0000950123-12-013338.txt : 20121128 0000950123-12-013338.hdr.sgml : 20121128 20121128164207 ACCESSION NUMBER: 0000950123-12-013338 CONFORMED SUBMISSION TYPE: NSAR-A/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121128 DATE AS OF CHANGE: 20121128 EFFECTIVENESS DATE: 20121128 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-A/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09645 FILM NUMBER: 121229467 BUSINESS ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174263750 MAIL ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: NATIONS FUNDS TRUST DATE OF NAME CHANGE: 19991022 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 C000094637 Class I CTMIX C000094638 Class R CSBRX C000094639 Class K CBRFX C000094640 Class W CSBWX C000122568 Class R4 CMDRX C000122569 Class R5 CCBRX 0001097519 S000010822 Corporate Bond Portfolio C000030048 Corporate Bond Portfolio Shares NCOBX 0001097519 S000010823 Mortgage- and Asset-Backed Portfolio C000030049 Mortgage- and Asset-Backed Portfolio Shares NMTGX NSAR-A/A 1 441069answer.fil SEMI ANNUAL REPORT AMENDMENT PAGE 1 000 A000000 09/30/2012 000 C000000 0001097519 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 Y 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 COLUMBIA FUNDS SERIES TRUST 001 B000000 811-09645 001 C000000 6126715682 002 A000000 225 FRANKLIN STREET 002 B000000 BOSTON 002 C000000 MA 002 D010000 02110 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 31 007 C012200 22 007 C022200 Corporate Bond Portfolio 007 C032200 Y 007 C012400 24 007 C022400 Mortgage- and Asset-Backed Portfolio 007 C032400 Y 007 C013900 39 007 C023900 Columbia Short Term Bond Fund 007 C033900 N 008 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 008 B00AA01 A 008 C00AA01 801-25943 008 D01AA01 BOSTON 008 D02AA01 MA 008 D03AA01 02110 010 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 010 B00AA01 801-25943 010 C01AA01 BOSTON 010 C02AA01 MA 010 C03AA01 02110 011 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC. 011 B00AA01 8-25845 011 C01AA01 BOSTON 011 C02AA01 MA 011 C03AA01 02110 012 A00AA01 COLUMBIA MANAGEMENT INVESTMENT SERVICES CORP. 012 B00AA01 84-05685 012 C01AA01 BOSTON 012 C02AA01 MA PAGE 2 012 C03AA01 02266 012 C04AA01 8081 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 014 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC. 014 B00AA01 8-25845 014 A00AA02 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 014 B00AA02 8-42582 014 A00AA03 AMERIPRISE FINANCIAL SERVICES, INC. 014 B00AA03 8-16791 014 A00AA04 RIVERSOURCE DISTRIBUTORS, INC. 014 B00AA04 8-67196 015 A002201 JPMORGAN CHASE BANK, N.A. 015 B002201 C 015 C012201 NEW YORK 015 C022201 NY 015 C032201 10005 015 E012201 X 015 A002202 AB SEB BANKAS 015 B002202 S 015 C012202 VILNIUS 015 D012202 LITHUANIA 015 E042202 X 015 A002203 BANCO BCT, S.A. 015 B002203 S 015 C012203 SAN JOSE 015 D012203 COSTA RICA 015 E042203 X 015 A002204 BANCO ITAU URUGUAY S.A. 015 B002204 S 015 C012204 MONTEVIDEO 015 D012204 URUGUAY 015 E042204 X 015 A002205 BANCO NACIONAL DE MEXICO, S.A. 015 B002205 S 015 C012205 MEXICO CITY 015 D012205 MEXICO 015 E042205 X 015 A002206 BANCO SANTANDER CHILE 015 B002206 S 015 C012206 SANTIAGO 015 D012206 CHILE 015 E042206 X 015 A002207 BANK HANDLOWY W. 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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 003900 0.000 048 A013900 1000000 048 A023900 0.360 048 B013900 1000000 048 B023900 0.355 048 C013900 1000000 048 C023900 0.350 048 D013900 3000000 PAGE 19 048 D023900 0.345 048 E013900 1500000 048 E023900 0.330 048 F013900 1500000 048 F023900 0.315 048 G013900 1000000 048 G023900 0.310 048 H013900 5000000 048 H023900 0.300 048 I013900 5000000 048 I023900 0.290 048 J013900 4000000 048 J023900 0.280 048 K013900 50000000 048 K023900 0.240 049 002200 N 049 002400 N 049 003900 N 050 002200 N 050 002400 N 050 003900 N 051 002200 N 051 002400 N 051 003900 N 052 002200 N 052 002400 N 052 003900 N 053 A002200 N 053 A002400 N 053 A003900 Y 053 B003900 