-----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, LpuHXkEsvJLAgH086RklAi3fZWAhy7pN25AKDbatZkus9Ji8zrzQK+FUnX4x5t+1 5UyrBClBXCrcvKhQAKYfKQ== 0000773757-08-000120.txt : 20080530 0000773757-08-000120.hdr.sgml : 20080530 20080530151303 ACCESSION NUMBER: 0000773757-08-000120 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080530 DATE AS OF CHANGE: 20080530 EFFECTIVENESS DATE: 20080530 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: 08870366 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 S000012076 Columbia Asset Allocation Fund C000032882 Class A C000032883 Class B C000032884 Class C C000032886 Class T C000032887 Class Z 0000773757 S000012077 Columbia Common Stock Fund C000032888 Class A C000032889 Class B C000032890 Class C C000032892 Class T C000032893 Class Z 0000773757 S000012078 Columbia Disciplined Value Fund C000032894 Class A C000032895 Class B C000032896 Class C C000032898 Class T C000032899 Class Z 0000773757 S000012079 Columbia Dividend Income Fund C000032900 Class A C000032901 Class B C000032902 Class C C000032904 Class T C000032905 Class Z C000061836 Class R Shares 0000773757 S000012081 Columbia Large Cap Growth Fund C000032910 Class A C000032911 Class B C000032912 Class C C000032914 Class T C000032915 Class Z C000034322 Class E C000034323 Class F 0000773757 S000012082 Columbia Liberty Fund C000032916 Class A C000032917 Class B C000032918 Class C C000032919 Class Z 0000773757 S000012083 Columbia Small Cap Core Fund C000032920 Class A C000032921 Class B C000032922 Class C C000032924 Class T C000032925 Class Z NSAR-A 1 answer.fil PAGE 1 000 A000000 03/31/2008 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 811-04367 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 50 007 C014100 41 007 C024100 COLUMBIA ASSET ALLOCATION FUND 007 C034100 N 007 C014200 42 007 C024200 COLUMBIA DIVIDEND INCOME FUND 007 C034200 N 007 C014300 43 007 C024300 COLUMBIA COMMON STOCK FUND 007 C034300 N 007 C014400 44 007 C024400 COLUMBIA LARGE CAP GROWTH FUND 007 C034400 N 007 C014500 45 007 C024500 COLUMBIA DISCIPLINED VALUE FUND 007 C034500 N 007 C014600 46 007 C024600 COLUMBIA SMALL CAP CORE FUND 007 C034600 N 007 C014800 48 007 C024800 COLUMBIA LIBERTY FUND 007 C034800 N 008 A004101 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B004101 A 008 C004101 801-50372 008 D014101 BOSTON 008 D024101 MA 008 D034101 02110 008 A004201 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B004201 A PAGE 2 008 C004201 801-50372 008 D014201 BOSTON 008 D024201 MA 008 D034201 02110 008 A004301 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B004301 A 008 C004301 801-50372 008 D014301 BOSTON 008 D024301 MA 008 D034301 02110 008 A004401 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B004401 A 008 C004401 801-50372 008 D014401 BOSTON 008 D024401 MA 008 D034401 02110 008 A004501 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B004501 A 008 C004501 801-50372 008 D014501 BOSTON 008 D024501 MA 008 D034501 02110 008 A004601 