001500 Y PAGE 54 054 A001900 Y 054 B001900 Y 054 C001900 N 054 D001900 N 054 E001900 N 054 F001900 N 054 G001900 Y 054 H001900 N 054 I001900 N 054 J001900 Y 054 K001900 N 054 L001900 N 054 M001900 Y 054 N001900 N 054 O001900 Y 054 A002200 Y 054 B002200 Y 054 C002200 Y 054 D002200 Y 054 E002200 Y 054 F002200 Y 054 G002200 Y 054 H002200 Y 054 I002200 Y 054 J002200 Y 054 K002200 Y 054 L002200 N 054 M002200 Y 054 N002200 Y 054 O002200 Y 054 A002400 Y 054 B002400 Y 054 C002400 Y 054 D002400 Y 054 E002400 Y 054 F002400 Y 054 G002400 Y 054 H002400 Y 054 I002400 Y 054 J002400 Y 054 K002400 Y 054 L002400 N 054 M002400 Y 054 N002400 Y 054 O002400 Y 054 A002600 Y 054 B002600 Y 054 C002600 N 054 D002600 N 054 E002600 N 054 F002600 N PAGE 55 054 G002600 Y 054 H002600 N 054 I002600 N 054 J002600 Y 054 K002600 N 054 L002600 N 054 M002600 Y 054 N002600 N 054 O002600 Y 054 A002700 Y 054 B002700 Y 054 C002700 N 054 D002700 N 054 E002700 N 054 F002700 N 054 G002700 Y 054 H002700 N 054 I002700 N 054 J002700 Y 054 K002700 N 054 L002700 N 054 M002700 Y 054 N002700 N 054 O002700 Y 054 A002900 Y 054 B002900 Y 054 C002900 N 054 D002900 N 054 E002900 N 054 F002900 N 054 G002900 Y 054 H002900 N 054 I002900 N 054 J002900 Y 054 K002900 N 054 L002900 N 054 M002900 Y 054 N002900 N 054 O002900 Y 054 A003000 Y 054 B003000 Y 054 C003000 N 054 D003000 N 054 E003000 N 054 F003000 N 054 G003000 Y 054 H003000 N 054 I003000 N 054 J003000 Y 054 K003000 N 054 L003000 N PAGE 56 054 M003000 Y 054 N003000 N 054 O003000 Y 054 A003200 Y 054 B003200 Y 054 C003200 N 054 D003200 N 054 E003200 N 054 F003200 N 054 G003200 Y 054 H003200 N 054 I003200 N 054 J003200 Y 054 K003200 N 054 L003200 N 054 M003200 Y 054 N003200 N 054 O003200 Y 054 A003500 Y 054 B003500 Y 054 C003500 N 054 D003500 N 054 E003500 N 054 F003500 N 054 G003500 Y 054 H003500 N 054 I003500 N 054 J003500 Y 054 K003500 N 054 L003500 N 054 M003500 Y 054 N003500 N 054 O003500 Y 054 A003900 Y 054 B003900 Y 054 C003900 N 054 D003900 N 054 E003900 N 054 F003900 N 054 G003900 Y 054 H003900 N 054 I003900 N 054 J003900 Y 054 K003900 N 054 L003900 N 054 M003900 Y 054 N003900 N 054 O003900 Y 054 A004100 Y 054 B004100 Y 054 C004100 N PAGE 57 054 D004100 N 054 E004100 N 054 F004100 N 054 G004100 Y 054 H004100 N 054 I004100 N 054 J004100 Y 054 K004100 N 054 L004100 N 054 M004100 Y 054 N004100 N 054 O004100 Y 054 A006200 Y 054 B006200 Y 054 C006200 N 054 D006200 N 054 E006200 N 054 F006200 N 054 G006200 Y 054 H006200 N 054 I006200 N 054 J006200 Y 054 K006200 N 054 L006200 N 054 M006200 Y 054 N006200 N 054 O006200 Y 054 A006700 Y 054 B006700 Y 054 C006700 N 054 D006700 N 054 E006700 N 054 F006700 N 054 G006700 Y 054 H006700 N 054 I006700 N 054 J006700 Y 054 K006700 N 054 L006700 N 054 M006700 Y 054 N006700 N 054 O006700 Y 055 A000100 N 055 B000100 N 055 A000700 N 055 B000700 N 055 A001300 N 055 B001300 N 055 A001400 N 055 B001400 N 055 A001500 N PAGE 58 055 B001500 N 055 A001900 N 055 B001900 N 055 A002200 Y 055 B002200 N 055 A002400 N 055 B002400 N 055 A002600 N 055 B002600 N 055 A002700 N 055 B002700 N 055 A002900 Y 055 B002900 N 055 A003000 N 055 B003000 N 055 A003200 N 055 B003200 N 055 A003500 Y 055 B003500 Y 055 A003900 Y 055 B003900 N 055 A004100 Y 055 B004100 Y 055 A006200 N 055 B006200 N 055 A006700 N 055 B006700 N 056 000100 Y 056 000700 Y 056 001300 Y 056 001400 Y 056 001500 Y 056 001900 Y 056 002200 Y 056 002400 Y 056 002600 Y 056 002700 Y 056 002900 Y 056 003000 Y 056 003200 Y 056 003500 Y 056 003900 Y 056 004100 Y 056 006200 Y 056 006700 Y 057 000100 N 057 000700 N 057 001300 N 057 001400 N 057 001500 N 057 001900 N PAGE 59 057 002200 N 057 002400 N 057 002600 N 057 002700 N 057 002900 N 057 003000 N 057 003200 N 057 003500 N 057 003900 N 057 004100 N 057 006200 N 057 006700 N 058 A000100 N 058 A000700 Y 058 A001300 N 058 A001400 N 058 A001500 N 058 A001900 N 058 A002200 N 058 A002400 N 058 A002600 N 058 A002700 N 058 A002900 N 058 A003000 N 058 A003200 N 058 A003500 N 058 A003900 N 058 A004100 N 058 A006200 N 058 A006700 N 059 000100 Y 059 000700 Y 059 001300 Y 059 001400 Y 059 001500 Y 059 001900 Y 059 002200 Y 059 002400 Y 059 002600 Y 059 002700 Y 059 002900 Y 059 003000 Y 059 003200 Y 059 003500 Y 059 003900 Y 059 004100 Y 059 006200 Y 059 006700 Y 060 A000100 Y 060 B000100 Y 060 A000700 Y PAGE 60 060 B000700 Y 060 A001300 Y 060 B001300 Y 060 A001400 Y 060 B001400 Y 060 A001500 Y 060 B001500 Y 060 A001900 Y 060 B001900 Y 060 A002200 Y 060 B002200 Y 060 A002400 Y 060 B002400 Y 060 A002600 Y 060 B002600 Y 060 A002700 N 060 B002700 N 060 A002900 Y 060 B002900 Y 060 A003000 Y 060 B003000 Y 060 A003200 Y 060 B003200 Y 060 A003500 Y 060 B003500 Y 060 A003900 Y 060 B003900 Y 060 A004100 Y 060 B004100 Y 060 A006200 Y 060 B006200 Y 060 A006700 Y 060 B006700 Y 061 000100 2500 061 000700 2500 061 001300 2500 061 001400 2500 061 001500 2500 061 001900 2500 061 002200 0 061 002400 0 061 002600 2500 061 002700 2500 061 002900 2500 061 003000 2500 061 003200 2500 061 003500 2500 061 003900 2500 061 004100 2500 061 006200 2500 061 006700 2500 PAGE 61 062 A000100 Y 062 B000100 0.0 062 C000100 0.0 062 D000100 5.1 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 91.6 062 Q000100 0.0 062 R000100 0.4 062 A000700 N 062 B000700 0.0 062 C000700 0.0 062 D000700 0.0 062 E000700 0.0 062 F000700 0.0 062 G000700 0.0 062 H000700 0.0 062 I000700 0.0 062 J000700 0.0 062 K000700 0.0 062 L000700 0.0 062 M000700 0.0 062 N000700 0.0 062 O000700 0.0 062 P000700 0.0 062 Q000700 0.0 062 R000700 0.0 062 A001300 N 062 B001300 0.0 062 C001300 0.0 062 D001300 0.0 062 E001300 0.0 062 F001300 0.0 062 G001300 0.0 062 H001300 0.0 062 I001300 0.0 062 J001300 0.0 062 K001300 0.0 062 L001300 0.0 062 M001300 0.0 062 N001300 0.0 062 O001300 0.0 PAGE 62 062 P001300 0.0 062 Q001300 0.0 062 R001300 0.0 062 A001400 N 062 B001400 0.0 062 C001400 0.0 062 D001400 0.0 062 E001400 0.0 062 F001400 0.0 062 G001400 0.0 062 H001400 0.0 062 I001400 0.0 062 J001400 0.0 062 K001400 0.0 062 L001400 0.0 062 M001400 0.0 062 N001400 0.0 062 O001400 0.0 062 P001400 0.0 062 Q001400 0.0 062 R001400 0.0 062 A001500 N 062 B001500 0.0 062 C001500 0.0 062 D001500 0.0 062 E001500 0.0 062 F001500 0.0 062 G001500 0.0 062 H001500 0.0 062 I001500 0.0 062 J001500 0.0 062 K001500 0.0 062 L001500 0.0 062 M001500 0.0 062 N001500 0.0 062 O001500 0.0 062 P001500 0.0 062 Q001500 0.0 062 R001500 0.0 062 A001900 Y 062 B001900 0.0 062 C001900 0.0 062 D001900 0.0 062 E001900 0.0 062 F001900 0.0 062 G001900 0.0 062 H001900 0.0 062 I001900 0.0 062 J001900 0.0 062 K001900 0.0 062 L001900 0.0 PAGE 63 062 M001900 0.0 062 N001900 0.0 062 O001900 95.8 062 P001900 0.0 062 Q001900 0.7 062 R001900 3.6 062 A002200 Y 062 B002200 0.0 062 C002200 0.0 062 D002200 2.0 062 E002200 0.0 062 F002200 0.0 062 G002200 0.0 062 H002200 0.0 062 I002200 0.0 062 J002200 0.0 062 K002200 0.0 062 L002200 0.0 062 M002200 3.1 062 N002200 0.0 062 O002200 0.6 062 P002200 88.4 062 Q002200 4.4 062 R002200 0.0 062 A002400 Y 062 B002400 0.0 062 C002400 0.0 062 D002400 4.0 062 E002400 0.0 062 F002400 0.0 062 G002400 0.0 062 H002400 0.0 062 I002400 0.0 062 J002400 0.0 062 K002400 0.0 062 L002400 0.0 062 M002400 0.3 062 N002400 65.9 062 O002400 0.0 062 P002400 0.0 062 Q002400 30.1 062 R002400 0.0 062 A002600 Y 062 B002600 0.0 062 C002600 0.0 062 D002600 0.0 062 E002600 0.0 062 F002600 0.0 062 G002600 0.0 062 H002600 0.0 062 I002600 0.0 PAGE 64 062 J002600 0.0 062 K002600 0.0 062 L002600 0.0 062 M002600 0.0 062 N002600 0.0 062 O002600 97.9 062 P002600 0.0 062 Q002600 0.0 062 R002600 1.2 062 A002700 Y 062 B002700 0.0 062 C002700 0.0 062 D002700 0.0 062 E002700 0.0 062 F002700 0.0 062 G002700 0.0 062 H002700 0.0 062 I002700 0.0 062 J002700 0.0 062 K002700 0.0 062 L002700 0.0 062 M002700 0.0 062 N002700 0.0 062 O002700 96.5 062 P002700 0.0 062 Q002700 0.0 062 R002700 2.5 062 A002900 Y 062 B002900 0.0 062 C002900 0.0 062 D002900 0.0 062 E002900 0.0 062 F002900 0.0 062 G002900 0.0 062 H002900 0.0 062 I002900 0.0 062 J002900 0.0 062 K002900 0.0 062 L002900 0.0 062 M002900 0.0 062 N002900 0.0 062 O002900 98.0 062 P002900 0.0 062 Q002900 0.0 062 R002900 1.1 062 A003000 Y 062 B003000 0.0 062 C003000 0.0 062 D003000 0.0 062 E003000 0.0 062 F003000 0.0 PAGE 65 062 G003000 0.0 062 H003000 0.0 062 I003000 0.0 062 J003000 0.0 062 K003000 0.0 062 L003000 0.0 062 M003000 0.0 062 N003000 0.0 062 O003000 98.7 062 P003000 0.0 062 Q003000 0.0 062 R003000 0.0 062 A003200 Y 062 B003200 0.0 062 C003200 0.0 062 D003200 0.0 062 E003200 0.0 062 F003200 0.0 062 G003200 0.0 062 H003200 0.0 062 I003200 0.0 062 J003200 0.0 062 K003200 0.0 062 L003200 0.0 062 M003200 0.0 062 N003200 0.0 062 O003200 98.4 062 P003200 0.0 062 Q003200 0.0 062 R003200 0.4 062 A003500 Y 062 B003500 0.0 062 C003500 0.0 062 D003500 0.0 062 E003500 0.0 062 F003500 0.0 062 G003500 0.0 062 H003500 0.0 062 I003500 0.0 062 J003500 0.0 062 K003500 0.0 062 L003500 0.0 062 M003500 0.0 062 N003500 0.0 062 O003500 97.9 062 P003500 0.0 062 Q003500 0.0 062 R003500 0.3 062 A003900 Y 062 B003900 0.0 062 C003900 0.0 PAGE 66 062 D003900 2.8 062 E003900 0.0 062 F003900 0.0 062 G003900 0.0 062 H003900 0.0 062 I003900 0.0 062 J003900 0.0 062 K003900 0.0 062 L003900 0.0 062 M003900 13.9 062 N003900 25.5 062 O003900 0.0 062 P003900 28.5 062 Q003900 29.0 062 R003900 0.0 062 A004100 Y 062 B004100 0.0 062 C004100 0.0 062 D004100 1.9 062 E004100 0.0 062 F004100 0.0 062 G004100 0.0 062 H004100 0.0 062 I004100 0.0 062 J004100 0.0 062 K004100 0.0 062 L004100 0.0 062 M004100 4.1 062 N004100 24.7 062 O004100 0.9 062 P004100 40.1 062 Q004100 30.8 062 R004100 0.5 062 A006200 N 062 B006200 0.0 062 C006200 0.0 062 D006200 0.0 062 E006200 0.0 062 F006200 0.0 062 G006200 0.0 062 H006200 0.0 062 I006200 0.0 062 J006200 0.0 062 K006200 0.0 062 L006200 0.0 062 M006200 0.0 062 N006200 0.0 062 O006200 0.0 062 P006200 0.0 062 Q006200 0.0 062 R006200 0.0 PAGE 67 062 A006700 N 062 B006700 0.0 062 C006700 0.0 062 D006700 0.0 062 E006700 0.0 062 F006700 0.0 062 G006700 0.0 062 H006700 0.0 062 I006700 0.0 062 J006700 0.0 062 K006700 0.0 062 L006700 0.0 062 M006700 0.0 062 N006700 0.0 062 O006700 0.0 062 P006700 0.0 062 Q006700 0.0 062 R006700 0.0 063 A000100 0 063 B000100 5.4 063 A000700 0 063 B000700 0.0 063 A001300 0 063 B001300 0.0 063 A001400 0 063 B001400 0.0 063 A001500 0 063 B001500 0.0 063 A001900 0 063 B001900 8.5 063 A002200 0 063 B002200 11.2 063 A002400 0 063 B002400 4.2 063 A002600 0 063 B002600 8.3 063 A002700 0 063 B002700 8.2 063 A002900 0 063 B002900 8.6 063 A003000 0 063 B003000 7.9 063 A003200 0 063 B003200 8.5 063 A003500 0 063 B003500 2.0 063 A003900 0 063 B003900 2.0 063 A004100 0 063 B004100 9.4 063 A006200 0 PAGE 68 063 B006200 0.0 063 A006700 0 063 B006700 0.0 064 A000100 N 064 B000100 Y 064 A001900 Y 064 B001900 N 064 A002200 N 064 B002200 Y 064 A002400 N 064 B002400 N 064 A002600 Y 064 B002600 N 064 A002700 Y 064 B002700 N 064 A002900 Y 064 B002900 N 064 A003000 Y 064 B003000 N 064 A003200 Y 064 B003200 N 064 A003500 Y 064 B003500 N 064 A003900 N 064 B003900 Y 064 A004100 N 064 B004100 Y 065 000100 N 065 002200 N 065 003900 N 065 004100 N 066 A000100 N 066 A000700 Y 066 B000700 N 066 C000700 N 066 D000700 N 066 E000700 N 066 F000700 N 066 G000700 Y 066 A001300 Y 066 B001300 N 066 C001300 N 066 D001300 N 066 E001300 N 066 F001300 N 066 G001300 Y 066 A001400 Y 066 B001400 N 066 C001400 Y 066 D001400 N 066 E001400 N PAGE 69 066 F001400 N 066 G001400 N 066 A001500 Y 066 B001500 N 066 C001500 N 066 D001500 N 066 E001500 N 066 F001500 N 066 G001500 Y 066 A001900 N 066 A002200 N 066 A002400 N 066 A002600 N 066 A002700 N 066 A002900 N 066 A003000 N 066 A003200 N 066 A003500 N 066 A003900 N 066 A004100 N 066 A006200 Y 066 B006200 N 066 C006200 N 066 D006200 N 066 E006200 N 066 F006200 Y 066 G006200 N 066 A006700 Y 066 B006700 N 066 C006700 Y 066 D006700 N 066 E006700 N 066 F006700 N 066 G006700 N 067 000100 N 067 000700 Y 067 001300 N 067 001400 N 067 001500 N 067 001900 N 067 002200 N 067 002400 N 067 002600 N 067 002700 N 067 002900 N 067 003000 N 067 003200 N 067 003500 N 067 003900 N 067 004100 N 067 006200 N PAGE 70 067 006700 N 068 A000100 N 068 B000100 N 068 A000700 N 068 B000700 N 068 A001300 N 068 B001300 N 068 A001400 N 068 B001400 N 068 A001500 N 068 B001500 N 068 A001900 N 068 B001900 N 068 A002200 N 068 B002200 N 068 A002400 N 068 B002400 N 068 A002600 N 068 B002600 N 068 A002700 N 068 B002700 N 068 A002900 N 068 B002900 N 068 A003000 N 068 B003000 N 068 A003200 N 068 B003200 N 068 A003500 N 068 B003500 N 068 A003900 N 068 B003900 N 068 A004100 N 068 B004100 N 068 A006200 N 068 B006200 N 068 A006700 N 068 B006700 N 069 000100 N 069 000700 N 069 001300 N 069 001400 N 069 001500 N 069 001900 N 069 002200 N 069 002400 N 069 002600 N 069 002700 N 069 002900 N 069 003000 N 069 003200 N 069 003500 N PAGE 71 069 003900 N 069 004100 N 069 006200 N 069 006700 N 070 A010100 Y 070 A020100 Y 070 B010100 Y 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 Y 070 F020100 N 070 G010100 Y 070 G020100 N 070 H010100 Y 070 H020100 N 070 I010100 Y 070 I020100 N 070 J010100 Y 070 J020100 Y 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 Y 070 N010100 Y 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 Y 070 Q020100 N 070 R010100 Y 070 R020100 N 070 A010700 Y 070 A020700 Y 070 B010700 Y 070 B020700 N 070 C010700 Y 070 C020700 N 070 D010700 Y 070 D020700 N 070 E010700 Y 070 E020700 Y 070 F010700 Y PAGE 72 070 F020700 N 070 G010700 Y 070 G020700 N 070 H010700 Y 070 H020700 N 070 I010700 Y 070 I020700 N 070 J010700 Y 070 J020700 Y 070 K010700 Y 070 K020700 N 070 L010700 Y 070 L020700 N 070 M010700 Y 070 M020700 N 070 N010700 Y 070 N020700 N 070 O010700 Y 070 O020700 N 070 P010700 Y 070 P020700 N 070 Q010700 Y 070 Q020700 N 070 R010700 Y 070 R020700 N 070 A011300 Y 070 A021300 N 070 B011300 Y 070 B021300 N 070 C011300 Y 070 C021300 N 070 D011300 Y 070 D021300 N 070 E011300 Y 070 E021300 N 070 F011300 Y 070 F021300 N 070 G011300 Y 070 G021300 N 070 H011300 Y 070 H021300 N 070 I011300 Y 070 I021300 N 070 J011300 Y 070 J021300 N 070 K011300 Y 070 K021300 Y 070 L011300 Y 070 L021300 N 070 M011300 Y 070 M021300 N PAGE 73 070 N011300 Y 070 N021300 N 070 O011300 Y 070 O021300 N 070 P011300 Y 070 P021300 N 070 Q011300 Y 070 Q021300 N 070 R011300 Y 070 R021300 N 070 A011400 Y 070 A021400 N 070 B011400 Y 070 B021400 N 070 C011400 Y 070 C021400 N 070 D011400 Y 070 D021400 N 070 E011400 Y 070 E021400 N 070 F011400 Y 070 F021400 N 070 G011400 Y 070 G021400 N 070 H011400 Y 070 H021400 N 070 I011400 Y 070 I021400 N 070 J011400 Y 070 J021400 N 070 K011400 Y 070 K021400 Y 070 L011400 Y 070 L021400 N 070 M011400 Y 070 M021400 N 070 N011400 Y 070 N021400 N 070 O011400 