0001193125-16-778850.txt : 20161129 0001193125-16-778850.hdr.sgml : 20161129 20161129091902 ACCESSION NUMBER: 0001193125-16-778850 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161129 DATE AS OF CHANGE: 20161129 EFFECTIVENESS DATE: 20161129 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 SEC ACT: 1940 Act SEC FILE NUMBER: 811-09645 FILM NUMBER: 162021378 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 Columbia Short Term Bond Fund Class A NSTRX C000029789 Columbia Short Term Bond Fund Class B NSTFX C000029790 Columbia Short Term Bond Fund Class C NSTIX C000029791 Columbia Short Term Bond Fund Class Z NSTMX C000079024 Columbia Short Term Bond Fund Class Y CSBYX C000094637 Columbia Short Term Bond Fund Class I CTMIX C000094638 Columbia Short Term Bond Fund Class R CSBRX C000094639 Columbia Short Term Bond Fund Class K CBRFX C000094640 Columbia Short Term Bond Fund Class W CSBWX C000122568 Columbia Short Term Bond Fund Class R4 CMDRX C000122569 Columbia Short Term Bond Fund Class R5 CCBRX NSAR-A 1 d399040dnsara.fil COLUMBIA FUNDS SERIES TRUST PAGE 1 000 A000000 09/30/2016 000 C000000 0001097519 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 COLUMBIA FUNDS SERIES TRUST 001 B000000 811-09645 001 C000000 6173859594 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 25 007 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 012 C03AA01 02266 012 C04AA01 8081 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 PAGE 2 014 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 A003901 JPMORGAN CHASE BANK, N.A. 015 B003901 C 015 C013901 NEW YORK 015 C023901 NY 015 C033901 10005 015 E013901 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 195 019 C00AA00 COLUMBIAFD 020 A000001 ROYAL BANK OF SCOTLAND 020 C000001 14 021 000000 14 022 A000001 WELLS FARGO INVESTMENTS, LLC 022 B000001 91-1374280 022 C000001 392471 022 D000001 222550 022 A000002 DEUTSCHE BANK SECURITIES INC. 022 B000002 13-2730828 022 C000002 260915 022 D000002 248649 022 A000003 J.P. MORGAN SECURITIES, INC. 022 B000003 13-3224016 022 C000003 175749 022 D000003 141866 022 A000004 GOLDMAN, SACHS & CO. 022 B000004 13-5108880 022 C000004 98122 022 D000004 122911 022 A000005 BARCLAYS CAPITAL 022 B000005 13-3297824 022 C000005 69124 022 D000005 83473 022 A000006 CREDIT SUISSE SECURITIES (USA) L.L.C. 022 B000006 13-5659485 022 C000006 125788 022 D000006 12005 022 A000007 Morgan Stanley 022 B000007 13-2655998 022 C000007 94691 022 D000007 26650 022 A000008 CITIGROUP GLOBAL MARKETS INC. 022 B000008 11-2418191 PAGE 3 022 C000008 66406 022 D000008 38653 022 A000009 US BANCORP 022 B000009 41-0255900 022 C000009 22788 022 D000009 21410 022 A000010 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000010 13-5674085 022 C000010 37820 022 D000010 0 023 C000000 1591003 023 D000000 1147317 024 003900 Y 025 A003901 Chase Issuance Trust 025 B003901 22-2382028 025 C003901 D 025 D003901 21641 025 A003902 Morgan Stanley BOA Merrill Lynch Trust 025 B003902 13-2655998 025 C003902 D 025 D003902 18574 025 A003903 The Bear Stearns Companies LLC 025 B003903 13-3299429 025 C003903 D 025 D003903 13961 025 A003904 Citigroup, Inc. 025 B003904 11-2418191 025 C003904 D 025 D003904 13451 025 A003905 The Goldman Sachs Group, Inc. 025 B003905 13-5108880 025 C003905 D 025 D003905 13105 025 A003906 Bear Stearns Commercial Mortgage Securities 025 B003906 13-3299429 025 C003906 D 025 D003906 12526 025 A003907 Morgan Stanley 025 B003907 13-2655998 025 C003907 D 025 D003907 11786 025 A003908 LB-UBS Commercial Mortgage Trust 025 B003908 13-2518466 025 C003908 D 025 D003908 9367 025 A003909 PNC Bank NA 025 B003909 25-1471636 025 C003909 D 025 D003909 8164 025 A003910 Citigroup/Deutsche Bank Comm. Mort. Trust 025 B003910 11-2418191 PAGE 4 025 C003910 D 025 D003910 6965 025 A003911 JPMorgan Resecuritization Trust 025 B003911 13-3224016 025 C003911 D 025 D003911 3644 025 A003912 Credit Suisse Mortgage Capital Certificates 025 B003912 13-5659485 025 C003912 D 025 D003912 2430 025 A003913 GS Mortgage Securities Trust 025 B003913 13-5108880 025 C003913 D 025 D003913 1440 025 A003914 JPMorgan Chase Commerical Mort. Sec. Trust 025 B003914 13-3224016 025 C003914 D 025 D003914 190 025 A003915 Morgan Stanley Capital I Trust 025 B003915 13-2655998 025 C003915 D 025 D003915 0 025 A003916 Morgan Stanley Re-Remic Trust 025 B003916 13-2655998 025 C003916 D 025 D003916 0 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 028 A013900 65235 028 A023900 463 028 A033900 0 028 A043900 41928 028 B013900 23572 028 B023900 572 028 B033900 0 028 B043900 64129 028 C013900 52572 028 C023900 667 028 C033900 0 028 C043900 38486 028 D013900 49411 028 D023900 741 028 D033900 0 PAGE 5 028 D043900 34512 028 E013900 24439 028 E023900 818 028 E033900 0 028 E043900 64275 028 F013900 20849 028 F023900 822 028 F033900 0 028 F043900 39632 028 G013900 236078 028 G023900 4083 028 G033900 0 028 G043900 282962 028 H003900 240161 029 003900 Y 030 A003900 51 030 B003900 