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B004601 A 008 C004601 801-50372 008 D014601 BOSTON 008 D024601 MA 008 D034601 02110 008 A004801 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B004801 A 008 C004801 801-50372 008 D014801 BOSTON 008 D024801 MA 008 D034801 02110 008 A004802 NORDEA INVESTMENT MANAGEMENT NORTH AMERICA 008 B004802 S 008 C004802 801-9999 008 D014802 NEW YORK 008 D024802 NY 008 D034802 10019 010 A00AA01 COLUMBIA MANAGEMENT ADVISORS, LLC 010 B00AA01 801-50372 010 C01AA01 BOSTON 010 C02AA01 MA 010 C03AA01 02110 011 A00AA01 COLUMBIA MANAGEMENT DISTRIBUTORS, INC. 011 B00AA01 8-44998 011 C01AA01 BOSTON 011 C02AA01 MA 011 C03AA01 02111 012 A00AA01 COLUMBIA MANAGEMENT SERVICES, INC. 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MORGAN STANLEY 025 B004813 13-2655998 025 C004813 D 025 D004813 943 025 A004814 UBS WARBURG 025 B004814 13-3873456 025 C004814 D 025 D004814 4822 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 A014100 1037 028 A024100 0 028 A034100 0 028 A044100 4569 028 B014100 1012 028 B024100 0 028 B034100 0 PAGE 19 028 B044100 3885 028 C014100 1272 028 C024100 28873 028 C034100 0 028 C044100 3701 028 D014100 13947 028 D024100 0 028 D034100 0 028 D044100 5176 028 E014100 1072 028 E024100 0 028 E034100 0 028 E044100 3210 028 F014100 881 028 F024100 1490 028 F034100 0 028 F044100 15597 028 G014100 19221 028 G024100 30363 028 G034100 0 028 G044100 36138 028 H004100 766 028 A014200 10679 028 A024200 0 028 A034200 168959 028 A044200 17228 028 B014200 26644 028 B024200 0 028 B034200 0 028 B044200 13988 028 C014200 23203 028 C024200 9098 028 C034200 0 028 C044200 17517 028 D014200 40125 028 D024200 0 028 D034200 0 028 D044200 23541 028 E014200 16602 028 E024200 0 028 E034200 0 028 E044200 25689 028 F014200 21808 028 F024200 2632 028 F034200 0 028 F044200 21270 028 G014200 139061 028 G024200 11730 028 G034200 168959 028 G044200 119233 028 H004200 5476 PAGE 20 028 A014300 897 028 A024300 0 028 A034300 0 028 A044300 8146 028 B014300 830 028 B024300 0 028 B034300 0 028 B044300 7190 028 C014300 1598 028 C024300 37596 028 C034300 0 028 C044300 6552 028 D014300 973 028 D024300 0 028 D034300 0 028 D044300 7422 028 E014300 1028 028 E024300 0 028 E034300 0 028 E044300 5227 028 F014300 1066 028 F024300 0 028 F034300 0 028 F044300 6104 028 G014300 6392 028 G024300 37596 028 G034300 0 028 G044300 40641 028 H004300 733 028 A014400 13539 028 A024400 0 028 A034400 0 028 A044400 29744 028 B014400 14831 028 B024400 0 028 B034400 0 028 B044400 25536 028 C014400 23587 028 C024400 102189 028 C034400 0 028 C044400 29928 028 D014400 23954 028 D024400 1 028 D034400 0 028 D044400 31630 028 E014400 23039 028 E024400 0 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9335 028 F024600 0 028 F034600 0 028 F044600 16839 028 G014600 48930 028 G024600 166886 028 G034600 0 028 G044600 206815 028 H004600 4335 028 A014800 2587 028 A024800 0 028 A034800 0 028 A044800 9685 028 B014800 1461 028 B024800 0 028 B034800 0 028 B044800 8152 028 C014800 2254 028 C024800 54468 