Y 070 O021400 N 070 P011400 Y 070 P021400 N 070 Q011400 Y 070 Q021400 N 070 R011400 Y 070 R021400 N 070 A011500 Y 070 A021500 N 070 B011500 Y 070 B021500 N 070 C011500 Y PAGE 74 070 C021500 N 070 D011500 Y 070 D021500 N 070 E011500 Y 070 E021500 N 070 F011500 Y 070 F021500 N 070 G011500 Y 070 G021500 N 070 H011500 Y 070 H021500 N 070 I011500 Y 070 I021500 N 070 J011500 Y 070 J021500 N 070 K011500 Y 070 K021500 Y 070 L011500 Y 070 L021500 N 070 M011500 Y 070 M021500 N 070 N011500 Y 070 N021500 N 070 O011500 Y 070 O021500 N 070 P011500 Y 070 P021500 N 070 Q011500 Y 070 Q021500 N 070 R011500 Y 070 R021500 N 070 A011900 Y 070 A021900 N 070 B011900 Y 070 B021900 N 070 C011900 Y 070 C021900 N 070 D011900 Y 070 D021900 N 070 E011900 Y 070 E021900 N 070 F011900 Y 070 F021900 N 070 G011900 Y 070 G021900 N 070 H011900 Y 070 H021900 N 070 I011900 Y 070 I021900 N 070 J011900 Y 070 J021900 N PAGE 75 070 K011900 Y 070 K021900 Y 070 L011900 Y 070 L021900 N 070 M011900 Y 070 M021900 N 070 N011900 Y 070 N021900 N 070 O011900 Y 070 O021900 N 070 P011900 Y 070 P021900 N 070 Q011900 Y 070 Q021900 N 070 R011900 Y 070 R021900 N 070 A012200 Y 070 A022200 Y 070 B012200 Y 070 B022200 N 070 C012200 Y 070 C022200 N 070 D012200 Y 070 D022200 N 070 E012200 Y 070 E022200 Y 070 F012200 Y 070 F022200 N 070 G012200 Y 070 G022200 N 070 H012200 Y 070 H022200 N 070 I012200 Y 070 I022200 N 070 J012200 Y 070 J022200 Y 070 K012200 Y 070 K022200 N 070 L012200 Y 070 L022200 Y 070 M012200 Y 070 M022200 N 070 N012200 Y 070 N022200 Y 070 O012200 Y 070 O022200 N 070 P012200 Y 070 P022200 N 070 Q012200 Y 070 Q022200 N 070 R012200 Y PAGE 76 070 R022200 N 070 A012400 Y 070 A022400 Y 070 B012400 Y 070 B022400 N 070 C012400 Y 070 C022400 N 070 D012400 Y 070 D022400 N 070 E012400 Y 070 E022400 N 070 F012400 Y 070 F022400 N 070 G012400 Y 070 G022400 N 070 H012400 Y 070 H022400 N 070 I012400 Y 070 I022400 N 070 J012400 Y 070 J022400 Y 070 K012400 Y 070 K022400 N 070 L012400 Y 070 L022400 N 070 M012400 Y 070 M022400 N 070 N012400 Y 070 N022400 N 070 O012400 Y 070 O022400 N 070 P012400 Y 070 P022400 N 070 Q012400 Y 070 Q022400 N 070 R012400 Y 070 R022400 N 070 A012600 Y 070 A022600 N 070 B012600 Y 070 B022600 N 070 C012600 Y 070 C022600 N 070 D012600 Y 070 D022600 N 070 E012600 Y 070 E022600 N 070 F012600 Y 070 F022600 N 070 G012600 Y 070 G022600 N PAGE 77 070 H012600 Y 070 H022600 N 070 I012600 Y 070 I022600 N 070 J012600 Y 070 J022600 N 070 K012600 Y 070 K022600 Y 070 L012600 Y 070 L022600 N 070 M012600 Y 070 M022600 N 070 N012600 Y 070 N022600 N 070 O012600 Y 070 O022600 N 070 P012600 Y 070 P022600 N 070 Q012600 Y 070 Q022600 N 070 R012600 Y 070 R022600 N 070 A012700 Y 070 A022700 N 070 B012700 Y 070 B022700 N 070 C012700 Y 070 C022700 N 070 D012700 Y 070 D022700 N 070 E012700 Y 070 E022700 N 070 F012700 Y 070 F022700 N 070 G012700 Y 070 G022700 N 070 H012700 Y 070 H022700 N 070 I012700 Y 070 I022700 N 070 J012700 Y 070 J022700 N 070 K012700 Y 070 K022700 Y 070 L012700 Y 070 L022700 N 070 M012700 Y 070 M022700 N 070 N012700 Y 070 N022700 N 070 O012700 Y PAGE 78 070 O022700 N 070 P012700 Y 070 P022700 N 070 Q012700 Y 070 Q022700 N 070 R012700 Y 070 R022700 N 070 A012900 Y 070 A022900 N 070 B012900 Y 070 B022900 N 070 C012900 Y 070 C022900 N 070 D012900 Y 070 D022900 N 070 E012900 Y 070 E022900 N 070 F012900 Y 070 F022900 N 070 G012900 Y 070 G022900 N 070 H012900 Y 070 H022900 N 070 I012900 Y 070 I022900 N 070 J012900 Y 070 J022900 N 070 K012900 Y 070 K022900 Y 070 L012900 Y 070 L022900 N 070 M012900 Y 070 M022900 N 070 N012900 Y 070 N022900 N 070 O012900 Y 070 O022900 N 070 P012900 Y 070 P022900 N 070 Q012900 Y 070 Q022900 N 070 R012900 Y 070 R022900 N 070 A013000 Y 070 A023000 N 070 B013000 Y 070 B023000 N 070 C013000 Y 070 C023000 N 070 D013000 Y 070 D023000 N PAGE 79 070 E013000 Y 070 E023000 N 070 F013000 Y 070 F023000 N 070 G013000 Y 070 G023000 N 070 H013000 Y 070 H023000 N 070 I013000 Y 070 I023000 N 070 J013000 Y 070 J023000 N 070 K013000 Y 070 K023000 Y 070 L013000 Y 070 L023000 N 070 M013000 Y 070 M023000 N 070 N013000 Y 070 N023000 N 070 O013000 Y 070 O023000 N 070 P013000 Y 070 P023000 N 070 Q013000 Y 070 Q023000 N 070 R013000 Y 070 R023000 N 070 A013200 Y 070 A023200 N 070 B013200 Y 070 B023200 N 070 C013200 Y 070 C023200 N 070 D013200 Y 070 D023200 N 070 E013200 Y 070 E023200 N 070 F013200 Y 070 F023200 N 070 G013200 Y 070 G023200 N 070 H013200 Y 070 H023200 N 070 I013200 Y 070 I023200 N 070 J013200 Y 070 J023200 N 070 K013200 Y 070 K023200 Y 070 L013200 Y PAGE 80 070 L023200 N 070 M013200 Y 070 M023200 N 070 N013200 Y 070 N023200 N 070 O013200 Y 070 O023200 N 070 P013200 Y 070 P023200 N 070 Q013200 Y 070 Q023200 N 070 R013200 Y 070 R023200 N 070 A013500 Y 070 A023500 N 070 B013500 Y 070 B023500 N 070 C013500 Y 070 C023500 N 070 D013500 Y 070 D023500 N 070 E013500 Y 070 E023500 N 070 F013500 Y 070 F023500 N 070 G013500 Y 070 G023500 N 070 H013500 Y 070 H023500 N 070 I013500 Y 070 I023500 N 070 J013500 Y 070 J023500 N 070 K013500 Y 070 K023500 Y 070 L013500 Y 070 L023500 N 070 M013500 Y 070 M023500 N 070 N013500 Y 070 N023500 N 070 O013500 Y 070 O023500 Y 070 P013500 Y 070 P023500 N 070 Q013500 Y 070 Q023500 N 070 R013500 Y 070 R023500 N 070 A013900 Y 070 A023900 Y PAGE 81 070 B013900 Y 070 B023900 N 070 C013900 Y 070 C023900 N 070 D013900 Y 070 D023900 N 070 E013900 Y 070 E023900 Y 070 F013900 Y 070 F023900 N 070 G013900 Y 070 G023900 N 070 H013900 Y 070 H023900 N 070 I013900 Y 070 I023900 N 070 J013900 Y 070 J023900 Y 070 K013900 Y 070 K023900 N 070 L013900 Y 070 L023900 Y 070 M013900 Y 070 M023900 N 070 N013900 Y 070 N023900 Y 070 O013900 Y 070 O023900 N 070 P013900 Y 070 P023900 N 070 Q013900 Y 070 Q023900 N 070 R013900 Y 070 R023900 N 070 A014100 Y 070 A024100 Y 070 B014100 Y 070 B024100 N 070 C014100 Y 070 C024100 N 070 D014100 Y 070 D024100 N 070 E014100 Y 070 E024100 Y 070 F014100 Y 070 F024100 N 070 G014100 Y 070 G024100 N 070 H014100 Y 070 H024100 N 070 I014100 Y PAGE 82 070 I024100 N 070 J014100 Y 070 J024100 Y 070 K014100 Y 070 K024100 N 070 L014100 Y 070 L024100 Y 070 M014100 Y 070 M024100 Y 070 N014100 Y 070 N024100 Y 070 O014100 Y 070 O024100 Y 070 P014100 Y 070 P024100 Y 070 Q014100 Y 070 Q024100 N 070 R014100 Y 070 R024100 N 070 A016200 Y 070 A026200 N 070 B016200 Y 070 B026200 N 070 C016200 Y 070 C026200 N 070 D016200 Y 070 D026200 N 070 E016200 Y 070 E026200 N 070 F016200 Y 070 F026200 N 070 G016200 Y 070 G026200 N 070 H016200 Y 070 H026200 N 070 I016200 Y 070 I026200 N 070 J016200 Y 070 J026200 N 070 K016200 Y 070 K026200 Y 070 L016200 Y 070 L026200 N 070 M016200 Y 070 M026200 N 070 N016200 Y 070 N026200 N 070 O016200 Y 070 O026200 N 070 P016200 Y 070 P026200 N PAGE 83 070 Q016200 Y 070 Q026200 N 070 R016200 Y 070 R026200 N 070 A016700 Y 070 A026700 N 070 B016700 Y 070 B026700 N 070 C016700 Y 070 C026700 N 070 D016700 Y 070 D026700 N 070 E016700 Y 070 E026700 N 070 F016700 Y 070 F026700 N 070 G016700 Y 070 G026700 N 070 H016700 Y 070 H026700 N 070 I016700 Y 070 I026700 N 070 J016700 Y 070 J026700 N 070 K016700 Y 070 K026700 Y 070 L016700 Y 070 L026700 N 070 M016700 Y 070 M026700 N 070 N016700 Y 070 N026700 N 070 O016700 Y 070 O026700 N 070 P016700 Y 070 P026700 N 070 Q016700 Y 070 Q026700 N 070 R016700 Y 070 R026700 N 071 A000100 285334 071 B000100 306665 071 C000100 688721 071 D000100 41 071 A000700 73366 071 B000700 73510 071 C000700 91293 071 D000700 80 071 A001300 46658 071 B001300 56320 071 C001300 137976 PAGE 84 071 D001300 34 071 A001400 66948 071 B001400 92239 071 C001400 347169 071 D001400 19 071 A001500 143950 071 B001500 186312 071 C001500 533061 071 D001500 27 071 A001900 61704 071 B001900 52763 071 C001900 212855 071 D001900 25 071 A002200 31539 071 B002200 31829 071 C002200 21609 071 D002200 146 071 A002400 59653 071 B002400 64017 071 C002400 40981 071 D002400 146 071 A002600 48737 071 B002600 36785 071 C002600 317032 071 D002600 12 071 A002700 41605 071 B002700 34897 071 C002700 152052 071 D002700 23 071 A002900 34427 071 B002900 27707 071 C002900 125980 071 D002900 22 071 A003000 30145 071 B003000 37855 071 C003000 191804 071 D003000 16 071 A003200 55306 071 B003200 28755 071 C003200 191190 071 D003200 15 071 A003500 2387901 071 B003500 1208859 071 C003500 1957246 071 D003500 62 071 A003900 2691494 071 B003900 1698432 071 C003900 1876495 071 D003900 91 071 A004100 2095597 071 B004100 2147600 PAGE 85 071 C004100 1268050 071 D004100 165 071 A006200 10784 071 B006200 14488 071 C006200 30811 071 D006200 35 071 A006700 3295 071 B006700 39803 071 C006700 141037 071 D006700 2 072 A000100 12 072 B000100 64668 072 C000100 526 072 D000100 0 072 E000100 0 072 F000100 4107 072 G000100 1611 072 H000100 0 072 I000100 903 072 J000100 26 072 K000100 0 072 L000100 111 072 M000100 43 072 N000100 67 072 O000100 0 072 P000100 0 072 Q000100 169 072 R000100 45 072 S000100 51 072 T000100 848 072 U000100 0 072 V000100 0 072 W000100 22 072 X000100 8003 072 Y000100 0 072 Z000100 57191 072AA000100 0 072BB000100 44352 072CC010100 244111 072CC020100 0 072DD010100 7623 072DD020100 50916 072EE000100 0 072 A000700 12 072 B000700 1822 072 C000700 1278 072 D000700 0 072 E000700 0 072 F000700 555 072 G000700 56 072 H000700 0 PAGE 86 072 I000700 122 072 J000700 24 072 K000700 0 072 L000700 58 072 M000700 43 072 N000700 43 072 O000700 0 072 P000700 0 072 Q000700 70 072 R000700 34 072 S000700 56 072 T000700 200 072 U000700 0 072 V000700 0 072 W000700 7 072 X000700 1268 072 Y000700 177 072 Z000700 2009 072AA000700 0 072BB000700 446 072CC010700 25739 072CC020700 0 072DD010700 1489 072DD020700 573 072EE000700 0 072 A001300 12 072 B001300 0 072 C001300 5210 072 D001300 0 072 E001300 0 072 F001300 346 072 G001300 0 072 H001300 0 072 I001300 0 072 J001300 0 072 K001300 0 072 L001300 0 072 M001300 0 072 N001300 0 072 O001300 0 072 P001300 0 072 Q001300 0 072 R001300 0 072 S001300 0 072 T001300 785 072 U001300 0 072 V001300 0 072 W001300 0 072 X001300 1131 072 Y001300 0 072 Z001300 4079 PAGE 87 072AA001300 0 072BB001300 1712 072CC011300 31464 072CC021300 0 072DD011300 1774 072DD021300 2249 072EE001300 0 072 A001400 12 072 B001400 0 072 C001400 3651 072 D001400 0 072 E001400 0 072 F001400 879 072 G001400 0 072 H001400 0 072 I001400 0 072 J001400 0 072 K001400 0 072 L001400 0 072 M001400 0 072 N001400 0 072 O001400 0 072 P001400 0 072 Q001400 0 072 R001400 0 072 S001400 0 072 T001400 1922 072 U001400 0 072 V001400 0 072 W001400 0 072 X001400 2801 072 Y001400 0 072 Z001400 850 072AA001400 0 072BB001400 15019 072CC011400 158467 072CC021400 0 072DD011400 355 072DD021400 228 072EE001400 0 072 A001500 12 072 B001500 0 072 C001500 15855 072 D001500 0 072 E001500 0 072 F001500 1344 072 G001500 0 072 H001500 0 072 I001500 0 072 J001500 0 072 K001500 0 PAGE 88 072 L001500 0 072 M001500 0 072 N001500 0 072 O001500 0 072 P001500 0 072 Q001500 0 072 R001500 0 072 S001500 0 072 T001500 3157 072 U001500 0 072 V001500 0 072 W001500 0 072 X001500 4501 072 Y001500 0 072 Z001500 11354 072AA001500 0 072BB001500 22054 072CC011500 191544 072CC021500 0 072DD011500 5328 072DD021500 5919 072EE001500 0 072 A001900 12 072 B001900 8984 072 C001900 13 072 D001900 0 072 E001900 0 072 F001900 878 072 G001900 258 072 H001900 0 072 I001900 17 072 J001900 11 072 K001900 0 072 L001900 25 072 M001900 41 072 N001900 0 072 O001900 0 072 P001900 0 072 Q001900 90 072 R001900 38 072 S001900 56 072 T001900 61 072 U001900 0 072 V001900 0 072 W001900 8 072 X001900 1483 072 Y001900 250 072 Z001900 7764 072AA001900 0 072BB001900 604 072CC011900 9109 PAGE 89 072CC021900 0 072DD011900 578 072DD021900 7186 072EE001900 162 072 A002200 12 072 B002200 1346 072 C002200 0 072 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K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 Y 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 ICI MUTUAL INSURANCE COMPANY 080 B00AA00 N/A 080 C00AA00 75000 081 A00AA00 Y 081 B00AA00 134 082 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 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE SCOTT PLUMMER TITLE VICE PRESIDENT-CHIEF COUNSEL EX-99 2 exh.txt COLUMBIA FUNDS SERIES TRUST - ANNUAL N-SAR REPORT FOR THE PERIOD ENDING 3/31/10 Columbia LifeGoal Growth Portfolio Columbia LifeGoal Balanced Growth Portfolio Columbia LifeGoal Income and Growth Portfolio Columbia LifeGoal Income Portfolio Columbia Masters International Equity Portfolio Columbia California Intermediate Municipal Bond Fund Columbia Georgia Intermediate Municipal Bond Fund Columbia Maryland Intermediate Municipal Bond Fund Columbia North Carolina Intermediate Municipal Bond Fund Columbia South Carolina Intermediate Municipal Bond Fund Columbia Virginia Intermediate Municipal Bond Fund Columbia Asset Allocation Fund II Columbia High Income Fund Corporate Bond Portfolio Mortgage- and Asset-Backed Portfolio Columbia Short Term Bond Fund Columbia Total Return Bond Fund Columbia Short Term Municipal Bond Fund (each a "Fund", collectively the "Funds") 77B Report of Independent Registered Public Accounting Firm To the Trustees and Shareholders of Columbia Funds Series Trust In planning and performing our audit of the financial statements of Columbia Short Term Municipal Bond Fund, Columbia Georgia Intermediate Municipal Bond Fund, Columbia Maryland Intermediate Municipal Bond Fund, Columbia North Carolina Intermediate Municipal Bond Fund, Columbia South Carolina Intermediate Municipal Bond Fund, Columbia Virginia Intermediate Municipal Bond Fund, Columbia California Intermediate Municipal Bond Fund, Columbia Asset Allocation Fund II, Columbia High Income Fund, Columbia Short Term Bond Fund, Columbia Total Return Bond Fund, Corporate Bond Portfolio, Mortgage- and Asset-Backed Portfolio, Columbia LifeGoal Balanced Growth Portfolio, Columbia LifeGoal Growth Portfolio, Columbia LifeGoal Income and Growth Portfolio, Columbia LifeGoal Income Portfolio, Columbia Masters International Equity Portfolio (each a series of Columbia Funds Series Trust and hereafter collectively referred to as the "Funds") as of and for the year ended March 31, 2010, 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 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 March 31, 2010. 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 Boston, Massachusetts May 21, 2010 ITEM 77C - MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS: COLUMBIA LIFEGOAL PORTFOLIOS On March 3, 2010, a special meeting of shareholders of Columbia Funds Series Trust was held to consider the approval of several proposals listed in the proxy statement for the meeting. Proposal 1 and Proposal 2 were voted on by Columbia LifeGoal Income Portfolio shareholders at the March 3, 2010 meeting of shareholders and by Columbia LifeGoal Income and Growth Portfolio, Columbia LifeGoal Growth Portfolio and Columbia LifeGoal Balanced Growth Portfolio shareholders at an adjourned meeting of shareholders held on March 31, 2010. Proposal 3 was voted on at an adjourned meeting of shareholders held on April 26, 2010. The results of shareholder meeting are as follows: Proposal 1: A proposed Investment Management Services Agreement with Columbia Management Investment Advisers, LLC (formerly, RiverSource Investments, LLC) (CMIA) was approved for each Portfolio as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Columbia LifeGoal Growth Portfolio 20,764,875 620,729 668,782 12,707,939 Columbia LifeGoal Balanced Growth Portfolio 31,043,523 1,011,959 1,438,808 18,806,369 Columbia LifeGoal Income and Growth Portfolio 8,043,840 308,360 308,590 4,082,386 Columbia LifeGoal Income Portfolio 1,709,027 52,932 22,202 895,004
