-----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, I+Mm+EOaINkUZ7In2HIehB13quGTcVkkhIj6DuyWT7ZyGoh1UkU85Ror9lbyxMMu FdMUwzgAuTgZcURn4R9YPQ== 0000773757-07-000043.txt : 20070301 0000773757-07-000043.hdr.sgml : 20070301 20070301153126 ACCESSION NUMBER: 0000773757-07-000043 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070301 DATE AS OF CHANGE: 20070301 EFFECTIVENESS DATE: 20070301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLUMBIA FUNDS SERIES TRUST I CENTRAL INDEX KEY: 0000773757 IRS NUMBER: 363376651 STATE OF INCORPORATION: MA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04367 FILM NUMBER: 07663033 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 8003382550 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: COLUMBIA FUNDS TRUST IX DATE OF NAME CHANGE: 20031107 FORMER COMPANY: FORMER CONFORMED NAME: LIBERTY STEIN ROE FUNDS MUNICIPAL TRUST DATE OF NAME CHANGE: 19991025 FORMER COMPANY: FORMER CONFORMED NAME: STEINROE MUNICIPAL TRUST DATE OF NAME CHANGE: 19920703 0000773757 S000010615 Columbia High Yield Municipal Fund C000029350 Class A C000029351 Class B C000029352 Class C C000029353 Class Z 0000773757 S000012102 Columbia Small Cap Value Fund I C000033005 Class A C000033006 Class B C000033007 Class C C000033008 Class Z NSAR-A 1 answer.fil PAGE 1 000 A000000 12/31/2006 000 C000000 0000773757 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 I 001 B000000 811-4367 001 C000000 6174263750 002 A000000 ONE FINANCIAL CENTER 002 B000000 BOSTON 002 C000000 MA 002 D010000 02111 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 38 007 C010200 2 007 C020200 COLUMBIA HIGH YIELD MUNICIPAL FUND 007 C030200 N 007 C010700 7 007 C020700 COLUMBIA SMALL CAP VALUE FUND I 007 C030700 N 008 A00AA01 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B00AA01 A 008 C00AA01 801-5930 008 D01AA01 BOSTON 008 D02AA01 MA 008 D03AA01 02110 010 A00AA01 COLUMBIA MANAGEMENT ADVISORS, LLC 010 B00AA01 801-5930 010 C01AA01 BOSTON 010 C02AA01 MA 010 C03AA01 02110 011 A00AA01 COLUMBIA MANAGEMENT DISTRIBUTORS, INC. 011 B00AA01 8-30683 011 C01AA01 BOSTON 011 C02AA01 MA 011 C03AA01 02111 012 A00AA01 COLUMBIA MANAGEMENT SERVICES, INC. 012 B00AA01 84-1329 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02266 012 C04AA01 8081 013 A00AA01 PRICEWATERHOUSECOOPERS LLP PAGE 2 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 BA SECURITES AUSTRALIA LIMITED 014 B00AA01 8-99999 014 A00AA02 BANC OF AMERICA FINANCE SERVICES, INC. 014 B00AA02 8-99999 014 A00AA03 BANC OF AMERICA INVESTMENT SERVICES, INC. 014 B00AA03 8-42263 014 A00AA04 BANC OF AMERICA SECURITIES - JAPAN, INC. 014 B00AA04 8-99999 014 A00AA05 BANC OF AMERICA SECURITIES (INDIA) 014 B00AA05 8-99999 014 A00AA06 BANC OF AMERICA SECURITIES ASIA LIMITED 014 B00AA06 8-99999 014 A00AA07 BANC OF AMERICA SECURITIES CANADA CO. 014 B00AA07 8-99999 014 A00AA08 BANC OF AMERICA SECURITIES IRELAND 014 B00AA08 8-99999 014 A00AA09 BANC OF AMERICA SECURITIES LIMITED 014 B00AA09 8-99999 014 A00AA10 BANC OF AMERICA SECURITIES, LLC 014 B00AA10 8-33805 014 A00AA11 BANC OF AMERICA SECURITIES, CASA DE BOLSA 014 B00AA11 8-99999 014 A00AA12 BANC OF AMERICA SPECIALIST, INC. 014 B00AA12 8-99999 014 A00AA13 BANKBOSTON TRUST COMPANY LIMITED 014 B00AA13 8-99999 014 A00AA14 BOSTON SECURITIES S.A. 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000200 Y 039 000700 Y 040 000200 Y 040 000700 Y 041 000200 Y PAGE 16 041 000700 Y 042 A000200 0 042 B000200 0 042 C000200 100 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 0 042 A000700 0 042 B000700 0 042 C000700 100 042 D000700 0 042 E000700 0 042 F000700 0 042 G000700 0 042 H000700 0 043 000200 274 043 000700 1642 044 000200 0 044 000700 0 045 000200 Y 045 000700 Y 046 000200 N 046 000700 N 047 000200 Y 047 000700 Y 048 000200 0.000 048 A010200 100000 048 A020200 0.450 048 B010200 100000 048 B020200 0.425 048 C010200 0 048 C020200 0.000 048 D010200 0 048 D020200 0.000 048 E010200 0 048 E020200 0.000 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 200000 048 K020200 0.400 048 000700 0.000 PAGE 17 048 A010700 500000 048 A020700 0.800 048 B010700 500000 048 B020700 0.750 048 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 0.000 048 I010700 0 048 I020700 0.000 048 J010700 0 048 J020700 0.000 048 K010700 1000000 048 K020700 0.700 049 000200 N 049 000700 N 050 000200 N 050 000700 N 051 000200 N 051 000700 N 052 000200 N 052 000700 N 053 A000200 Y 053 B000200 Y 053 C000200 N 053 A000700 Y 053 B000700 Y 053 C000700 N 054 A00AA00 Y 054 B00AA00 N 054 C00AA00 N 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 N 