028 C034800 0 028 C044800 8237 028 D014800 3882 028 D024800 2 028 D034800 0 028 D044800 11586 028 E014800 1326 028 E024800 0 028 E034800 0 028 E044800 7453 028 F014800 1442 028 F024800 2085 028 F034800 0 028 F044800 6889 028 G014800 12952 028 G024800 56555 028 G034800 0 028 G044800 52002 028 H004800 1455 029 004100 Y 029 004200 Y 029 004300 Y 029 004400 Y 029 004500 Y 029 004600 Y 029 004800 Y 030 A004100 35 PAGE 23 030 B004100 5.75 030 C004100 0.00 030 A004200 190 030 B004200 5.75 030 C004200 0.00 030 A004300 30 030 B004300 5.75 030 C004300 0.00 030 A004400 97 030 B004400 5.75 030 C004400 0.00 030 A004500 73 030 B004500 5.75 030 C004500 0.00 030 A004600 53 030 B004600 5.75 030 C004600 0.00 030 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A014200 500000 048 A024200 0.700 048 B014200 500000 048 B024200 0.650 048 C014200 500000 048 C024200 0.600 048 D014200 1500000 048 D024200 0.550 048 E014200 3000000 048 E024200 0.530 048 F014200 0 048 F024200 0.000 048 G014200 0 048 G024200 0.000 048 H014200 0 048 H024200 0.000 048 I014200 0 048 I024200 0.000 048 J014200 0 048 J024200 0.000 048 K014200 6000000 048 K024200 0.510 048 004300 0.000 048 A014300 500000 048 A024300 0.700 048 B014300 500000 048 B024300 0.650 048 C014300 500000 048 C024300 0.600 PAGE 28 048 D014300 1500000 048 D024300 0.550 048 E014300 3000000 048 E024300 0.530 048 F014300 0 048 F024300 0.000 048 G014300 0 048 G024300 0.000 048 H014300 0 048 H024300 0.000 048 I014300 0 048 I024300 0.000 048 J014300 0 048 J024300 0.000 048 K014300 6000000 048 K024300 0.510 048 004400 0.000 048 A014400 200000 048 A024400 0.700 048 B014400 300000 048 B024400 0.575 048 C014400 0 048 C024400 0.000 048 D014400 0 048 D024400 0.000 048 E014400 0 048 E024400 0.000 048 F014400 0 048 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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 Y 055 A004100 Y 055 B004100 N 055 A004200 N 055 B004200 N 055 A004300 N 055 B004300 N 055 A004400 Y 055 B004400 Y 055 A004500 N 055 B004500 Y 055 A004600 Y 055 B004600 N 055 A004800 Y 055 B004800 Y 056 004100 Y 056 004200 Y 056 004300 Y 056 004400 Y 056 004500 Y 056 004600 Y 056 004800 Y 057 004100 N 057 004200 N 057 004300 N 057 004400 N 057 004500 N 057 004600 N 057 004800 N 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 2500 062 A004100 N 062 B004100 0.0 062 C004100 0.0 062 D004100 0.0 062 E004100 0.0 062 F004100 0.0 062 G004100 0.0 PAGE 32 062 H004100 0.0 062 I004100 0.0 062 J004100 0.0 062 K004100 0.0 062 L004100 0.0 062 M004100 0.0 062 N004100 0.0 062 O004100 0.0 062 P004100 0.0 062 Q004100 0.0 062 R004100 0.0 062 A004200 N 062 B004200 0.0 062 C004200 0.0 062 D004200 0.0 062 E004200 0.0 062 F004200 0.0 062 G004200 0.0 062 H004200 0.0 062 I004200 0.0 062 J004200 0.0 062 K004200 0.0 062 L004200 0.0 062 M004200 0.0 062 N004200 0.0 062 O004200 0.0 062 P004200 0.0 062 Q004200 0.0 062 R004200 0.0 062 A004300 N 062 B004300 0.0 062 C004300 0.0 062 D004300 0.0 062 E004300 0.0 062 F004300 0.0 062 G004300 0.0 062 H004300 0.0 062 