Proposal 2: A proposal authorizing CMIA to enter into and materially amend subadvisory agreements for the Portfolio in the future, with the approval of the Trust's Board of Trustees, but without obtaining additional shareholder approval, was approved for each Portfolio as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Columbia LifeGoal Growth Portfolio 20,167,052 1,245,549 641,784 12,707,940 Columbia LifeGoal Balanced Growth Portfolio 30,127,074 1,980,724 1,386,491 18,806,370 Columbia LifeGoal Income and Growth Portfolio 7,837,630 452,583 370,575 4,082,388 Columbia LifeGoal Income Portfolio 1,627,107 119,729 37,324 895,005
Proposal 3: Each of the nominees for trustees was elected to the Trust's Board of Trustees, each to hold office until he or she dies, resigns or is removed or, if sooner, until the next meeting of shareholders called for the purpose of electing trustees and until the election and qualification of his or her successor, as follows: TRUSTEE VOTES FOR VOTES WITHHELD ABSTENTIONS - ------- --------- -------------- ----------- Edward J. Boudreau, Jr. 2,680,026,424 72,649,450 0 William P. Carmichael 2,679,841,716 72,834,157 0 William A. Hawkins 2,679,847,210 72,828,663 0 R. Glenn Hilliard 2,679,699,063 72,976,810 0 John J. Nagorniak 2,680,054,075 72,621,799 0 Minor M. Shaw 2,680,402,097 72,273,776 0 Anthony M. Santomero 2,679,633,235 73,042,638 0 COLUMBIA SHORT TERM MUNICIPAL BOND FUND, COLUMBIA CALIFORNIA INTERMEDIATE MUNICIPAL BOND FUND, COLUMBIA GEORGIA INTERMEDIATE MUNICIPAL BOND FUND, COLUMBIA MARYLAND INTERMEDIATE MUNICIPAL BOND FUND, COLUMBIA NORTH CAROLINA INTERMEDIATE MUNICIPAL BOND FUND, COLUMBIA SOUTH CAROLINA INTERMEDIATE BOND FUND, COLUMBIA VIRGINIA INTERMEDIATE MUNICIPAL BOND FUND On March 3, 2010, a special meeting of shareholders of Columbia Funds Series Trust was held to consider the approval of several proposals listed in the proxy statement for the meeting. Proposal 1 and Proposal 2 were voted at the March 3, 2010 meeting of shareholders and Proposal 3 was voted on at an adjourned meeting of shareholders held on April 26, 2010. The results of shareholder meeting are as follows: Proposal 1: A proposed Investment Management Services Agreement with Columbia Management Investment Advisers, LLC (formerly, RiverSource Investments, LLC) (CMIA) was approved for each Fund as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Columbia Short Term Municipal Bond Fund 168,847,400 538,268 979,895 39,238,083 Columbia California Intermediate Municipal Bond Fund 20,417,273 317,729 22,166 1,096,908 Columbia Georgia Intermediate Municipal Bond Fund 10,953,217 7,268 91,815 1,419,609 Columbia Maryland Intermediate Municipal Bond Fund 13,081,066 58,557 12,061 1,885,896 Columbia North Carolina Intermediate Municipal Bond Fund 17,972,621 91,076 50,370 2,045,248 Columbia South Carolina Intermediate Bond Fund 16,519,687 44,451 41,819 2,589,569 Columbia Virginia Intermediate Municipal Bond Fund 27,120,102 21,088 99,287 2,923,771
Proposal 2: A proposal authorizing CMIA to enter into and materially amend subadvisory agreements for the Fund in the future, with the approval of the Trust's Board of Trustees, but without obtaining additional shareholder approval, was approved for each Fund as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Columbia Short Term Municipal Bond Fund 166,234,916 3,571,598 559,046 39,238,086 Columbia California Intermediate Municipal Bond Fund 20,227,246 493,602 36,320 1,096,908 Columbia Georgia Intermediate Municipal Bond Fund 10,795,585 164,899 91,815 1,419,610 Columbia Maryland Intermediate Municipal Bond Fund 13,011,216 109,143 31,325 1,885,896 Columbia North Carolina Intermediate Municipal Bond Fund 17,716,783 335,417 61,864 2,045,252 Columbia South Carolina Intermediate Bond Fund 16,439,684 126,391 39,882 2,589,569 Columbia Virginia Intermediate Municipal Bond Fund 26,977,238 156,922 106,315 2,923,772
Proposal 3: Each of the nominees for trustees was elected to the Trust's Board of Trustees, each to hold office until he or she dies, resigns or is removed or, if sooner, until the next meeting of shareholders called for the purpose of electing trustees and until the election and qualification of his or her successor, as follows: TRUSTEE VOTES FOR VOTES WITHHELD ABSTENTIONS - ------- --------- -------------- ----------- Edward J. Boudreau, Jr. 2,680,026,424 72,649,450 0 William P. Carmichael 2,679,841,716 72,834,157 0 William A. Hawkins 2,679,847,210 72,828,663 0 R. Glenn Hilliard 2,679,699,063 72,976,810 0 John J. Nagorniak 2,680,054,075 72,621,799 0 Minor M. Shaw 2,680,402,097 72,273,776 0 Anthony M. Santomero 2,679,633,235 73,042,638 0 COLUMBIA MASTERS INTERNATIONAL EQUITY PORTFOLIO On March 3, 2010, a special meeting of shareholders of Columbia Funds Series Trust was held to consider the approval of several proposals listed in the proxy statement for the meeting. Proposal 1 and Proposal 2 were voted on at the March 3, 2010 meeting of shareholders and Proposal 3 was voted on at an adjourned meeting of shareholders held on April 26, 2010. The results of shareholder meeting are as follows: Proposal 1: A proposed Investment Management Services Agreement with Columbia Management Investment Advisers, LLC (formerly, RiverSource Investments, LLC) (CMIA) was approved as follows: VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - --------- ------------- ----------- ---------------- 12,323,506 122,404 113,840 4,898,896 Proposal 2: A proposal authorizing CMIA to enter into and materially amend subadvisory agreements for the Fund in the future, with the approval of the Trust's Board of Trustees, but without obtaining additional shareholder approval, was approved as follows: VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - --------- ------------- ----------- ---------------- 12,150,175 291,464 118,110 4,898,897 Proposal 3: Each of the nominees for trustees was elected to the Trust's Board of Trustees, each to hold office until he or she dies, resigns or is removed or, if sooner, until the next meeting of shareholders called for the purpose of electing trustees and until the election and qualification of his or her successor, as follows: TRUSTEE VOTES FOR VOTES WITHHELD ABSTENTIONS - ------- --------- -------------- ----------- Edward J. Boudreau, Jr. 2,680,026,424 72,649,450 0 William P. Carmichael 2,679,841,716 72,834,157 0 William A. Hawkins 2,679,847,210 72,828,663 0 R. Glenn Hilliard 2,679,699,063 72,976,810 0 John J. Nagorniak 2,680,054,075 72,621,799 0 Minor M. Shaw 2,680,402,097 72,273,776 0 Anthony M. Santomero 2,679,633,235 73,042,638 0 COLUMBIA ASSET ALLOCATION FUND II On March 3, 2010, a special meeting of shareholders of Columbia Funds Series Trust was held to consider the approval of several proposals listed in the proxy statement for the meeting. Proposal 1 and Proposal 2 were voted on at the March 3, 2010 meeting of shareholders and Proposal 3 was voted on at an adjourned meeting of shareholders held on April 26, 2010. The results of shareholder meeting are as follows: Proposal 1: A proposed Investment Management Services Agreement with Columbia Management Investment Advisers, LLC (formerly, RiverSource Investments, LLC) (CMIA) was approved as follows: VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - --------- ------------- ----------- ---------------- 2,862,775 61,130 66,496 1,539,994 Proposal 2: A proposal authorizing CMIA to enter into and materially amend subadvisory agreements for the Fund in the future, with the approval of the Trust's Board of Trustees, but without obtaining additional shareholder approval, was approved as follows: VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - --------- ------------- ----------- ---------------- 2,791,435 124,668 80,297 1,539,996 Proposal 3: Each of the nominees for trustees was elected to the Trust's Board of Trustees, each to hold office until he or she dies, resigns or is removed or, if sooner, until the next meeting of shareholders called for the purpose of electing trustees and until the election and qualification of his or her successor, as follows: TRUSTEE VOTES FOR VOTES WITHHELD ABSTENTIONS - ------- --------- -------------- ----------- Edward J. Boudreau, Jr. 2,680,026,424 72,649,450 0 William P. Carmichael 2,679,841,716 72,834,157 0 William A. Hawkins 2,679,847,210 72,828,663 0 R. Glenn Hilliard 2,679,699,063 72,976,810 0 John J. Nagorniak 2,680,054,075 72,621,799 0 Minor M. Shaw 2,680,402,097 72,273,776 0 Anthony M. Santomero 2,679,633,235 73,042,638 0 COLUMBIA TOTAL RETURN BOND FUND, COLUMBIA SHORT TERM BOND FUND, COLUMBIA HIGH INCOME FUND On March 3, 2010, a special meeting of shareholders of Columbia Funds Series Trust was held to consider the approval of several proposals listed in the proxy statement for the meeting. Proposal 1 and Proposal 3 were voted at the March 3, 2010 meeting of shareholders. Proposal 2 was voted on at the March 3, 2010 meeting of shareholders by Columbia High Income Fund shareholders. Proposal 4 was voted on at an adjourned meeting of shareholders held on April 26, 2010. The results of shareholder meeting are as follows: Proposal 1: A proposed Investment Management Services Agreement with Columbia Management Investment Advisers, LLC (formerly, RiverSource Investments, LLC) (CMIA) was approved for each Fund as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Columbia Total Return Bond Fund 117,428,712 641,113 436,775 5,617,218 Columbia Short Term Bond Fund 160,192,883 1,138,152 644,390 24,692,069 Columbia High Income Fund 81,034,298 212,246 318,376 14,784,307
Proposal 2: A proposed Investment Subadvisory Agreement with MacKay Shields LLC was approved for Columbia High Income Fund as follows: VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - --------- ------------- ----------- ---------------- 81,007,709 201,248 355,961 14,784,309 Proposal 3: A proposal authorizing CMIA to enter into and materially amend subadvisory agreements for the Fund in the future, with the approval of the Trust's Board of Trustees, but without obtaining additional shareholder approval, was approved for each Fund as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Columbia Total Return Bond Fund 117,062,795 986,698 457,105 5,617,220 Columbia Short Term Bond Fund 151,427,046 9,852,428 695,942 24,692,078 Columbia High Income Fund 79,244,571 1,963,866 356,471 14,784,319
Proposal 4: Each of the nominees for trustees was elected to the Trust's Board of Trustees, each to hold office until he or she dies, resigns or is removed or, if sooner, until the next meeting of shareholders called for the purpose of electing trustees and until the election and qualification of his or her successor, as follows: TRUSTEE VOTES FOR VOTES WITHHELD ABSTENTIONS - ------- --------- -------------- ----------- Edward J. Boudreau, Jr. 2,680,026,424 72,649,450 0 William P. Carmichael 2,679,841,716 72,834,157 0 William A. Hawkins 2,679,847,210 72,828,663 0 R. Glenn Hilliard 2,679,699,063 72,976,810 0 John J. Nagorniak 2,680,054,075 72,621,799 0 Minor M. Shaw 2,680,402,097 72,273,776 0 Anthony M. Santomero 2,679,633,235 73,042,638 0 CORPORATE BOND PORTFOLIO AND MORTGAGE- AND ASSET-BACKED PORTFOLIO On March 3, 2010, a special meeting of shareholders of Columbia Funds Series Trust was held to consider the approval of several proposals listed in the proxy statement for the meeting. Proposal 1 and Proposal 2 were voted on at the March 3, 2010 meeting of shareholders and Proposal 3 was voted on at an adjourned meeting of shareholders held on April 26, 2010. The results of shareholder meeting are as follows: Proposal 1: A proposed Investment Management Services Agreement with Columbia Management Investment Advisers, LLC (formerly, RiverSource Investments, LLC) (CMIA) was approved for each Portfolio as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Corporate Bond Portfolio 2,240,031 0 0 0 Mortgage- and Asset-Backed Portfolio 4,481,459 0 0 1,214
Proposal 2: A proposal authorizing CMIA to enter into and materially amend subadvisory agreements for the Portfolio in the future, with the approval of the Trust's Board of Trustees, but without obtaining additional shareholder approval, was approved for each Portfolio as follows:
FUND VOTES FOR VOTES AGAINST ABSTENTIONS BROKER NON-VOTES - ---- --------- ------------- ----------- ---------------- Corporate Bond Portfolio 2,240,031 0 0 0 Mortgage- and Asset-Backed Portfolio 4,481,459 0 0 1,214