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 N 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 N PAGE 18 055 A000200 N 055 B000200 N 055 A000700 N 055 B000700 N 056 000200 Y 056 000700 Y 057 000200 N 057 000700 N 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 2500 062 A000200 Y 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 2.2 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 0.0 062 O000200 97.6 062 P000200 0.0 062 Q000200 0.0 062 R000200 1.1 062 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 0.0 063 A000200 0 063 B000200 18.8 PAGE 19 063 A000700 0 063 B000700 0.0 064 A000200 Y 064 B000200 Y 065 000200 N 066 A000200 N 066 A000700 Y 066 B000700 N 066 C000700 N 066 D000700 Y 066 E000700 N 066 F000700 N 066 G000700 N 067 000200 N 067 000700 N 068 A000200 N 068 B000200 N 068 A000700 N 068 B000700 N 069 000200 N 069 000700 N 070 A010200 Y 070 A020200 N 070 B010200 Y 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 Y 070 E020200 Y 070 F010200 Y 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 Y 070 K010200 Y 070 K020200 Y 070 L010200 Y 070 L020200 N 070 M010200 Y 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N PAGE 20 070 P010200 Y 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 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 N 070 F010700 Y 070 F020700 N 070 G010700 Y 070 G020700 N 070 H010700 Y 070 H020700 N 070 I010700 N 070 I020700 N 070 J010700 Y 070 J020700 N 070 K010700 Y 070 K020700 Y 070 L010700 Y 070 L020700 Y 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 071 A000200 145058 071 B000200 107222 071 C000200 719804 071 D000200 15 071 A000700 132723 071 B000700 128302 071 C000700 850635 071 D000700 15 072 A000200 6 PAGE 21 072 B000200 20015 072 C000200 8 072 D000200 0 072 E000200 0 072 F000200 1534 072 G000200 412 072 H000200 0 072 I000200 184 072 J000200 9 072 K000200 0 072 L000200 0 072 M000200 17 072 N000200 143 072 O000200 0 072 P000200 272 072 Q000200 107 072 R000200 0 072 S000200 0 072 T000200 274 072 U000200 0 072 V000200 0 072 W000200 91 072 X000200 3043 072 Y000200 12 072 Z000200 16992 072AA000200 0 072BB000200 2427 072CC010200 20057 072CC020200 0 072DD010200 2031 072DD020200 14876 072EE000200 0 072 A000700 6 072 B000700 91 072 C000700 6503 072 D000700 0 072 E000700 0 072 F000700 3334 072 G000700 0 072 H000700 0 072 I000700 696 072 J000700 18 072 K000700 0 072 L000700 0 072 M000700 18 072 N000700 0 072 O000700 0 072 P000700 4 072 Q000700 83 072 R000700 0 072 S000700 0 PAGE 22 072 T000700 1642 072 U000700 0 072 V000700 0 072 W000700 175 072 X000700 5970 072 Y000700 1 072 Z000700 625 072AA000700 43750 072BB000700 0 072CC010700 32339 072CC020700 0 072DD010700 174 072DD020700 321 072EE000700 63758 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 073 A010700 0.0000 073 A020700 0.0000 073 B000700 0.0000 073 C000700 0.0000 074 A000200 67 074 B000200 0 074 C000200 16960 074 D000200 759265 074 E000200 8591 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 232 074 J000200 0 074 K000200 30 074 L000200 14143 074 M000200 0 074 N000200 799288 074 O000200 3778 074 P000200 2740 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 14763 074 S000200 0 074 T000200 778007 074 U010200 8136 074 U020200 59342 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 5036 PAGE 23 074 Y000200 1614 074 A000700 1 074 B000700 1200 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 900909 074 G000700 0 074 H000700 0 074 I000700 0 074 J000700 0 074 K000700 40 074 L000700 3271 074 M000700 14 074 N000700 905435 074 O000700 99 074 P000700 1029 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 4295 074 S000700 0 074 T000700 900012 074 U010700 11968 074 U020700 6903 074 V010700 0.00 074 V020700 0.00 074 W000700 0.0000 074 X000700 0 074 Y000700 0 075 A000200 0 075 B000200 742484 075 A000700 0 075 B000700 848696 076 000200 0.00 076 000700 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 PAGE 24 077 O000000 Y 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 PATRICE HURLEY TITLE VICE PRESIDENT EX-99 2 edgartext.txt Columbia Compliance Management 10f-3 Transactions Data Base Fourth Quarter 2006 Fund Name CUSIP Issuer/ Security Description Columbia Funds Series Trust I* Columbia Small Cap Value Fund I 139594105 Capella Education Co Columbia Small Cap Value Fund I 482423100 "Keefe, Bruyette & Woods" Fund Name Security Type * Note / Bond / Equity Columbia Funds Series Trust I* Columbia Small Cap Value Fund I 1 Equity Columbia Small Cap Value Fund I 1 Equity Fund Name Purchase Date Selling Broker Columbia Funds Series Trust I* Columbia Small Cap Value Fund I 