I004300 0.0 062 J004300 0.0 062 K004300 0.0 062 L004300 0.0 062 M004300 0.0 062 N004300 0.0 062 O004300 0.0 062 P004300 0.0 062 Q004300 0.0 062 R004300 0.0 062 A004400 N 062 B004400 0.0 062 C004400 0.0 062 D004400 0.0 PAGE 33 062 E004400 0.0 062 F004400 0.0 062 G004400 0.0 062 H004400 0.0 062 I004400 0.0 062 J004400 0.0 062 K004400 0.0 062 L004400 0.0 062 M004400 0.0 062 N004400 0.0 062 O004400 0.0 062 P004400 0.0 062 Q004400 0.0 062 R004400 0.0 062 A004500 N 062 B004500 0.0 062 C004500 0.0 062 D004500 0.0 062 E004500 0.0 062 F004500 0.0 062 G004500 0.0 062 H004500 0.0 062 I004500 0.0 062 J004500 0.0 062 K004500 0.0 062 L004500 0.0 062 M004500 0.0 062 N004500 0.0 062 O004500 0.0 062 P004500 0.0 062 Q004500 0.0 062 R004500 0.0 062 A004600 N 062 B004600 0.0 062 C004600 0.0 062 D004600 0.0 062 E004600 0.0 062 F004600 0.0 062 G004600 0.0 062 H004600 0.0 062 I004600 0.0 062 J004600 0.0 062 K004600 0.0 062 L004600 0.0 062 M004600 0.0 062 N004600 0.0 062 O004600 0.0 062 P004600 0.0 062 Q004600 0.0 062 R004600 0.0 062 A004800 N PAGE 34 062 B004800 0.0 062 C004800 0.0 062 D004800 0.0 062 E004800 0.0 062 F004800 0.0 062 G004800 0.0 062 H004800 0.0 062 I004800 0.0 062 J004800 0.0 062 K004800 0.0 062 L004800 0.0 062 M004800 0.0 062 N004800 0.0 062 O004800 0.0 062 P004800 0.0 062 Q004800 0.0 062 R004800 0.0 063 A004100 0 063 B004100 0.0 063 A004200 0 063 B004200 0.0 063 A004300 0 063 B004300 0.0 063 A004400 0 063 B004400 0.0 063 A004500 0 063 B004500 0.0 063 A004600 0 063 B004600 0.0 063 A004800 0 063 B004800 0.0 066 A004100 Y 066 B004100 N 066 C004100 N 066 D004100 N 066 E004100 N 066 F004100 N 066 G004100 Y 066 A004200 Y 066 B004200 N 066 C004200 Y 066 D004200 N 066 E004200 N 066 F004200 N 066 G004200 N 066 A004300 Y 066 B004300 N 066 C004300 N 066 D004300 N 066 E004300 N 066 F004300 N PAGE 35 066 G004300 Y 066 A004400 Y 066 B004400 N 066 C004400 Y 066 D004400 N 066 E004400 N 066 F004400 N 066 G004400 N 066 A004500 Y 066 B004500 N 066 C004500 Y 066 D004500 N 066 E004500 N 066 F004500 N 066 G004500 N 066 A004600 Y 066 B004600 N 066 C004600 Y 066 D004600 N 066 E004600 N 066 F004600 N 066 G004600 N 066 A004800 Y 066 B004800 N 066 C004800 N 066 D004800 N 066 E004800 N 066 F004800 N 066 G004800 Y 067 004100 Y 067 004200 N 067 004300 N 067 004400 N 067 004500 N 067 004600 N 067 004800 Y 068 A004100 N 068 B004100 N 068 A004200 N 068 B004200 N 068 A004300 N 068 B004300 N 068 A004400 N 068 B004400 N 068 A004500 N 068 B004500 N 068 A004600 N 068 B004600 N 068 A004800 N 068 B004800 N 069 004100 N PAGE 36 069 004200 N 069 004300 N 069 004400 N 069 004500 N 069 004600 N 069 004800 N 070 A014100 Y 070 A024100 Y 070 B014100 Y 070 B024100 Y 070 C014100 Y 070 C024100 N 070 D014100 Y 070 D024100 N 070 E014100 Y 070 E024100 N 070 F014100 Y 070 F024100 Y 070 G014100 Y 070 G024100 N 070 H014100 Y 070 H024100 N 070 I014100 Y 070 I024100 N 070 J014100 Y 070 J024100 Y 070 K014100 Y 070 K024100 Y 070 L014100 Y 070 L024100 Y 070 M014100 Y 070 M024100 Y 070 N014100 Y 070 N024100 Y 070 O014100 Y 070 