Proposal 4: Each of the nominees for trustees was elected to the Trust's Board of Trustees, each to hold office until he or she dies, resigns or is removed or, if sooner, until the next meeting of shareholders called for the purpose of electing trustees and until the election and qualification of his or her successor, as follows: TRUSTEE VOTES FOR VOTES WITHHELD ABSTENTIONS - ------- --------- -------------- ----------- Edward J. Boudreau, Jr. 2,680,026,424 72,649,450 0 William P. Carmichael 2,679,841,716 72,834,157 0 William A. Hawkins 2,679,847,210 72,828,663 0 R. Glenn Hilliard 2,679,699,063 72,976,810 0 John J. Nagorniak 2,680,054,075 72,621,799 0 Minor M. Shaw 2,680,402,097 72,273,776 0 Anthony M. Santomero 2,679,633,235 73,042,638 0 ITEM 77D/77Q1(b) - POLICIES WITH RESPECT TO SECURITIES INVESTMENTS: On March 31, 2010, a Form Type 497, accession number (0001193125-10- 072916), which included a supplement to the registration statement of Columbia Funds Series Trust on behalf of COLUMBIA HIGH INCOME FUND, was filed with the SEC. It is hereby incorporated by reference as part of the response to this Items 77D and 77Q1(b) of Form N-SAR. The prospectus supplement disclosed certain changes that were made to the policies with respect to security investments of the Fund. ITEM 77E - LEGAL PROCEEDINGS: Columbia Nations Funds As of May, 2010 In June 2004, an action captioned John E. Gallus et al. v. American Express Financial Corp. and American Express Financial Advisors Inc. was filed in the United States District Court for the District of Arizona. The plaintiffs allege that they are investors in several American Express Company (now known as RiverSource) mutual funds and they purport to bring the action derivatively on behalf of those funds under the Investment Company Act of 1940. The plaintiffs allege that fees allegedly paid to the defendants by the funds for investment advisory and administrative services are excessive. The plaintiffs seek remedies including restitution and rescission of investment advisory and distribution agreements. The plaintiffs voluntarily agreed to transfer this case to the United States District Court for the District of Minnesota (the District Court). In response to defendants' motion to dismiss the complaint, the District Court dismissed one of plaintiffs' four claims and granted plaintiffs limited discovery. Defendants moved for summary judgment in April 2007. Summary judgment was granted in the defendants' favor on July 9, 2007. The plaintiffs filed a notice of appeal with the Eighth Circuit Court of Appeals (the Eighth Circuit) on August 8, 2007. On April 8, 2009, the Eighth Circuit reversed summary judgment and remanded to the District Court for further proceedings. On August 6, 2009, defendants filed a writ of certiorari with the U.S. Supreme Court (the Supreme Court), asking the Supreme Court to stay the District Court proceedings while the Supreme Court considers and rules in a case captioned Jones v. Harris Associates, which involves issues of law similar to those presented in the Gallus case. On March 30, 2010, the Supreme Court issued its ruling in Jones v. Harris Associates, and on April 5, 2010, the Supreme Court vacated the Eighth Circuit's decision in the Gallus case and remanded the case to the Eighth Circuit for further consideration in light of the Supreme Court's decision in Jones v. Harris Associates. In December 2005, without admitting or denying the allegations, American Express Financial Corporation (AEFC, which is now known as Ameriprise Financial, Inc. (Ameriprise Financial)), entered into settlement agreements with the Securities and Exchange Commission (SEC) and Minnesota Department of Commerce (MDOC) related to market timing activities. As a result, AEFC was censured and ordered to cease and desist from committing or causing any violations of certain provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and various Minnesota laws. AEFC agreed to pay disgorgement of $10 million and civil money penalties of $7 million. AEFC also agreed to retain an independent distribution consultant to assist in developing a plan for distribution of all disgorgement and civil penalties ordered by the SEC in accordance with various undertakings detailed at http://www.sec.gov/litigation/admin/ia-2451.pdf. Ameriprise Financial and its affiliates have cooperated with the SEC and the MDOC in these legal proceedings, and have made regular reports to the RiverSource Funds' Boards of Directors/Trustees. On November 7, 2008, RiverSource Investments, LLC, a subsidiary of Ameriprise Financial, Inc., acquired J. & W. Seligman & Co. Incorporated (Seligman). In late 2003, Seligman conducted an extensive internal review concerning mutual fund trading practices. Seligman's review, which covered the period 2001-2003, noted one arrangement that permitted frequent trading in certain open-end registered investment companies managed by Seligman (the Seligman Funds); this arrangement was in the process of being closed down by Seligman before September 2003. Seligman identified three other arrangements that permitted frequent trading, all of which had been terminated by September 2002. In January 2004, Seligman, on a voluntary basis, publicly disclosed these four arrangements to its clients and to shareholders of the Seligman Funds. Seligman also provided information concerning mutual fund trading practices to the SEC and the Office of the Attorney General of the State of New York (NYAG). In September 2006, the NYAG commenced a civil action in New York State Supreme Court against Seligman, Seligman Advisors, Inc. (now known as RiverSource Fund Distributors, Inc.), Seligman Data Corp. and Brian T. Zino (collectively, the Seligman Parties), alleging, in substance, that the Seligman Parties permitted various persons to engage in frequent trading and, as a result, the prospectus disclosure used by the registered investment companies then managed by Seligman was and had been misleading. The NYAG included other related claims and also claimed that the fees charged by Seligman to the Seligman Funds were excessive. On March 13, 2009, without admitting or denying any violations of law or wrongdoing, the Seligman Parties entered into a stipulation of settlement with the NYAG and settled the claims made by the NYAG. Under the terms of the settlement, Seligman paid $11.3 million to four Seligman Funds. This settlement resolved all outstanding matters between the Seligman Parties and the NYAG. In addition to the foregoing matter, the New York staff of the SEC indicated in September 2005 that it was considering recommending to the Commissioners of the SEC the instituting of a formal action against Seligman and Seligman Advisors, Inc. relating to frequent trading in the Seligman Funds. Seligman responded to the staff in October 2005 that it believed that any action would be both inappropriate and unnecessary, especially in light of the fact that Seligman had previously resolved the underlying issue with the Independent Directors of the Seligman Funds and made recompense to the affected Seligman Funds. There have been no further developments with the SEC on this matter. 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 10-Q, 10-K and, as necessary, 8-K filings with the Securities and Exchange Commission 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. ITEM 77Q1(e) - NEW OR AMENDED REGISTRANT INVESTMENT ADVISORY CONTRACTS (THE FUNDS): INVESTMENT MANAGEMENT SERVICES AGREEMENT COLUMBIA FUNDS SERIES TRUST This Agreement, dated as of May 1, 2010, is by and between Columbia Management Investment Advisers, LLC (formerly known as RiverSource Investments, LLC) (the "Investment Manager"), a Minnesota limited liability company and Columbia Funds Series Trust (the "Registrant"), a Delaware statutory trust, on behalf of its underlying series listed in Schedule A (the term "Fund" or "Funds" is used to refer to either the Registrant or its underlying series, as context requires). PART ONE: INVESTMENT MANAGEMENT AND OTHER SERVICES (1) The Fund hereby retains the Investment Manager, and the Investment Manager hereby agrees, for the period of this Agreement and under the terms and conditions hereinafter set forth, to furnish the Fund continuously with investment advice; to determine, consistent with the Fund's investment objectives, strategies and policies as from time to time set forth in its then-current prospectus or statement of additional information, or as otherwise established by the Board of Directors/Trustees (the "Board"), which investments, in the Investment Manager's discretion, shall be purchased, held or sold, and to execute or cause the execution of purchase or sell orders; to recommend changes to investment objectives, strategies and policies to the Board, as the Investment Manager deems appropriate; to perform investment research and prepare and make available to the Fund research and statistical data in connection therewith; and to furnish all other services of whatever nature that the Investment Manager from time to time reasonably determines to be necessary or useful in connection with the investment management of the Fund as provided under this Agreement; subject always to oversight by the Board and the authorized officers of the Fund. The Investment Manager agrees: (a) to maintain an adequate organization of competent persons to provide the services and to perform the functions herein mentioned (to the extent that such services and functions have not been delegated to a subadviser); and (b) to maintain adequate oversight over any subadvisers hired to provide services and to perform the functions herein mentioned. The Investment Manager agrees to meet with any persons at such times as the Board deems appropriate for the purpose of reviewing the Investment Manager's performance under this Agreement and will prepare and furnish to the Board such reports, statistical data and other information relating to the investment management of the Fund in such form and at such intervals as the Board may reasonably request. The Fund agrees that the Investment Manager may, at its own expense, subcontract for certain of the services described under this Agreement (including with affiliates of the Investment Manager) with the understanding that the quality and scope of services required to be provided under this Agreement shall not be diminished thereby, and also with the understanding that the Investment Manager shall obtain such approval from the Board and/or Fund shareholders as is required by applicable law, rules and regulations promulgated thereunder, terms of this Agreement, resolutions of the Board and commitments of the Investment Manager. The Investment Manager agrees that, in the event it subcontracts with another party for some or all of the investment management services contemplated by this Agreement with respect to the Fund in reliance on its "manager-of-managers" exemptive order (Investment Company Act Release No. 25664 (July 16, 2002)) or a subsequent order containing such conditions, the Investment Manager will retain overall supervisory responsibility for the general management and investment of the Fund and, subject to review and approval by the Board, will set the Fund's overall investment strategies (consistent with the Fund's then-current prospectus and statement of additional information); evaluate, select and recommend one or more subadvisers to manage all or a portion of the Fund's assets; when appropriate, allocate and reallocate the Fund's assets among multiple subadvisers; monitor and evaluate the investment performance of subadvisers; and implement procedures reasonably designed to ensure that the subadvisers comply with the Fund's investment objectives, policies and restrictions. (2) The Investment Manager shall comply (or cause the Fund to comply, as applicable) with all applicable law, including but not limited to the Investment Company Act of 1940, as amended, and the rules and regulations promulgated thereunder (the "1940 Act"), the Investment Advisers Act of 1940, as amended, and the rules and regulations promulgated thereunder, the 1933 Act, and the provisions of the Internal Revenue Code of 1986, as amended, applicable to the Fund as a regulated investment company. (3) The Investment Manager shall allocate investment opportunities among its clients, including the Fund, in a fair and equitable manner, consistent with its fiduciary obligations to clients. The Fund recognizes that the Investment Manager and its affiliates may from time to time acquire information about issuers or securities that it may not share with, or act upon for the benefit of, the Fund. (4) The Investment Manager agrees to vote proxies and to provide or withhold consents, or to provide such support as is required or requested by the Board in conjunction with voting proxies and providing or withholding consents, solicited by or with respect to the issuers of securities in which the Fund's assets may be invested from time to time, as directed by the Board from time to time. (5) The Investment Manager agrees that it will maintain all required records, memoranda, instructions or authorizations relating to the management of the assets for the Fund, including with respect to the acquisition or disposition of securities. In compliance with the requirements of Rule 31a-3 under the 1940 Act, the Investment Manager hereby agrees that all records that it maintains for each Fund under this Agreement are the property of the Registrant and further agrees to surrender promptly to the Registrant any of such records upon request. (6) The Fund agrees that it will furnish to the Investment Manager any information that the latter may reasonably request with respect to the services performed or to be performed by the Investment Manager under this Agreement. (7) In selecting broker-dealers for execution, the Investment Manager will seek to obtain best execution for securities transactions on behalf of the Fund, except where otherwise directed by the Board. In selecting broker-dealers to execute transactions, the Investment Manager may consider not only available prices (including commissions or mark-up), but also other relevant factors such as, without limitation, the characteristics of the security being traded, the size and difficulty of the transaction, the execution, clearance and settlement capabilities as well as the reputation, reliability, and financial soundness of the broker-dealer selected, the broker-dealer's risk in positioning a block of securities, the broker-dealer's execution service rendered on a continuing basis and in other transactions, the broker-dealer's expertise in particular markets, and the broker-dealer's ability to provide research services. To the extent permitted by law, and consistent with its obligation to seek best execution, the Investment Manager may, except where otherwise directed by the Board, execute transactions or pay a broker-dealer a commission or markup in excess of that which another broker-dealer might have charged for executing a transaction provided that the Investment Manager determines, in good faith, that the execution is appropriate or the commission or markup is reasonable in relation to the value of the brokerage and/or research services provided, viewed in terms of either that particular transaction or the Investment Manager's overall responsibilities with respect to the Fund and other clients for which it acts as investment adviser. The Investment Manager shall not consider the sale or promotion of shares of the Fund, or other affiliated products, as a factor in the selection of broker dealers through which transactions are executed. (8) Except for willful misfeasance, bad faith or negligence on the part of the Investment Manager in the