Y 053 C003900 N 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 PAGE 20 054 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 A003900 Y 054 B003900 Y 054 C003900 Y 054 D003900 N 054 E003900 N 054 F003900 N 054 G003900 Y 054 H003900 Y 054 I003900 N 054 J003900 Y 054 K003900 N 054 L003900 Y 054 M003900 Y 054 N003900 N 054 O003900 Y 055 A002200 N 055 B002200 N 055 A002400 Y 055 B002400 N 055 A003900 N 055 B003900 N 056 002200 Y 056 002400 Y 056 003900 Y 057 002200 N 057 002400 N 057 003900 N 058 A002200 N 058 A002400 N 058 A003900 N 059 002200 Y 059 002400 Y 059 003900 Y 060 A002200 Y 060 B002200 Y 060 A002400 Y 060 B002400 Y 060 A003900 Y 060 B003900 Y 061 002200 0 PAGE 21 061 002400 0 061 003900 2000 062 A002200 N 062 B002200 0.0 062 C002200 0.0 062 D002200 0.0 062 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 0.0 062 N002200 0.0 062 O002200 0.0 062 P002200 0.0 062 Q002200 0.0 062 R002200 0.0 062 A002400 N 062 B002400 0.0 062 C002400 0.0 062 D002400 0.0 062 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 0.0 062 N002400 0.0 062 O002400 0.0 062 P002400 0.0 062 Q002400 0.0 062 R002400 0.0 062 A003900 Y 062 B003900 0.0 062 C003900 0.0 062 D003900 0.0 062 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 18.8 PAGE 22 062 N003900 23.5 062 O003900 0.6 062 P003900 54.4 062 Q003900 4.1 062 R003900 0.0 063 A002200 0 063 B002200 0.0 063 A002400 0 063 B002400 0.0 063 A003900 0 063 B003900 9.9 064 A003900 Y 064 B003900 N 066 A002200 N 066 A002400 N 066 A003900 N 067 002200 N 067 002400 N 067 003900 N 068 A002200 N 068 B002200 N 068 A002400 N 068 B002400 N 068 A003900 N 068 B003900 N 069 002200 N 069 002400 N 069 003900 N 070 A012200 Y 070 A022200 N 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 N 070 K012200 Y 070 K022200 Y 070 L012200 Y PAGE 23 070 L022200 Y 070 M012200 Y 070 M022200 N 070 N012200 Y 070 N022200 N 070 O012200 Y 070 O022200 N 070 P012200 Y 070 P022200 N 070 Q012200 Y 070 Q022200 N 070 R012200 Y 070 R022200 N 070 A012400 Y 070 A022400 N 070 B012400 Y 070 B022400 N 070 C012400 Y 070 C022400 N 070 D012400 Y 070 D022400 N 070 E012400 Y 070 E022400 Y 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 N 070 K012400 Y 070 K022400 Y 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 A013900 Y 070 A023900 N PAGE 24 070 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 N 070 K013900 Y 070 K023900 Y 070 L013900 Y 070 L023900 Y 070 M013900 Y 070 M023900 N 070 N013900 Y 070 N023900 N 070 O013900 Y 070 O023900 N 070 P013900 Y 070 P023900 N 070 Q013900 Y 070 Q023900 N 070 R013900 Y 070 R023900 N 071 A002200 4987 071 B002200 26898 071 C002200 17725 071 D002200 28 071 A002400 66710 071 B002400 129956 071 C002400 61789 071 D002400 108 071 A003900 1487325 071 B003900 1726793 071 C003900 2759693 071 D003900 54 072 A002200 5 072 B002200 10 072 C002200 374 072 D002200 0 072 E002200 0 PAGE 25 072 F002200 0 072 G002200 0 072 H002200 0 072 I002200 0 072 J002200 0 072 K002200 0 072 L002200 0 072 M002200 0 072 N002200 0 072 O002200 0 072 P002200 0 072 Q002200 0 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072 T003900 1224 072 U003900 0 072 V003900 0 072 W003900 47 072 X003900 10150 072 Y003900 1752 072 Z003900 19135 072AA003900 19703 072BB003900 0 072CC013900 0 072CC023900 1884 072DD013900 3773 072DD023900 15569 072EE003900 0 073 A012200 0.2235 073 A022200 0.0000 073 B002200 0.0000 073 C002200 0.0000 073 A012400 0.1284 073 A022400 0.0000 073 B002400 0.5488 073 C002400 0.0000 PAGE 27 073 A013900 0.0000 073 A023900 0.0000 073 B003900 0.0000 073 C003900 0.0000 074 A002200 0 074 B002200 0 074 C002200 0 074 D002200 0 074 E002200 0 074 F002200 0 074 G002200 0 074 H002200 0 074 I002200 0 074 J002200 0 074 K002200 0 074 L002200 0 074 M002200 0 074 N002200 0 074 O002200 0 074 P002200 0 074 Q002200 0 074 R012200 0 074 R022200 0 074 R032200 0 074 R042200 0 074 S002200 0 074 T002200 0 074 U012200 0 074 U022200 0 074 V012200 0.00 074 V022200 0.00 074 W002200 0.0000 074 X002200 0 074 Y002200 0 074 A002400 0 074 B002400 0 074 