O024100 N 070 P014100 Y 070 P024100 Y 070 Q014100 Y 070 Q024100 N 070 R014100 Y 070 R024100 N 070 A014200 Y 070 A024200 Y 070 B014200 Y 070 B024200 N 070 C014200 Y 070 C024200 N 070 D014200 Y 070 D024200 N 070 E014200 Y PAGE 37 070 E024200 N 070 F014200 Y 070 F024200 N 070 G014200 Y 070 G024200 N 070 H014200 Y 070 H024200 N 070 I014200 Y 070 I024200 N 070 J014200 Y 070 J024200 N 070 K014200 Y 070 K024200 N 070 L014200 Y 070 L024200 N 070 M014200 Y 070 M024200 N 070 N014200 Y 070 N024200 Y 070 O014200 Y 070 O024200 N 070 P014200 Y 070 P024200 N 070 Q014200 Y 070 Q024200 N 070 R014200 Y 070 R024200 N 070 A014300 Y 070 A024300 Y 070 B014300 Y 070 B024300 N 070 C014300 Y 070 C024300 N 070 D014300 Y 070 D024300 N 070 E014300 Y 070 E024300 N 070 F014300 Y 070 F024300 N 070 G014300 Y 070 G024300 N 070 H014300 Y 070 H024300 N 070 I014300 Y 070 I024300 N 070 J014300 Y 070 J024300 N 070 K014300 Y 070 K024300 N 070 L014300 Y 070 L024300 Y PAGE 38 070 M014300 Y 070 M024300 N 070 N014300 Y 070 N024300 Y 070 O014300 Y 070 O024300 N 070 P014300 Y 070 P024300 N 070 Q014300 Y 070 Q024300 N 070 R014300 Y 070 R024300 N 070 A014400 Y 070 A024400 Y 070 B014400 Y 070 B024400 N 070 C014400 Y 070 C024400 N 070 D014400 Y 070 D024400 N 070 E014400 Y 070 E024400 N 070 F014400 Y 070 F024400 N 070 G014400 Y 070 G024400 N 070 H014400 Y 070 H024400 N 070 I014400 Y 070 I024400 N 070 J014400 Y 070 J024400 N 070 K014400 Y 070 K024400 N 070 L014400 Y 070 L024400 N 070 M014400 Y 070 M024400 N 070 N014400 Y 070 N024400 Y 070 O014400 Y 070 O024400 N 070 P014400 Y 070 P024400 N 070 Q014400 Y 070 Q024400 N 070 R014400 Y 070 R024400 N 070 A014500 Y 070 A024500 Y 070 B014500 Y PAGE 39 070 B024500 N 070 C014500 Y 070 C024500 N 070 D014500 Y 070 D024500 N 070 E014500 Y 070 E024500 N 070 F014500 Y 070 F024500 Y 070 G014500 Y 070 G024500 N 070 H014500 Y 070 H024500 N 070 I014500 Y 070 I024500 N 070 J014500 Y 070 J024500 N 070 K014500 Y 070 K024500 N 070 L014500 Y 070 L024500 N 070 M014500 Y 070 M024500 N 070 N014500 Y 070 N024500 Y 070 O014500 Y 070 O024500 Y 070 P014500 Y 070 P024500 N 070 Q014500 Y 070 Q024500 N 070 R014500 Y 070 R024500 N 070 A014600 Y 070 A024600 Y 070 B014600 Y 070 B024600 N 070 C014600 Y 070 C024600 N 070 D014600 Y 070 D024600 N 070 E014600 Y 070 E024600 N 070 F014600 Y 070 F024600 N 070 G014600 Y 070 G024600 N 070 H014600 Y 070 H024600 N 070 I014600 Y 070 I024600 N PAGE 40 070 J014600 Y 070 J024600 N 070 K014600 Y 070 K024600 N 070 L014600 Y 070 L024600 Y 070 M014600 Y 070 M024600 N 070 N014600 Y 070 N024600 N 070 O014600 Y 070 O024600 N 070 P014600 Y 070 P024600 N 070 Q014600 Y 070 Q024600 N 070 R014600 Y 070 R024600 N 070 A014800 Y 070 A024800 Y 070 B014800 Y 070 B024800 Y 070 C014800 Y 070 C024800 N 070 D014800 Y 070 D024800 N 070 E014800 Y 070 E024800 N 070 F014800 Y 070 F024800 Y 070 G014800 Y 070 G024800 N 070 H014800 Y 070 H024800 N 070 I014800 Y 070 I024800 N 070 J014800 Y 070 J024800 Y 070 K014800 Y 070 K024800 N 070 L014800 Y 070 L024800 Y 070 M014800 Y 070 M024800 Y 070 