performance of its duties, or reckless disregard by the Investment Manager of its obligations and duties, under this Agreement, neither the Investment Manager, nor any of its respective directors, officers, partners, principals, employees, or agents shall be liable for any acts or omissions or for any loss suffered by the Fund or its shareholders or creditors. To the extent permitted by applicable law, each of the Investment Manager, and its respective directors, officers, partners, principals, employees and agents, shall be entitled to rely, and shall be protected from liability in reasonably relying, upon any information or instructions furnished to it (or any of them as individuals) by the Fund or its agents which is believed in good faith to be accurate and reliable. The Fund understands and acknowledges that the Investment Manager does not warrant any rate of return, market value or performance of any assets in the Fund. Notwithstanding the foregoing, the federal securities laws impose liabilities under certain circumstances on persons who act in good faith and, therefore, nothing herein shall constitute a waiver of any right which the Fund may have under such laws or regulations. PART TWO: COMPENSATION TO THE INVESTMENT MANAGER (1) The Fund agrees to pay to the Investment Manager, in full payment for the services furnished, a fee as set forth in Schedule A. (2) The fee shall be accrued daily (unless otherwise directed by the Board consistent with the prospectus and statement of additional information of the Fund) and paid on a monthly basis and, in the event of the effectiveness or termination of this Agreement, in whole or in part with respect to any Fund, during any month, the fee paid to the Investment Manager shall be prorated on the basis of the number of days that this Agreement is in effect during the month with respect to which such payment is made. (3) The fee provided for hereunder shall be paid in cash by the Fund to the Investment Manager within five business days after the last day of each month. Part Three: ALLOCATION OF EXPENSES (1) The Investment Manager shall (a) furnish at its expense such office space, supplies, facilities, equipment, clerical help and other personnel and services as are required to render the services contemplated to be provided by it pursuant to this Agreement and (b) pay the compensation of the trustees or officers of the Fund who are directors, officers or employees of the Investment Manager (except to the extent the Board of the Fund shall have specifically approved the payment by the Fund of all or a portion of the compensation of the Fund's chief compliance officer or other officer(s)). Except to the extent expressly assumed by the Investment Manager, and except to the extent required by law to be paid or reimbursed by the Investment Manager, the Investment Manager shall have no duty to pay any Fund operating expenses incurred in the organization and operation of the Fund. Part Four: MISCELLANEOUS (1) The Investment Manager shall be deemed to be an independent contractor and, except as expressly provided or authorized in this Agreement or otherwise, shall have no authority to act for or represent the Fund. (2) The Fund acknowledges that the Investment Manager and its affiliates may perform investment advisory services for other clients, so long as the Investment Manager's services to the Fund under this Agreement are not impaired thereby. The Investment Manager and its affiliates may give advice or take action in the performance of duties to other clients that may differ from advice given, or the timing and nature of action taken, with respect to the Fund, and the Investment Manager and its affiliates and their respective clients may trade and have positions in securities of issuers where the Fund may own equivalent or related securities, and where action may or may not be taken or recommended for the Fund. Nothing in this Agreement shall be deemed to impose upon the Investment Manager or any of its affiliates any obligation to purchase or sell, or recommend for purchase or sale for the Fund, any security or any other property that the Investment Manager or any of its affiliates may purchase, sell or hold for its own account or the account of any other client. (3) Neither this Agreement nor any transaction pursuant hereto shall be invalidated or in any way affected by the fact that Board members, officers, agents and/or shareholders of the Fund are or may be interested in the Investment Manager or any successor or assignee thereof, as directors, officers, stockholders or otherwise; that directors, officers, stockholders or agents of the Investment Manager are or may be interested in the Fund as Board members, officers, shareholders or otherwise; or that the Investment Manager or any successor or assignee is or may be interested in the Fund as shareholder or otherwise, provided, however, that neither the Investment Manager, nor any officer, Board member or employee thereof or of the Fund, shall knowingly sell to or buy from the Fund any property or security other than shares issued by the Fund, except in accordance with applicable regulations, United States Securities and Exchange Commission ("SEC") orders or published SEC staff guidance. (4) Any notice under this Agreement shall be given in writing, addressed and delivered, or mailed postpaid, to the party to this Agreement entitled to receive such, at such party's principal place of business, or to such other address as either party may designate in writing mailed to the other in accordance with this Paragraph (4). (5) All information and advice furnished by the Investment Manager to the Fund under this Agreement shall be confidential and shall not be disclosed to unaffiliated third parties, except as required by law, order, judgment, decree, or pursuant to any rule, regulation or request of or by any government, court, administrative or regulatory agency or commission, other governmental or regulatory authority or any self-regulatory organization. All information furnished by the Fund to the Investment Manager under this Agreement shall be confidential and shall not be disclosed to any unaffiliated third party, except as permitted or required by the foregoing, where it is necessary to effect transactions or provide other services to the Fund, or where the Fund requests or authorizes the Investment Manager to do so. The Investment Manager may share information with its affiliates in accordance with its privacy and other relevant policies in effect from time to time. (6) This Agreement shall be governed by the internal substantive laws of the Commonwealth of Massachusetts without regard to the conflicts of laws principles thereof. (7) The names "Columbia Funds Series Trust" and "Board Members of Columbia Funds Series Trust" refer respectively to the Registrant created by the Declaration of Trust and the Board Members as Board Members but not individually or personally. All parties hereto acknowledge and agree that any and all liabilities of the Registrant arising, directly or indirectly, under this Agreement will be satisfied solely out of the assets of the Registrant and that no Board Member, officer or shareholder shall be personally liable for any such liabilities. All persons dealing with any Fund of the Registrant must look solely to the property belonging to such Fund for the enforcement of any claims against the Registrant. (8) If any term, provision, agreement, covenant or restriction of this Agreement is held by a court or other authority of competent jurisdiction to be invalid, void, or unenforceable, the remainder of the terms, provisions, agreements, covenants and restrictions of this Agreement shall remain in full force and effect and shall in no way be affected, impaired, or invalidated so long as the economic or legal substance of the transactions contemplated hereby is not affected in any manner materially adverse to any party hereto. Upon such a determination, the parties shall negotiate in good faith to modify this Agreement so as to effect the original intent of the parties as closely as possible in a reasonably acceptable manner in order that the transactions contemplated hereby may be consummated as originally contemplated to the fullest extent possible. (9) This Agreement may be executed in any number of counterparts, each of which shall be deemed an original for all purposes and all of which, taken together, shall constitute one and the same instrument. PART FIVE: RENEWAL AND TERMINATION (1) This Agreement shall continue in effect for two years from the date of its execution, and from year to year thereafter, unless and until terminated by either party as hereinafter provided, only if such continuance is specifically approved at least annually (a) by the Board or by a vote of the majority of the outstanding voting securities of the Fund and (b) by the vote of a majority of the Board members who are not parties to this Agreement or interested persons of any such party, cast in person at a meeting called for the purpose of voting on such approval. As used in this paragraph, the term "interested person" shall have the same meaning as set forth in the 1940 Act and any applicable order or interpretation thereof issued by the SEC or its staff. As used in this agreement, the term "majority of the outstanding voting securities of the Fund" shall have the same meaning as set forth in the 1940 Act. (2) This Agreement may be terminated, with respect to any Fund, by either the Fund or the Investment Manager at any time by giving the other party 60 days' written notice of such intention to terminate, provided that any termination shall be made without the payment of any penalty, and provided further that termination may be effected either by the Board or by a vote of the majority of the outstanding voting securities of the Fund. (3) This Agreement shall terminate in the event of its assignment, the term "assignment" for this purpose having the same meaning as set forth in the 1940 Act, unless the SEC issues an order exempting such assignment from the provisions of the 1940 Act requiring such termination, in which case this Agreement shall remain in full force and effect, subject to the terms of such order. (4) Except as prohibited by the 1940 Act, this Agreement may be amended with respect to any Fund upon written agreement of the Investment Manager and the Trust, on behalf of that Fund. PART SIX: USE OF NAME (1) At such time as this Agreement or any extension, renewal or amendment hereof, or any similar agreement with any organization which shall have succeeded to the business of the Investment Manager, shall no longer be in effect, the Fund will cease to use any name derived from the name of the Investment Manager or of any organization which shall have succeeded to the Investment Manager's business as investment adviser. [Signature Page Follows] IN WITNESS THEREOF, the parties hereto have executed the foregoing Agreement as of the day and year first above written. COLUMBIA FUNDS SERIES TRUST on behalf of the Funds By: /s/ Michael G. Clarke -------------------------- Name: Michael G. Clarke Title: Senior Vice President and Chief Financial Officer COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC By: /s/ Amy K. Johnson -------------------------- Name: Amy K. Johnson Title: Senior Vice President INVESTMENT MANAGEMENT SERVICES AGREEMENT SCHEDULE A
FUND ASSETS RATE OF FEE(1) - ------------------------------------------------------- --------------------------------- ---------------- Columbia Asset Allocation Fund II All assets 0.60% Columbia California Intermediate Municipal Bond Fund First $500 million 0.40% In excess of $500 million and up to $1 billion 0.35% In excess of $1 billion and up to $1.5 billion 0.32% In excess of $1.5 billion and up to $3 billion 0.29% In excess of $3 billion and up to $6 billion 0.28% In excess of $6 billion 0.27% Columbia Convertible Securities Fund First $500 million 0.65% In excess of $500 million and up to $1 billion 0.60% In excess of $1 billion and up to $1.5 billion 0.55% In excess of $1.5 billion 0.50% Columbia Georgia Intermediate Municipal Bond Fund First $500 million 0.40% In excess of $500 million and up to $1 billion 0.35% In excess of $1 billion and up to $1.5 billion 0.32% In excess of $1.5 billion and up to $3 billion 0.29% In excess of $3 billion and up to $6 billion 0.28% In excess of $6 billion 0.27% Columbia Global Value Fund First $500 million 0.90% In excess of $500 million and up to $1 billion 0.85% In excess of $1 billion and up to $1.5 billion 0.80% In excess of $1.5 billion and up to $3 billion 0.75% In excess of $3 billion and up to $6 billion 0.73% In excess of $6 billion 0.71% Columbia High Income Fund First $500 million 0.55% In excess of $500 million and up to $1 billion 0.52% In excess of $1 billion and up to $1.5 billion 0.49% In excess of $1.5 billion 0.46%
- -------------------------- (1) Annual rates based on a percentage of the Fund's average daily net assets.
FUND ASSETS RATE OF FEE(1) - ------------------------------------------------------- --------------------------------- ---------------- Columbia International Value Fund(2) First $500 million 0.85% In excess of $500 million and up to $1 billion 0.80% In excess of $1 billion and up to $1.5 billion 0.75% In excess of $1.5 billion and up to $3 billion 0.70% In excess of $3 billion and up to $6 billion 0.68% In excess of $6 billion 0.66% Columbia Large Cap Core Fund First $500 million 0.60% In excess of $500 million and up to $1 billion 0.55% In excess of $1 billion and up to $1.5 billion 0.50% In excess of $1.5 billion and up to $3 billion 0.45% In excess of $3 billion and up to $6 billion 0.43% In excess of $6 billion 0.41% Columbia Large Cap Enhanced Core Fund First $500 million 0.35% In excess of $500 million and up to $1 billion 0.30% In excess of $1 billion and up to $1.5 billion 0.25% In excess of $1.5 billion and up to $3 billion 0.20% In excess of $3 billion and up to $6 billion 0.18% In excess of $6 billion 0.16% Columbia Large Cap Index Fund All assets 0.10% Columbia Large Cap Value Fund First $500 million 0.60% In excess of $500 million and up to $1 billion 0.55% In excess of $1 billion and up to $1.5 billion 0.43% In excess of $1.5 billion and up to $3 billion 0.43% In excess of $3 billion and up to $6 billion 0.43% In excess of $6 billion 0.41%
- -------------------------- (2) Investment management fees are paid by Columbia International Value Master Portfolio, the master portfolio in the master/feeder arrangement.