1.00 030 C003900 0.00 031 A003900 0 031 B003900 102 032 003900 11 033 003900 142 034 003900 Y 035 003900 1 036 A003900 N 036 B003900 0 037 003900 N 038 003900 0 039 003900 Y 040 003900 Y 041 003900 Y 042 A003900 0 042 B003900 0 042 C003900 100 042 D003900 0 042 E003900 0 042 F003900 0 042 G003900 0 042 H003900 0 043 003900 777 044 003900 0 045 003900 Y 046 003900 N 047 003900 Y 048 003900 0.000 048 A013900 500000 048 A023900 0.430 048 B013900 500000 048 B023900 0.425 048 C013900 1000000 048 C023900 0.415 PAGE 6 048 D013900 1000000 048 D023900 0.410 048 E013900 3000000 048 E023900 0.395 048 F013900 1500000 048 F023900 0.380 048 G013900 1500000 048 G023900 0.365 048 H013900 1000000 048 H023900 0.360 048 I013900 2000000 048 I023900 0.350 048 J013900 3000000 048 J023900 0.340 048 K013900 50000000 048 K023900 0.280 049 003900 N 050 003900 N 051 003900 N 052 003900 N 053 A003900 Y 053 B003900 Y 053 C003900 N 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 A003900 N 055 B003900 N 056 003900 Y 057 003900 N 058 A003900 N 059 003900 Y 060 A003900 Y 060 B003900 Y 061 003900 2000 062 A003900 Y 062 B003900 0.0 062 C003900 0.0 062 D003900 0.0 PAGE 7 062 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 10.0 062 N003900 20.4 062 O003900 0.5 062 P003900 59.6 062 Q003900 7.5 062 R003900 2.9 063 A003900 0 063 B003900 2.0 064 A003900 Y 064 B003900 N 066 A003900 N 067 003900 N 068 A003900 N 068 B003900 N 069 003900 N 070 A013900 Y 070 A023900 N 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 Y 070 L013900 Y 070 L023900 Y 070 M013900 Y 070 M023900 N 070 N013900 Y 070 N023900 N PAGE 8 070 O013900 Y 070 O023900 N 070 P013900 Y 070 P023900 N 070 Q013900 Y 070 Q023900 N 070 R013900 Y 070 R023900 N 071 A003900 722177 071 B003900 746132 071 C003900 1880942 071 D003900 38 072 A003900 6 072 B003900 16009 072 C003900 93 072 D003900 0 072 E003900 0 072 F003900 4055 072 G003900 0 072 H003900 0 072 I003900 1419 072 J003900 14 072 K003900 52 072 L003900 0 072 M003900 47 072 N003900 72 072 O003900 0 072 P003900 0 072 Q003900 0 072 R003900 18 072 S003900 14 072 T003900 777 072 U003900 0 072 V003900 0 072 W003900 28 072 X003900 6496 072 Y003900 711 072 Z003900 10317 072AA003900 0 072BB003900 2099 072CC013900 11030 072CC023900 0 072DD013900 1193 072DD023900 7057 072EE003900 0 073 A013900 0.0000 073 A023900 0.0000 073 B003900 0.0000 073 C003900 0.0000 074 A003900 0 074 B003900 0 PAGE 9 074 C003900 0 074 D003900 1850420 074 E003900 0 074 F003900 0 074 G003900 0 074 H003900 0 074 I003900 54424 074 J003900 11 074 K003900 3 074 L003900 8676 074 M003900 46 074 N003900 1913580 074 O003900 21665 074 P003900 505 074 Q003900 0 074 R013900 0 074 R023900 0 074 R033900 0 074 R043900 3185 074 S003900 0 074 T003900 1888225 074 U013900 35643 074 U023900 152950 074 V013900 0.00 074 V023900 0.00 074 W003900 0.0000 074 X003900 11438 074 Y003900 0 075 A003900 0 075 B003900 1920704 076 003900 0.00 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N PAGE 10 080 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 21, 2016 Name of Registrant, Depositor, or Trustee: Columbia Funds Series Trust /s/ Michael G. Clarke -------------------------- Michael G. Clarke Treasurer /s/ Martha A. Skinner -------------------------- Martha A. Skinner Vice President Witness COLUMBIA FUNDS SERIES TRUST EX-99.77E 2 d399040dex9977e.htm EXHIBIT 77E Exhibit 77E

77E. Information Regarding Pending and Settled Legal Proceedings

Ameriprise Financial and certain of its affiliates have historically been involved in a number of legal, arbitration and regulatory proceedings, including routine litigation, class actions, and governmental actions, concerning matters arising in connection with the conduct of their business activities. Ameriprise Financial believes that the Funds are not currently the subject of, and that neither Ameriprise Financial nor any of its affiliates are the subject of, any pending legal, arbitration or regulatory proceedings that are likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds. Ameriprise Financial is required to make quarterly (10-Q), annual (10-K) and, as necessary, 8-K filings with the Securities and Exchange Commission (SEC) on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov.

There can be no assurance that these matters, or the adverse publicity associated with them, will not result in increased fund redemptions, reduced sale of fund shares or other adverse consequences to the Funds. Further, although we believe proceedings are not likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds, these proceedings are subject to uncertainties and, as such, we are unable to estimate the possible loss or range of loss that may result. An adverse outcome in one or more of these proceedings could result in adverse judgments, settlements, fines, penalties or other relief that could have a material adverse effect on the consolidated financial condition or results of operations of Ameriprise Financial.