N014800 Y 070 N024800 Y 070 O014800 Y 070 O024800 Y 070 P014800 Y 070 P024800 N 070 Q014800 Y PAGE 41 070 Q024800 N 070 R014800 Y 070 R024800 N 071 A004100 134019 071 B004100 138476 071 C004100 307349 071 D004100 44 071 A004200 252854 071 B004200 94125 071 C004200 1043078 071 D004200 9 071 A004300 232991 071 B004300 271352 071 C004300 410842 071 D004300 57 071 A004400 1462739 071 B004400 1563598 071 C004400 1771841 071 D004400 83 071 A004500 156158 071 B004500 193721 071 C004500 460226 071 D004500 34 071 A004600 112338 071 B004600 274207 071 C004600 1019901 071 D004600 11 071 A004800 221824 071 B004800 258300 071 C004800 524838 071 D004800 42 072 A004100 6 072 B004100 3565 072 C004100 1658 072 D004100 0 072 E004100 111 072 F004100 1055 072 G004100 109 072 H004100 0 072 I004100 206 072 J004100 116 072 K004100 0 072 L004100 66 072 M004100 21 072 N004100 31 072 O004100 0 072 P004100 0 072 Q004100 90 072 R004100 23 072 S004100 15 072 T004100 300 PAGE 42 072 U004100 0 072 V004100 0 072 W004100 10 072 X004100 2042 072 Y004100 0 072 Z004100 3292 072AA004100 0 072BB004100 2692 072CC014100 0 072CC024100 26653 072DD014100 103 072DD024100 3893 072EE004100 28566 072 A004200 6 072 B004200 1229 072 C004200 15692 072 D004200 0 072 E004200 114 072 F004200 3633 072 G004200 364 072 H004200 0 072 I004200 359 072 J004200 31 072 K004200 0 072 L004200 58 072 M004200 25 072 N004200 39 072 O004200 0 072 P004200 0 072 Q004200 75 072 R004200 18 072 S004200 0 072 T004200 891 072 U004200 0 072 V004200 0 072 W004200 7 072 X004200 5500 072 Y004200 265 072 Z004200 11800 072AA004200 583 072BB004200 0 072CC014200 0 072CC024200 132194 072DD014200 3750 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072BB004600 0 072CC014600 0 072CC024600 196931 072DD014600 313 072DD024600 3670 072EE004600 213869 072 A004800 6 072 B004800 5668 072 C004800 2636 072 D004800 0 072 E004800 85 072 F004800 1511 072 G004800 0 072 H004800 0 072 I004800 403 072 J004800 63 072 K004800 0 072 L004800 64 072 M004800 28 072 N004800 32 072 O004800 0 072 P004800 0 072 Q004800 82 072 R004800 28 072 S004800 28 072 T004800 828 072 U004800 0 072 V004800 0 072 W004800 18 072 X004800 3085 072 Y004800 0 072 Z004800 5304 PAGE 46 072AA004800 740 072BB004800 0 072CC014800 0 072CC024800 47402 072DD014800 5929 072DD024800 124 072EE004800 55611 073 A014100 0.0000 073 A024100 0.0000 073 B004100 1.4357 073 C004100 0.0000 073 A014200 0.0000 073 A024200 0.0000 073 B004200 0.1578 073 C004200 0.0000 073 A014300 0.0000 073 A024300 0.0000 073 B004300 1.4665 073 C004300 0.0000 073 A014400 0.0000 073 A024400 0.0000 073 B004400 1.8135 073 C004400 0.0000 073 A014500 0.0000 073 A024500 0.0000 073 B004500 1.8297 073 C004500 0.0000 073 A014600 0.0000 073 A024600 0.0000 073 B004600 3.6372 073 C004600 0.0000 073 A014800 0.0000 073 A024800 0.0000 073 B004800 0.9318 073 C004800 0.0000 074 A004100 11 074 B004100 4988 074 C004100 963 074 D004100 98640 074 E004100 357 074 F004100 183715 074 G004100 0 074 H004100 0 074 I004100 36745 074 J004100 10739 074 