FUND ASSETS RATE OF FEE(1) - ------------------------------------------------------- --------------------------------- ---------------- Columbia Marsico 21st Century Fund First $500 million 0.75% In excess of $500 million and up to $1 billion 0.70% In excess of $1 billion and up to $1.5 billion 0.65% In excess of $1.5 billion and up to $3 billion 0.60% In excess of $3 billion and up to $6 billion 0.58% In excess of $6 billion 0.56% Columbia Marsico Focused Equities Fund First $500 million 0.75% In excess of $500 million and up to $1 billion 0.70% In excess of $1 billion and up to $1.5 billion 0.65% In excess of $1.5 billion and up to $3 billion 0.60% In excess of $3 billion and up to $6 billion 0.58% In excess of $6 billion 0.56% Columbia Marsico Global Fund All assets 0.80% Columbia Marsico Growth Fund First $500 million 0.75% In excess of $500 million and up to $1 billion 0.70% In excess of $1 billion and up to $1.5 billion 0.65% In excess of $1.5 billion and up to $3 billion 0.60% In excess of $3 billion and up to $6 billion 0.58% In excess of $6 billion 0.56% Columbia Marsico International Opportunities Fund All assets 0.80% Columbia Maryland Intermediate Municipal Bond Fund First $500 million 0.40% In excess of $500 million and up to $1 billion 0.35% In excess of $1 billion and up to $1.5 billion 0.32% In excess of $1.5 billion and up to $3 billion 0.29% In excess of $3 billion and up to $6 billion 0.28% In excess of $6 billion 0.27%
FUND ASSETS RATE OF FEE(1) - ------------------------------------------------------- --------------------------------- ---------------- Columbia Mid Cap Index Fund All assets 0.10% Columbia Mid Cap Value Fund First $500 million 0.65% In excess of $500 million and up to $1 billion 0.60% In excess of $1 billion and up to $1.5 billion 0.55% In excess of $1.5 billion 0.50% Columbia Multi-Advisor International Equity Fund First $500 million 0.70% In excess of $500 million and up to $1 billion 0.65% In excess of $1 billion and up to $1.5 billion 0.60% In excess of $1.5 billion and up to $3 billion 0.55% In excess of $3 billion and up to $6 billion 0.53% In excess of $6 billion 0.51% Columbia Overseas Value Fund All assets 0.82% Columbia North Carolina Intermediate Municipal Bond Fund First $500 million 0.40% In excess of $500 million and up to $1 billion 0.35% In excess of $1 billion and up to $1.5 billion 0.32% In excess of $1.5 billion and up to $3 billion 0.29% In excess of $3 billion and up to $6 billion 0.28% In excess of $6 billion 0.27% Columbia Short Term Bond Fund All assets 0.30% Columbia Short Term Municipal Bond Fund First $500 million 0.30% In excess of $500 million 0.25% Columbia Small Cap Growth Fund II First $500 million 0.70% In excess of $500 million and up to $1 billion 0.65% In excess of $1 billion 0.60% Columbia Small Cap Index Fund All assets 0.10%
FUND ASSETS RATE OF FEE(1) - ------------------------------------------------------- --------------------------------- ---------------- Columbia Small Cap Value Fund II First $500 million 0.70% In excess of $500 million and up to $1 billion 0.65% In excess of $1 billion 0.60% Columbia South Carolina Intermediate Municipal Bond Fund First $500 million 0.40% In excess of $500 million and up to $1 billion 0.35% In excess of $1 billion and up to $1.5 billion 0.32% In excess of $1.5 billion and up to $3 billion 0.29% In excess of $3 billion and up to $6 billion 0.28% In excess of $6 billion 0.27% Columbia Total Return Bond Fund First $500 million 0.40% In excess of $500 million and up to $1 billion: 0.35% In excess of $1 billion and up to $1.5 billion: 0.32% In excess of $1.5 billion and up to $3 billion: 0.29% In excess of $3 billion and up to $6 billion: 0.28% In excess of $6 billion: 0.27% Columbia Virginia Intermediate Municipal Bond Fund First $500 million 0.40% In excess of $500 million and up to $1 billion 0.35% In excess of $1 billion and up to $1.5 billion 0.32% In excess of $1.5 billion and up to $3 billion 0.29% In excess of $3 billion and up to $6 billion 0.28% In excess of $6 billion 0.27% Corporate Bond Portfolio All assets 0.00% Mortgage- and Asset-Backed Portfolio All assets 0.00% Columbia LifeGoal Balanced Growth Portfolio All assets 0.25% Columbia LifeGoal Growth Portfolio All assets 0.25%
FUND ASSETS RATE OF FEE(1) - ------------------------------------------------------- --------------------------------- ---------------- Columbia LifeGoal Income and Growth Portfolio All assets 0.25% Columbia LifeGoal Income Portfolio For assets invested in other Underlying Funds 0.00% For all other assets 0.50% Columbia Masters International Equity Portfolio All assets 0.00%
ITEM 77Q1(e) - NEW OR AMENDED REGISTRANT INVESTMENT ADVISORY CONTRACTS (COLUMBIA HIGH INCOME FUND): INVESTMENT SUB-ADVISORY AGREEMENT COLUMBIA FUNDS SERIES TRUST THIS AGREEMENT is made as of May 1, 2010, by and between COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC (formerly, RiverSource Investments, LLC), a Minnesota limited liability company (the "Adviser"), MACKAY SHIELDS LLC, a Delaware limited liability company (the "Sub-Adviser"), and COLUMBIA FUNDS SERIES TRUST, a Delaware statutory trust (the "Trust"), on behalf of those series of the Trust now or hereafter identified on Schedule I (each a "Fund" and collectively, the "Funds"). WHEREAS, the Trust is registered with the Securities and Exchange Commission (the "Commission") as an open-end management investment company under the Investment Company Act of 1940, as amended (the "1940 Act"); WHEREAS, the Adviser is registered with the Commission as an investment adviser under the Investment Advisers Act of 1940, as amended (the "Advisers Act"); WHEREAS, the Sub-Adviser is also registered with the Commission as an investment adviser under the Advisers Act; WHEREAS, the Adviser and the Trust have entered into an investment management services agreement (the "Investment Management Services Agreement"), pursuant to which the Adviser manages the investment operations of each Fund and may delegate certain duties of the Adviser to one or more investment sub-adviser(s); and WHEREAS, the Adviser, with the approval of the Board of Trustees of the Trust (the "Board"), including a majority of the Trustees who are not "interested persons" (defined herein) of any party to this Agreement, desires to delegate to the Sub-Adviser the duty to manage the portfolio investments of the Funds; NOW, THEREFORE, in consideration of the promises and mutual covenants herein contained, it is agreed between the parties hereto as follows: 1. APPOINTMENT OF SUB-ADVISER. The Adviser hereby appoints the Sub-Adviser and the Sub-Adviser hereby agrees to manage the portfolio investments of each Fund subject to the terms of this Agreement and subject to the supervision of the Adviser and the Board. 2. SERVICES OF SUB-ADVISER. The Sub-Adviser shall perform all services necessary for the management of the portfolio investments of each Fund, including but not limited to: a) Managing the investment and reinvestment of all assets, now or hereafter acquired by each Fund, including determining what securities and other investments are to be purchased or sold for each Fund and executing transactions accordingly; b) Transmitting trades to each Fund's custodian for settlement in accordance with each Fund's procedures and as may be directed by the Trust; c) Assisting in the preparation of all shareholder communications, including shareholder reports, and participating in shareholder relations; d) Exercising upon authority delegated by the Adviser or providing support to the Adviser or the Trust in conjunction with exercising voting rights, rights to consent to Fund action and any other rights pertaining to each Fund's portfolio securities; e) Making recommendations to the Adviser and the Board with respect to Fund investment policies and procedures, and carrying out such investment policies and procedures as are approved by the Board or by the Adviser under authority delegated by the Board to the Adviser; f) Supplying reports, evaluations, analyses, statistical data and information to the Adviser, the Board or to the Funds' officers and other service providers as the Adviser or the Board may reasonably request from time to time or as may be necessary or appropriate for the operation of the Trust as an open-end investment company or as necessary to comply with Section 3(a) of this Agreement; g) Maintaining all books and records with respect to the investment decisions and securities transactions for each Fund required by applicable law; h) Furnishing any and all other services, subject to review by the Board, that the Adviser from time to time determines to be necessary or useful to perform its obligations under the Investment Management Services Agreement or as the Board may reasonably request from time to time. 3. RESPONSIBILITIES OF SUB-ADVISER. In carrying out its obligations under this Agreement, the Sub-Adviser agrees that it will: a) Comply with all applicable law, including but not limited to the 1940 Act and the Advisers Act, the rules and regulations of the Commission thereunder, and the conditions of any order affecting the Trust or a Fund issued thereunder; b) Use the same skill and care in providing such services as it uses in providing services to other fiduciary accounts for which it has investment responsibilities; c) The Sub-Adviser acknowledges that the Funds may engage in transactions with certain investment sub-advisers in the Columbia Funds Family (and their affiliated persons) in reliance on exemptions under Rule 10f-3, Rule 12d3-1, Rule 17a-10 and Rule 17e-1 under the 1940 Act. Accordingly, the Sub-Adviser hereby agrees that it will not consult with any other investment sub-adviser of a Columbia Fund in the Columbia Funds Family concerning transactions for a Fund in securities or other investments, other than for purposes of complying with the conditions of Rule 12d3-1(a) and (b). With respect to a Fund with one or more investment sub-advisers in addition to the Sub-Adviser, the Sub-Adviser shall be limited to providing investment advice only with respect to the portion of the Fund's assets as the Adviser may determine from time to time, and shall not consult with any other investment sub-adviser to the Fund that is a principal underwriter or an affiliated person of a principal underwriter concerning transactions for the Fund in securities or other investments. d) Not make loans to any person for the purpose of purchasing or carrying Fund shares; e) Place, or arrange for the placement of, all orders pursuant to its investment determinations for the Funds either directly with the issuer or with any broker or dealer (including any affiliated broker or dealer). In executing portfolio transactions and selecting brokers or dealers, the Sub-Adviser will use its best efforts to seek on behalf of each Fund the best overall terms available. In assessing the best overall terms available for any transaction, the Sub-Adviser shall consider all factors that it deems relevant, including the breadth of the market in the security, the price of the security, the financial condition and execution capability of the broker or dealer, and the reasonableness of the commission, if any, both for the specific transaction and on a continuing basis. In evaluating the best overall terms available, and in selecting the broker or dealer to execute a particular transaction, the Sub-Adviser may also consider whether such broker or dealer furnishes research and other information or services to the Sub-Adviser. To the extent permitted by law, and consistent with its obligation to seek best execution, the Sub-Adviser may, except where otherwise directed by the Board, execute transactions or pay a broker-dealer a commission or markup in excess of that which another broker-dealer might have charged for executing a transaction provided that the Sub-Adviser determines, in good faith, that the execution is appropriate or the commission or markup is reasonable in relation to the value of the brokerage and/or research services provided, viewed in terms of either that particular transaction or the Sub-Adviser's overall responsibilities with respect to the Fund and other clients for which it acts as investment adviser; f) Adhere to the investment objective, strategies and policies and procedures of the Trust adopted on behalf of each Fund; and g) Meet the service level performance standards that the parties may agree to from time to time. 4. CONFIDENTIALITY OF INFORMATION. Each party agrees that it will treat confidentially all information provided by another party regarding such other party's business and operations, including without limitation the investment activities or holdings of a Fund. All confidential information provided by a party hereto shall not be disclosed to any unaffiliated third party without the prior consent of the providing party. The foregoing shall not apply to any information that is public when provided or thereafter becomes public or which is required to be disclosed by any regulatory authority in the lawful and appropriate exercise of its jurisdiction over a party, by any auditor of the parties hereto, by judicial or administrative process or otherwise by applicable law or regulation. 5. SERVICES NOT EXCLUSIVE. The services furnished by the Sub-Adviser hereunder are deemed not to be exclusive, and the Sub-Adviser shall be free to furnish similar services to others so long as its provision of services under this Agreement is not impaired thereby. To the extent that the purchase or sale of securities or other investments of the same issuer may be deemed by the Sub-Adviser to be suitable for two or more accounts managed by the Sub-Adviser, the available securities or investments may be allocated in a manner believed by the Sub-Adviser to be equitable to each account. It is recognized that in some cases this procedure may adversely affect the price paid or received by a Fund or the size of the position obtainable for or disposed of by a Fund. 6. DELIVERY OF DOCUMENTS. The Trust will provide the Sub-Adviser with copies, properly certified or authenticated, of each of the following: a) the Trust's Certificate of Trust, as filed with the Secretary of State of Delaware, and Declaration of Trust (such Declaration of Trust, as presently in effect and as from time to time amended, is herein called the "Declaration of Trust"); b) the most recent prospectus(es) and statement(s) of additional information relating to each Fund (such prospectus(es) together with the related statement(s) of additional information, as presently in effect and all amendments and supplements thereto, are herein called the "Prospectus"); and c) any and all applicable policies and procedures approved by the Board. The Trust will promptly furnish the Sub-Adviser with copies of any and all amendments of or additions or supplements to the foregoing. 7. BOOKS AND RECORDS. In compliance with the requirements of Rule 31a-3 under the 1940 Act, the Sub-Adviser hereby agrees that all records that it maintains for each Fund under this Agreement are the property of the Trust and further agrees to surrender promptly to the Trust or the Adviser any of such records upon request. The Sub-Adviser further agrees to preserve for the periods prescribed by Rule 31a-2 under the 1940 Act the records required to be maintained by Rule 31a-1 under the 1940 Act. 8. EXPENSES OF THE FUNDS. Except to the extent expressly assumed by the Sub-Adviser and except to any extent required by law to be paid or reimbursed by the Sub-Adviser, the Sub-Adviser shall have no duty to pay any ordinary operating expenses incurred in the organization and operation of the Funds. Ordinary operating expenses include, but are not limited to, brokerage commissions and other transaction charges, taxes, legal, auditing, printing, or governmental fees, other Fund service providers' fees and expenses, including those related to third party pricing of portfolio securities, expenses of issue, sale, redemption and repurchase of shares, expenses of registering and qualifying shares for sale, expenses relating to Board and shareholder meetings, and the cost of preparing and distributing reports and notices to shareholders. The Sub-Adviser shall pay all other expenses directly incurred by it in connection with its services under this Agreement. 9. COMPENSATION. Except as otherwise provided herein, for the services provided to each Fund and the expenses assumed pursuant to this Agreement, the Adviser will pay the Sub-Adviser and the Sub-Adviser will accept as full compensation therefor a fee determined in accordance with Schedule I attached hereto. It is understood that the Adviser shall be solely responsible for compensating the Sub-Adviser for performing any of the duties delegated to the Sub-Adviser and the Sub-Adviser agrees that it shall have no claim against the Trust or any Fund with respect to compensation under this Agreement. To the extent that the advisory fee that the Trust would be obligated to pay to the Adviser with respect to a Fund pursuant to the Investment Management Services Agreement is reduced or reimbursed, the fee that the Sub-Adviser would otherwise receive pursuant to this Agreement shall be reduced or reimbursed proportionately. 