C002400 0 074 D002400 0 074 E002400 0 074 F002400 0 074 G002400 0 074 H002400 0 074 I002400 0 074 J002400 0 074 K002400 0 074 L002400 0 074 M002400 0 074 N002400 0 074 O002400 0 074 P002400 0 074 Q002400 0 PAGE 28 074 R012400 0 074 R022400 0 074 R032400 0 074 R042400 0 074 S002400 0 074 T002400 0 074 U012400 0 074 U022400 0 074 V012400 0.00 074 V022400 0.00 074 W002400 0.0000 074 X002400 0 074 Y002400 0 074 A003900 0 074 B003900 0 074 C003900 0 074 D003900 2624491 074 E003900 0 074 F003900 0 074 G003900 0 074 H003900 0 074 I003900 109111 074 J003900 95236 074 K003900 11 074 L003900 16692 074 M003900 21 074 N003900 2845562 074 O003900 147406 074 P003900 627 074 Q003900 0 074 R013900 0 074 R023900 0 074 R033900 0 074 R043900 31789 074 S003900 0 074 T003900 2665740 074 U013900 60211 074 U023900 206247 074 V013900 0.00 074 V023900 0.00 074 W003900 0.0000 074 X003900 31318 074 Y003900 1504 075 A002200 0 075 B002200 21544 075 A002400 0 075 B002400 61920 075 A003900 0 075 B003900 2805591 076 002200 0.00 076 002400 0.00 PAGE 29 076 003900 0.00 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 Y 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 C00AA00 0 081 B00AA00 0 082 B00AA00 0 083 B00AA00 0 084 B00AA00 0 086 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 SEE BELOW TITLE SEE BELOW This report is signed on behalf of the registrant (or depositor or trustee). City of: Boston State of: Massachusetts Date: November 20, 2012 Name of Registrant, Depositor, or Trustee: Columbia Funds Series Trust /s/ Michael G. Clarke ---------------------------- Michael G. Clarke Treasurer /s/ Wade M. Voigt ---------------------------- Wade M. Voigt Assistant Treasurer Witness COLUMBIA FUNDS SERIES TRUST EX-99.77D POLICIES 2 dex9977d.txt EX-99.77.D Exhibit 77D COLUMBIA FUNDS SERIES TRUST - SEMI-ANNUAL N-SAR REPORT FOR THE PERIOD ENDING 9/30/12 Corporate Bond Portfolio Mortgage- and Asset-Backed Portfolio -------------------------------------------------------------------------------- ITEM 77D/77Q1(B) - POLICIES WITH RESPECT TO SECURITIES INVESTMENTS: On May 4, 2012, Form Type 497, ACCESSION NO. 0001193125-12-210858, a supplement to the registration statement of Columbia Funds Series Trust on behalf of Corporate Bond Portfolio was filed with the SEC. It is hereby incorporated by reference as part of the response to these Items 77D and 77Q1(b) of Form N-SAR. The supplement made material changes to the disclosure in the Principal Investment Strategies section of the Fund's prospectus by deleting the fourth and fifth paragraphs in the Principal Investment Strategies section of the prospectus in their entirety and replacing them with the following: The Adviser evaluates a number of factors in identifying investment opportunities and constructing the Fund's portfolio. The selection of individual debt obligations is the primary decision in building the portfolio. The Adviser evaluates a security based on its potential to generate income and/or capital appreciation. The Adviser considers, among other factors, the creditworthiness of the issuer of the security and the various features of the security, such as its interest rate, yield, maturity, any call features and value relative to other securities. The Adviser also considers local, national and global economic conditions, market conditions, interest rate movements and other relevant factors in allocating the Fund's assets among issuers, securities, industry sectors and maturities. EX-99.77E LEGAL 3 dex9977e.txt EX-99.77.E Exhibit 77E COLUMBIA FUNDS SERIES TRUST - SEMI-ANNUAL N-SAR REPORT FOR THE PERIOD ENDING 9/30/12 Corporate Bond Portfolio Mortgage- and Asset-Backed Portfolio Columbia Short Term Bond Fund -------------------------------------------------------------------------------- ITEM 77E/77Q1 - LEGAL PROCEEDINGS: 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 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 funds' Boards of Trustees. 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.