11/10/2006 Credit Suisse Columbia Small Cap Value Fund I 11/8/2006 Merrill Lynch Fund Name Shares/Par Value Price Price Paid By Fund Columbia Funds Series Trust I* Columbia Small Cap Value Fund I "6,285" 20.0000 "125,700" Columbia Small Cap Value Fund I "17,994" 21.0000 "377,874" Fund Name Amount of Offering Syndicate Status Columbia Funds Series Trust I* Columbia Small Cap Value Fund I "80,000,000" CM Columbia Small Cap Value Fund I "136,500,000" LM *BAS was the affiliated underwriter participating in the new issue syndicate EX-99 3 exh.txt Columbia Small Cap Value Fund I Columbia High Yield Municipal Fund 77E Legal Proceedings On February 9, 2005, Columbia Management Advisors, Inc. (which has since merged into Banc of America Capital Management, LLC (now named Columbia Management Advisors, LLC)) ("Columbia") and Columbia Funds Distributor, Inc. (which has been renamed Columbia Management Distributors, Inc.) (the "Distributor") (collectively, the "Columbia Group") entered into an Assurance of Discontinuance with the New York Attorney General ("NYAG") (the "NYAG Settlement") and consented to the entry of a cease-and-desist order by the Securities and Exchange Commission ("SEC") (the "SEC Order") on matters relating to mutual fund trading. The SEC Order and the NYAG Settlement are referred to collectively as the "Settlements". Under the terms of the SEC Order, the Columbia Group agreed, among other things, to: pay $70 million in disgorgement and $70 million in civil money penalties; cease and desist from violations of the antifraud provisions and certain other provisions of the federal securities laws; maintain certain compliance and ethics oversight structures; retain an independent consultant to review the Columbia Group's applicable supervisory, compliance, control and other policies and procedures; and retain an independent distribution consultant (see below). The Columbia Funds have also voluntarily undertaken to implement certain governance measures designed to maintain the independence of their boards of trustees. The NYAG Settlement also, among other things, requires Columbia and its affiliates to reduce management fees for certain Columbia Funds (including the former Nations Funds) and other mutual funds collectively by $32 million per year for five years, for a projected total of $160 million in management fee reductions. Pursuant to the procedures set forth in the SEC order, the $140 million in settlement amounts described above will be distributed in accordance with a distribution plan developed by an independent distribution consultant and approved by the SEC. The independent distribution consultant has been in consultation with the staff of the SEC and has submitted a proposed plan of distribution. The SEC has released the proposed plan of distribution for public notice and comment but has not yet approved a final plan of distribution. As a result of these matters or any adverse publicity or other developments resulting from them, there may be increased redemptions or reduced sales of fund shares, which could increase transaction costs or operating expenses, or have other adverse consequences for the funds. A copy of the SEC Order is available on the SEC website at http://www.sec.gov. A copy of the NYAG Settlement is available as part of the Bank of America Corporation Form 8-K filing on February 10, 2005. In connection with the events described above, various parties have filed suit against certain funds, the Trustees of the Columbia Funds, FleetBoston Financial Corporation and its affiliated entities and/or Bank of America and its affiliated entities. On February 20, 2004, the Judicial Panel on Multidistrict Litigation transferred these cases and cases against other mutual fund companies based on similar allegations to the United States District Court in Maryland for consolidated or coordinated pretrial proceedings (the "MDL"). Subsequently, additional related cases were transferred to the MDL. On September 29, 2004, the plaintiffs in the MDL filed amended and consolidated complaints. One of these amended complaints is a putative class action that includes claims under the federal securities laws and state common law, and that names Columbia, the Distributor, the Trustees of the Columbia Funds, Bank of America Corporation and others as defendants. Another of the amended complaints is a derivative action purportedly on behalf of the Columbia Funds that asserts claims under federal securities laws and state common law. On February 25, 2005, Columbia and other defendants filed motions to dismiss the