10. LIABILITY OF SUB-ADVISER. The Sub-Adviser shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Adviser or the Trust in connection with the performance of its duties under this Agreement, except a loss resulting from a breach of fiduciary duty with respect to the receipt of compensation for services, from willful misfeasance, bad faith or negligence on the part of the Sub-Adviser or any of its officers, directors or employees, in connection with the performance of their duties under this Agreement, from reckless disregard by it or its officers, directors or employees of any of their obligations and duties under this Agreement, or from any violations of securities laws, rules, regulations, statutes and codes, whether federal or state, by the Sub-Adviser or any of its officers, directors or employees. 11. INDEMNIFICATION. The Sub-Adviser shall indemnify and hold harmless the Funds and the Adviser from and against any and all direct or indirect claims, losses, liabilities or damages (including reasonable attorney's fees and other related expenses) resulting from a breach of fiduciary duty with respect to the receipt of compensation for services, from willful misfeasance, bad faith or negligence on the part of the Sub-Adviser or any of its officers, directors or employees, in connection with the performance of their duties under this Agreement, from reckless disregard by it or its officers, directors or employees of any of their obligations and duties under this Agreement, or resulting from any violations of securities laws, rules, regulations, statutes and codes, whether federal or state, by the Sub-Adviser or any of its officers, directors or employees; provided, however, that the Sub-Adviser shall not be required to indemnify or otherwise hold the Funds or the Adviser harmless under this Section 11 where the claim against, or the loss, liability or damage experienced by the Funds or the Adviser, is caused by or is otherwise directly related to the Funds' or the Adviser's own willful misfeasance, bad faith or negligence, or to the reckless disregard by the Funds or the Adviser of their duties under this Agreement. 12. TERM AND APPROVAL. This Agreement will become effective as of the date set forth herein above, and shall continue in effect until the second anniversary of its effective date. This Agreement will become effective with respect to each additional Fund as of the date set forth on Schedule I when each such Fund is added thereto. The Agreement shall continue in effect for a Fund after the second anniversary of the effective date for successive annual periods ending on each anniversary of such date, provided that the continuation of the Agreement is specifically approved for the Fund at least annually: a) (i) by the Board or (ii) by the vote of "a majority of the outstanding voting securities" of the Fund (as defined in Section 2(a)(42) of the 1940 Act); and b) by the affirmative vote of a majority of the Trustees of the Trust who are not parties to this Agreement or "interested persons" (as defined in the 1940 Act) of a party to this Agreement (other than as Trustees of the Trust), by votes cast in person at a meeting specifically called for such purpose. 13. TERMINATION. This Agreement may be terminated without payment of any penalty at any time by: a) the Trust with respect to a Fund, by vote of the Board or by vote of a majority of a Fund's outstanding voting securities, upon sixty (60) days' written notice to the other parties to this Agreement; or b) the Adviser or the Sub-Adviser with respect to a Fund, upon sixty (60) days' written notice to the other parties to this Agreement. Any party entitled to notice may waive the notice provided for herein. This Agreement shall automatically terminate in the event of its assignment, unless an order is issued by the Commission conditionally or unconditionally exempting such assignment from the provisions of Section 15(a) of the 1940 Act, in which event this Agreement shall remain in full force and effect subject to the terms of such order. For the purposes of this paragraph, the definitions contained in Section 2(a) of the 1940 Act and the applicable rules under the 1940 Act shall apply. 14. CODE OF ETHICS. The Sub-Adviser represents that it has adopted a written code of ethics complying with the requirements of Rule 17j-1 under the 1940 Act and will provide the Adviser or the Trust with a copy of such code, any amendments or supplements thereto and its policies and/or procedures implemented to ensure compliance therewith. 15. INSURANCE. The Sub-Adviser shall maintain for the term of this Agreement and provide evidence thereof to the Trust or the Adviser a blanket bond and professional liability (error and omissions) insurance in an amount reasonably acceptable to Adviser. 16. REPRESENTATIONS AND WARRANTIES. Each party to this Agreement represents and warrants that the execution, delivery and performance of its obligations under this Agreement are within its powers, have been duly authorized by all necessary actions and that this Agreement constitutes a legal, valid and binding obligation enforceable against it in accordance with its terms. The Sub-Adviser further represents and warrants that it is duly registered as an investment adviser under the Advisers Act. 17. AMENDMENT OF THIS AGREEMENT. No provision of this Agreement may be changed, waived, discharged or terminated orally, except by an instrument in writing signed by the party against which enforcement of the change, waiver, discharge or termination is sought. 18. NOTICES. Any notices under this Agreement shall be in writing, addressed and delivered or mailed postage paid to such address as may be designated for the receipt of such notice. Until further notice, it is agreed that the address of the Trust shall be One Financial Center, Boston, Massachusetts, 02111, Attention: Secretary, that of the Adviser shall be 100 Federal Street, Boston, MA 02110, Attention: President, and that of the Sub-Adviser shall be MacKay Shields LLC, 9 West 57th Street, New York, New York 10019, Attention: General Counsel. The Sub-Adviser agrees to promptly notify the Adviser and the Trust in writing of the occurrence of any event which could have a material impact on the performance of its duties under this Agreement, including but not limited to (i) the occurrence of any event which could disqualify the Sub-Adviser from serving as an investment adviser pursuant to Section 9 of the 1940 Act; (ii) any material change in the Sub-Adviser's business activities; (iii) any event that would constitute a change in control of the Sub-Adviser; (iv) any change in the portfolio manager or portfolio management team of a Fund; (v) the existence of any pending or threatened audit, investigation, examination, complaint or other inquiry (other than routine audits or regulatory examinations or inspections) relating to any Fund; and (vi) any material violation of the Sub-Adviser's code of ethics. 19. RELEASE. The names "Columbia Funds Series Trust" and "Trustees of Columbia Funds Series Trust" refer respectively to the Trust created by the Declaration of Trust and the Trustees as Trustees but not individually or personally. All parties hereto acknowledge and agree that any and all liabilities of the Trust arising, directly or indirectly, under this Agreement will be satisfied solely out of the assets of the Trust and that no Trustee, officer or shareholder shall be personally liable for any such liabilities. All persons dealing with any Fund of the Trust must look solely to the property belonging to such Fund for the enforcement of any claims against the Trust. 20. MISCELLANEOUS. This Agreement contains the entire understanding of the parties hereto. Each provision of this Agreement is intended to be severable. If any provision of this Agreement shall be held or made invalid by a court decision, statute, rule or otherwise, the remainder of this Agreement shall not be affected thereby. 21. GOVERNING LAW. This Agreement shall be governed by, and construed in accordance with, Delaware law and the federal securities laws, including the 1940 Act and the Advisers Act. 22. COUNTERPARTS. This Agreement may be executed in any number of counterparts, each of which shall be deemed an original. 23. USE OF THE NAME "COLUMBIA FUNDS". The Sub-Adviser agrees that it will not use the name "Columbia Funds", any derivative thereof, or the name of the Adviser, the Trust or any Fund except in accordance with such policies and procedures as may be mutually agreed to in writing. IN WITNESS WHEREOF, the parties hereto have caused this instrument to be executed by their officers designated below as of the day and year first above written. COLUMBIA FUNDS SERIES TRUST on behalf of the Funds By: /s/ Joseph F. DiMaria --------------------------- Name: Joseph F. DiMaria Title: Chief Accounting Officer COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC By: /s/ Amy K. Johnson --------------------------- Name: Amy K. Johnson Title: Senior Vice President MACKAY SHIELDS LLC By: /s/ Lucille Protas --------------------------- Name: Lucille Protas Title: Acting Chief Executive Officer INVESTMENT SUB-ADVISORY AGREEMENT SCHEDULE I The Adviser shall pay the Sub-Adviser, as full compensation for services provided and expenses assumed hereunder, a sub-advisory fee for each Fund, computed daily and payable monthly at the annual rates listed below as a percentage of the average daily net assets of the Fund:
FUND RATE OF COMPENSATION EFFECTIVE DATE - --------------------------- --------------------------------------------------------------------------- ------------------------- Columbia High Income Fund - 0.40% of average daily net assets up to and including $100 million May 1, 2010 - 0.375% of average daily net assets in excess of $100 million and up to and including $200 million - 0.35% of average daily net assets in excess of $200 million
Current as of the 1st day of May, 2010. COLUMBIA FUNDS SERIES TRUST on behalf of the Funds By: /s/ Joseph F. DiMaria -------------------------- Name: Joseph F. DiMaria Title: Chief Accounting Officer COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC By: /s/ Amy K. Johnson -------------------------- Name: Amy K. Johnson Title: Senior Vice President MACKAY SHIELDS LLC By: /s/ Lucille Protas -------------------------- Name: Lucille Protas Title: Acting Chief Executive Officer INVESTMENT SUB-ADVISORY AGREEMENT EX-99 3 table.txt
FACE VALUE BOND / NOTE/ # OF ISSUER/ SECURITY BOND/ PURCHASE SHARES AMOUNT PAID TRUST FUND NAME CUSIP DESCRIPTION EQUITY DATE SELLING BROKER PURCHASED SHARE PRICE BY FUND - -------- ------------ --------- ----------------- ------ ---------- --------------- ---------- ----------- ----------- Columbia Columbia 03523TAG3 Anheuser-Busch Bond 10/13/2009 Deutsche Bank 250,000 99.8520 249,630 Funds Asset 3.000% 10/15/2012 Series Allocation Trust Fund II Columbia Columbia 126650BS8 CVS Pass Through Note 12/7/2009 Barclays 90,000 100.0000 90,000 Funds Asset Trust 7.507% Series Allocation 01/10/2032 Trust Fund II Columbia Columbia 96950FAE4 Williams Partner Bond 2/2/2010 Barclays 100,000 99.4010 99,401 Funds Asset LP 6.300 Series Allocation 04/15/2040 Trust Fund II Columbia Columbia 887317AE5 Time Warner Bond 3/3/2010 Citigroup 50,000 99.9990 50,000 Funds Asset Cable Series Allocation Incorporated Trust Fund II 6.200 03/15/2040 Columbia Columbia 13067JLA7 State of Bond 10/30/2009 Barclays 825,000 104.2740 860,261 Funds California California Series Intermediate Economic Trust Municipal Recovery 5.000% Bond Fund 07/01/2018 Columbia Columbia 13067JLA7 State of Bond 10/30/2009 JPMorgan 600,000 104.2740 625,644 Funds California California Series Intermediate Economic Trust Municipal Recovery 5.000% Bond Fund 07/01/2018 Columbia Columbia 13067JLA7 State of Bond 10/30/2009 Citigroup 825,000 104.2740 860,261 Funds California California Series Intermediate Economic Trust Municipal Recovery 5.000% Bond Fund 07/01/2018 Columbia Columbia 13067JLA7 State of Bond 10/30/2009 Fidelity 300,000 104.2740 312,822 Funds California California Capital Markets Series Intermediate Economic Trust Municipal Recovery 5.000% Bond Fund 07/01/2018 Columbia Columbia 13067JLA7 State of Bond 10/30/2009 Loop Capital 150,000 104.2740 156,411 Funds California California Markets, LLC Series Intermediate Economic Trust Municipal Recovery 5.000% Bond Fund 07/01/2018 Columbia Columbia 13067JLA7 State of Bond 10/30/2009 Morgan Keegan 300,000 104.2740 312,822 Funds California California Series Intermediate Economic Trust Municipal Recovery 5.000% Bond Fund 07/01/2018 Columbia Columbia 373384NX0 State of Georgia Bond 11/4/2009 Citigroup 300,000 115.6900 347,070 Funds Georgia General Series Intermediate Obligation Trust Municipal 5.000% 11/01/2016 Bond Fund Columbia Columbia 373384NX0 State of Georgia Bond 11/4/2009 Goldman Sachs 500,000 115.6900 578,450 Funds Georgia General Series Intermediate Obligation Trust Municipal 5.000% 11/01/2016 Bond Fund Columbia Columbia 373384NX0 State of Georgia Bond 11/4/2009 Morgan Keegan 200,000 115.6900 231,380 Funds Georgia General Series Intermediate Obligation Trust Municipal 5.000% 11/01/2016 Bond Fund Columbia Columbia 241064DT8 Children's Bond 11/20/2009 JPMorgan 128,000 107.4570 137,545 Funds Georgia Healthcare of Series Intermediate Atlanta 5.000% Trust Municipal 11/15/2017 Bond Fund Columbia Columbia 241064DT8 Children's Bond 11/20/2009 Citigroup 32,000 107.4570 34,386 Funds Georgia Healthcare of Series Intermediate Atlanta 5.000% Trust Municipal 11/15/2017 Bond Fund Columbia Columbia 241064DT8 Children's Bond 11/20/2009 Merrill Lynch 32,000 107.4570 34,386 Funds Georgia Healthcare of Series Intermediate Atlanta 5.000% Trust Municipal 11/15/2017 Bond Fund Columbia Columbia 241064DT8 Children's Bond 11/20/2009 Suntrust 96,000 107.4570 103,159 Funds Georgia Healthcare of Series Intermediate Atlanta 5.000% Trust Municipal 11/15/2017 Bond Fund Columbia Columbia 241064DT8 Children's Bond 11/20/2009 Wells Fargo 32,000 107.4570 34,386 Funds Georgia Healthcare of Series Intermediate Atlanta 5.000% Trust Municipal 11/15/2017 Bond Fund Columbia Columbia 31222TAG8 Piedmont Bond 11/20/2009 Merrill Lynch 250,000 103.4140 258,535 Funds Georgia Healthcare Series Intermediate Fayette County Trust Municipal Hospital Bond Fund Authority 5.250% 06/15/2023 Columbia Columbia 31222TAG8 Piedmont Bond 11/20/2009 Suntrust 1,750,000 103.4140 1,809,745 Funds Georgia Healthcare Series Intermediate Fayette County Trust Municipal Hospital Bond Fund Authority 5.250% 06/15/2023 Columbia Columbia 574300JL4 Maryland Bond 12/10/2009 Goldman Sachs 2,000,000 112.4910 2,249,820 Funds Maryland Transportation Series Intermediate Authority 5.000% Trust Municipal 07/01/2022 Bond Fund Columbia Columbia 5742175Q4 Maryland Health Bond 12/18/2009 JPMorgan 600,000 103.4340 620,604 Funds Maryland and Higher Series Intermediate Educational Trust Municipal Facilities Bond Fund Authority 5.000% 07/01/2020 Columbia Columbia 5742175Q4 Maryland Health Bond 12/18/2009 Loop Capital 200,000 103.4340 206,868 Funds Maryland and Higher Markets, LLC Series Intermediate Educational Trust Municipal Facilities Bond Fund Authority 5.000% 07/01/2020 Columbia Columbia 5742175Q4 Maryland Health Bond 12/18/2009 M&T Securities 200,000 103.4340 206,868 Funds Maryland and Higher Series Intermediate Educational Trust Municipal Facilities Bond Fund Authority 5.000% 07/01/2020 Columbia Columbia 161045KL2 City of Bond 11/19/2009 BB&T Capital 767,000 111.3690 854,200 Funds North Charlotte, North Markets Series Carolina Carolina Water Trust Intermediate and Sewer System Municipal 5.000% 07/01/2025 Bond Fund Columbia Columbia 161045KL2 City of Bond 11/19/2009 Merrill Lynch 1,534,000 111.3690 1,708,400 Funds North Charlotte, North Series Carolina Carolina Water Trust Intermediate and Sewer System Municipal 5.000% 07/01/2025 Bond Fund Columbia Columbia 161045KL2 City of Bond 11/19/2009 Wells Fargo 1,534,000 111.3690 1,708,400 Funds North Charlotte, North Series Carolina Carolina Water Trust Intermediate and Sewer System Municipal 5.000% 07/01/2025 Bond Fund Columbia Columbia 17290DAC8 CFAIT 2009-1 A3 Note 10/1/2009 Citigroup 15,000,000 100.0000 14,999,996 Funds Short Term 2.590% 10/15/2013 Series Bond Fund Trust Columbia Columbia 03523TAG3 Anheuser-Busch Bond 10/13/2009 Deutsche Bank 14,000,000 99.8520 13,979,280 Funds Short Term 3.000% 10/15/2012 Series Bond Fund Trust Columbia Columbia 34528QAJ3 Ford Credit Bond 1/6/2010 RBS 10,000,000 100.0000 10,000,000 Funds Short Term Floorplan Owner Series Bond Fund Trust 2010-1 A Trust 1.882 12/15/2014 Columbia Columbia 96950FAA2 Williams Partner Bond 2/2/2010 Citigroup 7,000,000 99.9540 6,996,780 Funds Short Term LP 3.800 Series Bond Fund 02/15/2015 Trust Columbia Columbia 544646YC0 Los Angeles Bond 10/2/2009 Citigroup 5,962,000 103.5570 6,174,068 Funds Short-Term Unified School Series Municipal District 3.000% Trust Bond Fund 07/01/2011 Columbia Columbia 544646YC0 Los Angeles Bond 10/2/2009 Goldman Sachs 4,471,500 103.5570 4,630,551 Funds Short-Term Unified School Series Municipal District 3.000% Trust Bond Fund 07/01/2011 Columbia Columbia 544646YC0 Los Angeles Bond 10/2/2009 Morgan Stanley 3,726,250 103.5570 3,858,793 Funds Short-Term Unified School Series Municipal District 3.000% Trust Bond Fund 07/01/2011 Columbia Columbia 544646YC0 Los Angeles Bond 10/2/2009 Cabrera Capital 745,250 103.5570 771,759 Funds Short-Term Unified School Markets Series Municipal District 3.000% Trust Bond Fund 07/01/2011 Columbia Columbia 64971MYB2 New York City Bond 10/16/2009 Goldman Sachs 1,750,000 110.2800 1,929,900 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 11/01/2012 Columbia Columbia 64971MYB2 New York City Bond 10/16/2009 Citigroup 350,000 110.2800 385,980 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 11/01/2012 Columbia Columbia 64971MYB2 New York City Bond 10/16/2009 JPMorgan 350,000 110.2800 385,980 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 11/01/2012 Columbia Columbia 64971MYB2 New York City Bond 10/16/2009 Morgan Stanley 350,000 110.2800 385,980 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 11/01/2012 Columbia Columbia 64971MYB2 New York City Bond 10/16/2009 Siebert, 350,000 110.2800 385,980 Funds Short-Term Transitional Brandford, Series Municipal Finance Shank & Co Trust Bond Fund Authority 5.000% 11/01/2012 Columbia Columbia 64971MYB2 New York City Bond 10/16/2009 Morgan Keegan 350,000 110.2800 385,980 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 11/01/2012 Columbia Columbia 64971MYW6 New York City Bond 10/16/2009 Goldman Sachs 3,397,500 111.5640 3,790,387 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 08/01/2014 Columbia Columbia 64971MYW6 New York City Bond 10/16/2009 Citigroup 679,500 111.5640 758,077 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 08/01/2014 Columbia Columbia 64971MYW6 New York City Bond 10/16/2009 JPMorgan 679,500 111.5640 758,077 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 08/01/2014 Columbia Columbia 64971MYW6 New York City Bond 10/16/2009 Morgan Stanley 679,500 111.5640 758,077 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 08/01/2014 Columbia Columbia 64971MYW6 New York City Bond 10/16/2009 Siebert, 679,500 111.5640 758,077 Funds Short-Term Transitional Brandford, Series Municipal Finance Shank & Co Trust Bond Fund Authority 5.000% 08/01/2014 Columbia Columbia 64971MYW6 New York City Bond 10/16/2009 Morgan Keegan 679,500 111.5640 758,077 Funds Short-Term Transitional Series Municipal Finance Trust Bond Fund Authority 5.000% 08/01/2014 Columbia Columbia 64711RGH3 New Mexico Bond 10/22/2009 Morgan Stanley 1,400,000 106.7090 1,493,926 Funds Short-Term Finance Series Municipal Authority State Trust Bond Fund Transportation 5.000% 06/15/2011 Columbia Columbia 64711RGH3 New Mexico Bond 10/22/2009 Merrill Lynch 300,000 106.7090 320,127 Funds Short-Term Finance Series Municipal Authority State Trust Bond Fund Transportation 5.000% 06/15/2011 Columbia Columbia 64711RGH3 New Mexico Bond 10/22/2009 Piper Jaffray & 300,000 106.7090 320,127 Funds Short-Term Finance Co Series Municipal Authority State Trust Bond Fund Transportation 5.000% 06/15/2011 Columbia Columbia 8371476S1 South Carolina Bond 10/23/2009 Citigroup 450,000 110.5130 497,309 Funds Short-Term Public Service Series Municipal Authority 5.000% Trust Bond Fund 01/01/2014 Columbia Columbia 8371476S1 South Carolina Bond 10/23/2009 Goldman Sachs 825,000 110.5130 911,732 Funds Short-Term Public Service Series Municipal Authority 5.000% Trust Bond Fund 01/01/2014 Columbia Columbia 8371476S1 South Carolina Bond 10/23/2009 Morgan Stanley 225,000 110.5130 248,654 Funds Short-Term Public Service Series Municipal Authority 5.000% Trust Bond Fund 01/01/2014 Columbia Columbia 13067JLD1 State of Bond 10/30/2009 Barclays 14,500,000 106.9420 15,506,590 Funds Short-Term California Series Municipal Economic Trust Bond Fund Recovery 5.000% 07/01/2023 Columbia Columbia 54810CQ37 Lower Colorado Bond 1/14/2010 Barclays 1,338,000 111.5480 1,492,512 Funds Short-Term River Authority Series Municipal 5.000 05/15/2014 Trust Bond Fund Columbia Columbia 54810CQ37 Lower Colorado Bond 1/14/2010 Goldman Sachs 223,000 111.5480 248,752 Funds Short-Term River Authority Series Municipal 5.000 05/15/2014 Trust Bond Fund Columbia Columbia 54810CQ37 Lower Colorado Bond 1/14/2010 Morgan Stanley 223,000 111.5480 248,752 Funds Short-Term River Authority Series Municipal 5.000 05/15/2014 Trust Bond Fund Columbia Columbia 54810CQ37 Lower Colorado Bond 1/14/2010 Citigroup 223,000 111.5480 248,752 Funds Short-Term River Authority Series Municipal 5.000 05/15/2014 Trust Bond Fund Columbia Columbia 54810CQ37 Lower Colorado Bond 1/14/2010 JPMorgan 223,000 111.5480 248,752 Funds Short-Term River Authority Series Municipal 5.000 05/15/2014 Trust Bond Fund Columbia Columbia 54810CQ45 Lower Colorado Bond 1/14/2010 Barclays 660,000 111.1730 733,742 Funds Short-Term River Authority Series Municipal 5.000 05/15/2015 Trust Bond Fund Columbia Columbia 54810CQ45 Lower Colorado Bond 1/14/2010 Goldman Sachs 110,000 111.1730 122,290 Funds Short-Term River Authority Series Municipal 5.000 05/15/2015 Trust Bond Fund Columbia Columbia 54810CQ45 Lower Colorado Bond 1/14/2010 Morgan Stanley 110,000 111.1730 122,290 Funds Short-Term River Authority Series Municipal 5.000 05/15/2015 Trust Bond Fund Columbia Columbia 54810CQ45 Lower Colorado Bond 1/14/2010 Citigroup 110,000 111.1730 122,290 Funds Short-Term River Authority Series Municipal 5.000 05/15/2015 Trust Bond Fund Columbia Columbia 54810CQ45 Lower Colorado Bond 1/14/2010 JPMorgan 110,000 111.1730 122,290 Funds Short-Term River Authority Series Municipal 5.000 05/15/2015 Trust Bond Fund Columbia Columbia 040588XZ3 State of Arizona Bond 1/14/2010 JPMorgan 1,000,000 109.9860 1,099,860 Funds Short-Term 5.000 10/01/2015 Series Municipal Trust Bond Fund Columbia Columbia 040588XZ3 State of Arizona Bond 1/14/2010 Citigroup 1,500,000 109.9860 1,649,790 Funds Short-Term 5.000 10/01/2015 Series Municipal Trust Bond Fund Columbia Columbia 040588XZ3 State of Arizona Bond 1/14/2010 Goldman Sachs 500,000 109.9860 549,930 Funds Short-Term 5.000 10/01/2015 Series Municipal Trust Bond Fund Columbia Columbia 040588XZ3 State of Arizona Bond 1/14/2010 Morgan Stanley 1,500,000 109.9860 1,649,790 Funds Short-Term 5.000 10/01/2015 Series Municipal Trust Bond Fund Columbia Columbia 040588XZ3 State of Arizona Bond 1/14/2010 Wells Fargo 500,000 109.9860 549,930 Funds Short-Term 5.000 10/01/2015 Series Municipal Trust Bond Fund Columbia Columbia 586111KM7 Memphis-Shelby Bond 1/22/2010 Morgan Keegan 1,236,000 101.1530 1,250,251 Funds Short-Term County Airport Series Municipal Authority 4.000 Trust Bond Fund 07/01/2015 Columbia Columbia 586111KM7 Memphis-Shelby Bond 1/22/2010 Morgan Stanley 618,000 101.1530 625,126 Funds Short-Term County Airport Series Municipal Authority 4.000 Trust Bond Fund 07/01/2015 Columbia Columbia 586111KM7 Memphis-Shelby Bond 1/22/2010 Siebert 206,000 101.1530 208,375 Funds Short-Term County Airport Brandford Series Municipal Authority 4.000 Trust Bond Fund 07/01/2015 Columbia Columbia 586111KN5 Memphis-Shelby Bond 1/22/2010 Morgan Keegan 600,000 104.7100 628,260 Funds Short-Term County Airport Series Municipal Authority 5.000 Trust Bond Fund 07/01/2016 Columbia Columbia 586111KN5 Memphis-Shelby Bond 1/22/2010 Morgan Stanley 300,000 104.7100 314,130 Funds Short-Term County Airport Series Municipal Authority 5.000 Trust Bond Fund 07/01/2016 Columbia Columbia 586111KN5 Memphis-Shelby Bond 1/22/2010 Siebert 100,000 104.7100 104,710 Funds Short-Term County Airport Brandford Series Municipal Authority 5.000 Trust Bond Fund 07/01/2016 Columbia Columbia 011710JE1 Alaska Bond 2/3/2010 Goldman Sachs 1,625,000 111.9620 1,819,383 Funds Short-Term Industrial Series Municipal Development and Trust Bond Fund Export Authority 5.000 04/01/2016 Columbia Columbia 011710JE1 Alaska Bond 2/3/2010 Merrill Lynch 875,000 111.9620 979,668 Funds Short-Term Industrial Series Municipal Development and Trust Bond Fund Export Authority 5.000 04/01/2016 Columbia Columbia 70917RYB5 Pennsylvania Bond 2/19/2010 PNC Capital 1,700,000 111.1720 1,889,924 Funds Short-Term Higher Markets Series Municipal Educational Trust Bond Fund Facilities Authority 5.000 05/15/2015 Columbia Columbia 70917RYB5 Pennsylvania Bond 2/19/2010 Merrill Lynch 1,275,000 111.1720 1,417,443 Funds Short-Term Higher Series Municipal Educational Trust Bond Fund Facilities Authority 5.000 05/15/2015 Columbia Columbia 70917RYB5 Pennsylvania Bond 2/19/2010 RBC Capital 1,275,000 111.1720 1,417,443 Funds Short-Term Higher Markets Series Municipal Educational Trust Bond Fund Facilities Authority 5.000 05/15/2015 Columbia Columbia 57582PUL2 The Commonwealth Bond 3/12/2010 JPMorgan 250,000 100.0000 250,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.820 02/01/2014 Columbia Columbia 57582PUL2 The Commonwealth Bond 3/12/2010 Citigroup 250,000 100.0000 250,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.820 02/01/2014 Columbia Columbia 57582PUL2 The Commonwealth Bond 3/12/2010 Fidelity 250,000 100.0000 250,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.820 02/01/2014 Columbia Columbia 57582PUL2 The Commonwealth Bond 3/12/2010 Goldman Sachs 250,000 100.0000 250,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.820 02/01/2014 Columbia Columbia 57582PUL2 The Commonwealth Bond 3/12/2010 Morgan Stanley 1,500,000 100.0000 1,500,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.820 02/01/2014 Columbia Columbia 57582PUK4 The Commonwealth Bond 3/12/2010 JPMorgan 1,450,000 100.0000 1,450,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.670 02/01/2013 Columbia Columbia 57582PUK4 The Commonwealth Bond 3/12/2010 Citigroup 1,450,000 100.0000 1,450,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.670 02/01/2013 Columbia Columbia 57582PUK4 The Commonwealth Bond 3/12/2010 Fidelity 1,450,000 100.0000 1,450,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.670 02/01/2013 Columbia Columbia 57582PUK4 The Commonwealth Bond 3/12/2010 Goldman Sachs 1,450,000 100.0000 1,450,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.670 02/01/2013 Columbia Columbia 57582PUK4 The Commonwealth Bond 3/12/2010 Morgan Stanley 8,700,000 100.0000 8,700,000 Funds Short-Term of Massachusetts Series Municipal General Trust Bond Fund Obligation 0.670 02/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 JPMorgan 1,900,000 100.0000 1,900,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Citigroup 1,400,000 100.0000 1,400,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 RBC Capital 250,000 100.0000 250,000 Funds Short-Term Property Markets Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 FirstSouthwest 250,000 100.0000 250,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Goldman Sachs 1,900,000 100.0000 1,900,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Jefferies & Co 250,000 100.0000 250,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Loop Capital 250,000 100.0000 250,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Merrill Lynch 1,400,000 100.0000 1,400,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Morgan Stanley 1,400,000 100.0000 1,400,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Ramirez & Co 250,000 100.0000 250,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Siebert 250,000 100.0000 250,000 Funds Short-Term Property Brandford Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 176553EH4 Florida Citizens Bond 3/24/2010 Wells Fargo 500,000 100.0000 500,000 Funds Short-Term Property Series Municipal Insurance Trust Bond Fund Corporation 1.990 06/01/2013 Columbia Columbia 419794XY3 State of Hawaii Bond 3/25/2010 Citigroup 5,950,000 108.3040 6,444,088 Funds Short-Term Airports System Series Municipal 5.000 07/01/2015 Trust Bond Fund Columbia Columbia 419794XY3 State of Hawaii Bond 3/25/2010 Merrill Lynch 700,000 108.3040 758,128 Funds Short-Term Airports System Series Municipal 5.000 07/01/2015 Trust Bond Fund Columbia Columbia 419794XY3 State of Hawaii Bond 3/25/2010 Piper Jaffray 350,000 108.3040 379,064 Funds Short-Term Airports System Series Municipal 5.000 07/01/2015 Trust Bond Fund Columbia Columbia 8371476Z5 South Carolina Bond 10/23/2009 Citigroup 450,000 105.0760 472,842 Funds South Public Service Series Carolina Authority 4.000% Trust Intermediate 01/01/2017 Municipal Bond Fund Columbia Columbia 8371476Z5 South Carolina Bond 10/23/2009 Goldman Sachs 825,000 105.0760 866,877 Funds South Public Service Series Carolina Authority 4.000% Trust Intermediate 01/01/2017 Municipal Bond Fund Columbia Columbia 8371476Z5 South Carolina Bond 10/23/2009 Morgan Stanley 225,000 105.0760 236,421 Funds South Public Service Series Carolina Authority 4.000% Trust Intermediate 01/01/2017 Municipal Bond Fund Columbia Columbia 544646XZ0 Los Angeles Bond 10/2/2009 Goldman Sachs 2,665,000 100.9650 2,690,717 Funds Total Return Unified School Series Bond Fund District 5.750% Trust 07/01/2034 Columbia Columbia 03523TAK4 Anheuser-Busch Bond 10/13/2009 Deutsche Bank 4,490,000 99.4590 4,465,709 Funds Total Return 6.375% 01/15/2040 Series Bond Fund Trust Columbia Columbia 262277AC0 Drummond Company Bond 10/15/2009 Citigroup 15,000 98.0530 14,708 Funds Total Return Incorporated Series Bond Fund 9.000% 10/15/2014 Trust Columbia Columbia 92552VAA8 Viasat Bond 10/19/2009 JPMorgan 30,000 98.7570 29,627 Funds Total Return Incorporated Series Bond Fund 8.875% 09/15/2016 Trust Columbia Columbia 09747FAA3 Boise Paper Bond 10/21/2009 JPMorgan 30,000 99.2970 29,789 Funds Total Return Holdings LLC Series Bond Fund 9.000% 11/01/2017 Trust Columbia Columbia 63934EAM0 Navistar Bond 10/22/2009 Credit Suisse 135,000 96.3280 130,043 Funds Total Return International Series Bond Fund Corporation Trust 8.250% 11/01/2021 Columbia Columbia 817565BU7 Service Corp Bond 11/5/2009 JPMorgan 65,000 98.1150 63,775 Funds Total Return International Series Bond Fund 8.000% 11/15/2021 Trust Columbia Columbia 17275RAF9 Cisco Systems Bond 11/9/2009 Deutsche Bank 3,250,000 97.4390 3,166,768 Funds Total Return Incorporated Series Bond Fund 5.500% 01/15/2040 Trust Columbia Columbia 080555AJ4 Belo Corporation Bond 11/10/2009 JPMorgan 30,000 98.0450 29,414 Funds Total Return 8.000% 11/15/2016 Series Bond Fund Trust Columbia Columbia 02208RAA4 Altra Holdings Bond 11/16/2009 Jefferies & Co 85,000 98.6910 83,887 Funds Total Return Incorporated Series Bond Fund 8.125% 12/01/2016 Trust Columbia Columbia 500605AC4 Koppers Bond 11/20/2009 Goldman Sachs 30,000 98.3110 29,493 Funds Total Return Incorporated Series Bond Fund 7.875% 12/01/2019 Trust Columbia Columbia 410345AF9 Hanesbrands Bond 12/3/2009 JPMorgan 35,000 98.6860 34,540 Funds Total Return Incorporated Series Bond Fund 8.000% 12/15/2016 Trust Columbia Columbia 88732JAW8 Time Warner Bond 12/8/2009 Goldman Sachs 1,292,000 97.9200 1,265,126 Funds Total Return Cable Series Bond Fund Incorporated Trust 5.000% 02/01/2020 Columbia Columbia 36962G4J0 General Electric Bond 1/5/2010 Morgan Stanley 5,526,000 99.6580 5,507,101 Funds Total Return Capital Series Bond Fund Corporation Trust 5.500 01/08/2020 Columbia Columbia 53947MAA4 Lloyds TSB Bank Bond 1/5/2010 Citigroup 7,020,000 99.9960 7,019,719 Funds Total Return PLC 4.375 Series Bond Fund 01/12/2015 Trust Columbia Columbia 755267AG6 Reader's Digest Bond 2/2/2010 JPMorgan 130,000 97.0000 126,100 Funds Total Return Assn Series Bond Fund Incorporated Trust 9.500 02/15/2017 Columbia Columbia 693476BH5 PNC Funding Bond 2/3/2010 Morgan Stanley 3,245,000 99.9000 3,241,755 Funds Total Return Corporation Series Bond Fund 3.625 02/08/2015 Trust Columbia Columbia 693476BJ1 PNC Funding Bond 2/3/2010 JPMorgan 2,720,000 99.8610 2,716,219 Funds Total Return Corporation Series Bond Fund 5.125 02/08/2020 Trust Columbia Columbia 563571AG3 Manitowoc Bond 2/3/2010 JPMorgan 85,000 100.0000 85,000 Funds Total Return Company Series Bond Fund Incorporated Trust 9.500 02/15/2018 Columbia Columbia 44701QAT9 Huntsman Bond 3/12/2010 Goldman Sachs 40,000 100.0000 40,000 Funds Total Return International Series Bond Fund LLC 8.625 Trust 03/15/2020 Columbia Columbia 747262AE3 QVC Incorporated Bond 3/17/2010 JPMorgan 115,000 100.0000 115,000 Funds Total Return 7.375 10/15/2020 Series Bond Fund Trust Columbia Columbia 303823JH2 Industrial Bond 12/3/2009 BB&T Capital 150,000 103.4110 155,117 Funds Virginia Development Markets Series Intermediate Authority of Trust Municipal Fairfax County, Bond Fund Virginia 5.000% 05/15/2025 Columbia Columbia 303823JH2 Industrial Bond 12/3/2009 JPMorgan 150,000 103.4110 155,117 Funds Virginia Development Series Intermediate Authority of Trust Municipal Fairfax County, Bond Fund Virginia 5.000% 05/15/2025 Columbia Columbia 303823JH2 Industrial Bond 12/3/2009 Citigroup 700,000 103.4110 723,877 Funds Virginia Development Series Intermediate Authority of Trust Municipal Fairfax County, Bond Fund Virginia 5.000% 05/15/2025 Columbia Columbia 655867HV4 City of Norfolk, Bond 1/14/2010 BB&T Capital 200,000 109.2200 218,440 Funds Virginia Virginia General Series Intermediate Obligation 4.000 Trust Municipal 03/01/2016 Bond Fund Columbia Columbia 655867HV4 City of Norfolk, Bond 1/14/2010 Morgan Keegan 1,000,000 109.2200 1,092,200 Funds Virginia Virginia General Series Intermediate Obligation 4.000 Trust Municipal 03/01/2016 Bond Fund Columbia Columbia 655867HV4 City of Norfolk, Bond 1/14/2010 Morgan Stanley 400,000 109.2200 436,880 Funds Virginia Virginia General Series Intermediate Obligation 4.000 Trust Municipal 03/01/2016 Bond Fund Columbia Columbia 655867HV4 City of Norfolk, Bond 1/14/2010 Wells Fargo 400,000 109.2200 436,880 Funds Virginia Virginia General Series Intermediate Obligation 4.000 Trust Municipal 03/01/2016 Bond Fund Columbia Corporate 544646XZ0 Los Angeles Bond 10/2/2009 Goldman Sachs 115,000 100.9650 116,110 Funds Bond Unified School Series Portfolio District 5.750% Trust 07/01/2034 Columbia Corporate 03523TAK4 Anheuser-Busch Bond 10/13/2009 Deutsche Bank 215,000 99.4590 213,837 Funds Bond 6.375% 01/15/2040 Series Portfolio Trust Columbia Corporate 17275RAF9 Cisco Systems Bond 11/9/2009 Deutsche Bank 135,000 97.4390 131,543 Funds Bond Incorporated Series Portfolio 5.500% 01/15/2040 Trust Columbia Corporate 88732JAW8 Time Warner Bond 12/8/2009 Goldman Sachs 69,000 97.9200 67,565 Funds Bond Cable Series Portfolio Incorporated Trust 5.000% 02/01/2020 Columbia Corporate 693476BH5 PNC Funding Bond 2/3/2010 Morgan Stanley 145,000 99.9000 144,855 Funds Bond Corporation Series Portfolio 3.625 02/08/2015 Trust Columbia Corporate 693476BJ1 PNC Funding Bond 2/3/2010 JPMorgan 120,000 99.8610 119,833 Funds Bond Corporation Series Portfolio 5.125 02/08/2020 Trust
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