claims in the pending cases. On March 1, 2006, for reasons stated in the court's memoranda dated November 3, 2005, the U.S. District Court for the District of Maryland granted in part and denied in part the defendants' motions to dismiss. The court dismissed all of the class action claims pending against the Columbia Funds Trusts. As to Columbia and the Distributor, the claims under the Securities Act of 1933, the claims under Sections 34(b) and 36(a) of the Investment Company Act of 1940 ("ICA") and the state law claims were dismissed. The claims under Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and claims under Section 36(b) of the ICA were not dismissed. On March 21, 2005, a purported class action was filed in Massachusetts state court alleging that the conduct, including market timing, entitles Class B shareholders in certain Columbia funds to an exemption from contingent deferred sales charges upon early redemption ("the CDSC Lawsuit"). The CDSC Lawsuit was removed to federal court in Massachusetts and the federal Judicial Panel transferred the CDSC Lawsuit to the MDL. On April 4, 2006, the plaintiffs and the Columbia defendants named in the MDL, including the Columbia Funds, entered into a term sheet containing the principal terms of a stipulation of settlement that would settle all Columbia-related claims in the MDL described above, including the CDSC Lawsuit. On April 6, 2006, the U.S. District Court for the District of Maryland stayed all actions with respect to these Columbia-related claims. In 2004, certain Columbia funds, the Trustees of the Columbia Funds, advisers and affiliated entities were named as defendants in certain purported shareholder class and derivative actions making claims, including claims under the Investment Company and the Investment Advisers Acts of 1940 and state law. The suits allege, inter alia, that the fees and expenses paid by the funds are excessive and that the advisers and their affiliates inappropriately used fund assets to distribute the funds and for other improper purposes. On March 2, 2005, the actions were consolidated in the Massachusetts federal court as In re Columbia Entities Litigation. The plaintiffs filed a consolidated amended complaint on June 9, 2005 naming the Columbia Funds as nominal defendants. On November 30, 2005, the judge dismissed all claims by plaintiffs and ordered that the case be closed. The plaintiffs filed a notice of appeal to the United States Court of Appeals for the First Circuit on December 30, 2005; this appeal is currently pending. The parties have advised the appellate court that they are engaged in settlement discussions and the court has, accordingly, deferred the briefing schedule for the appeal. The parties subsequently executed a settlement term sheet to fully resolve all claims in the litigation. The parties are finalizing the settlement and expect presently to submit it for court approval. This matter is ongoing. Accordingly, no estimate can be made of the financial impact, if any, of this litigation on any fund. 77Q1 Exhibits Management Agreement incorporated herein by reference to Accession Numbers 0000773757-06-000196 EX-99 4 marylou.txt Columbia Management Company 10f-3 Transactions Database Third Quarter 2006 Columbia Compliance Management - --------------------------------------------------------------------------------
Issuer/ Security Purchase Shares/ Price Paid Syndicate Fund Name CUSIP Description Date Selling Broker ParValue Price By Fund Status - --------- --------- --------------------------- -------- -------------- --------- -------- ---------- --------- Columbia Funds Series Trust I* Columbia High Yield 74514LKE6 Commonwealth of Puerto Rico 8/2/2006 Morgan Stanley 2,500,000 100.3820 2,509,550 CM Municipal Fund GO 5.25% 7/1/35 Columbia High Yield 74514LKE6 Commonwealth of Puerto 8/2/2006 Goldman Sachs 750,000 100.3820 752,865 CM Municipal Fund Rico GO 5.25% 7/1/35 Columbia High Yield 74514LKE6 Commonwealth of Puerto 8/2/2006 Citigroup 500,000 100.3820 501,910 CM Municipal Fund Rico GO 5.25% 7/1/35 Columbia High Yield 74514LKE6 Commonwealth of Puerto 8/2/2006 Merrill Lynch 500,000 100.3820 501,910 CM Municipal Fund Rico GO 5.25% 7/1/35 Columbia High Yield 74514LKE6 Commonwealth of Puerto 8/2/2006 Chase 500,000 100.3820 501,910 CM Municipal Fund Rico GO 5.25% 7/1/35 Columbia High Yield 74514LKE6 Commonwealth of Puerto 8/2/2006 UBS 250,000 100.3820 250,955 CM Municipal Fund Rico GO 5.25% 7/1/35
*BAS was the affiliated underwriter participating in the new issue syndicate 3 -----END PRIVACY-ENHANCED MESSAGE-----