K004100 52 074 L004100 1646 074 M004100 7 074 N004100 337863 074 O004100 2838 074 P004100 394 PAGE 47 074 Q004100 0 074 R014100 0 074 R024100 0 074 R034100 0 074 R044100 38192 074 S004100 0 074 T004100 296439 074 U014100 596 074 U024100 20556 074 V014100 0.00 074 V024100 0.00 074 W004100 0.0000 074 X004100 16922 074 Y004100 0 074 A004200 1 074 B004200 72460 074 C004200 0 074 D004200 0 074 E004200 40626 074 F004200 1075991 074 G004200 0 074 H004200 0 074 I004200 35758 074 J004200 2081 074 K004200 173 074 L004200 7224 074 M004200 35 074 N004200 1234349 074 O004200 0 074 P004200 968 074 Q004200 0 074 R014200 0 074 R024200 0 074 R034200 0 074 R044200 36982 074 S004200 0 074 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U014400 7277 074 U024400 65972 074 V014400 0.00 074 V024400 0.00 074 W004400 0.0000 PAGE 49 074 X004400 94542 074 Y004400 0 074 A004500 1 074 B004500 8175 074 C004500 0 074 D004500 0 074 E004500 0 074 F004500 394338 074 G004500 0 074 H004500 0 074 I004500 22300 074 J004500 0 074 K004500 55 074 L004500 3293 074 M004500 11 074 N004500 428173 074 O004500 0 074 P004500 450 074 Q004500 0 074 R014500 0 074 R024500 0 074 R034500 0 074 R044500 23037 074 S004500 0 074 T004500 404686 074 U014500 1789 074 U024500 31819 074 V014500 0.00 074 V024500 0.00 074 W004500 0.0000 074 X004500 13201 074 Y004500 21 074 A004600 4 074 B004600 15820 074 C004600 0 074 D004600 0 074 E004600 0 074 F004600 870048 074 G004600 0 074 H004600 0 074 I004600 0 074 J004600 752 074 K004600 88 074 L004600 1043 074 M004600 27 074 N004600 887782 074 O004600 0 074 P004600 1283 074 Q004600 0 074 R014600 0 074 R024600 0 PAGE 50 074 R034600 0 074 R044600 1404 074 S004600 0 074 T004600 885095 074 U014600 8993 074 U024600 52656 074 V014600 0.00 074 V024600 0.00 074 W004600 0.0000 074 X004600 17385 074 Y004600 0 074 A004800 920 074 B004800 27157 074 C004800 913 074 D004800 167323 074 E004800 1522 074 F004800 307413 074 G004800 0 074 H004800 0 074 I004800 28435 074 J004800 4109 074 K004800 91 074 L004800 1901 074 M004800 12 074 N004800 539796 074 O004800 5448 074 P004800 588 074 Q004800 0 074 R014800 0 074 R024800 0 074 R034800 0 074 R044800 29331 074 S004800 0 074 T004800 504429 074 U014800 58342 074 U024800 4951 074 V014800 0.00 074 V024800 0.00 074 W004800 0.0000 074 X004800 32544 074 Y004800 2663 075 A004100 0 075 B004100 324394 075 A004200 0 075 B004200 1086227 075 A004300 0 075 B004300 409935 075 A004400 0 075 B004400 1807637 075 A004500 0 075 B004500 459984 PAGE 51 075 A004600 0 075 B004600 1024454 075 A004800 0 075 B004800 548878 076 004100 0.00 076 004200 0.00 076 004300 0.00 076 004400 0.00 076 004500 0.00 076 004600 0.00 076 004800 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 Y 077 N000000 N 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 exh.txt Item 77D/77Q1(b) On February 1, 2008, a Form Type 485BOS, accession number (0001193125-08-016951), post-effective amendment number 69 to the registration statement of Columbia Funds Series Trust I on behalf of Columbia Asset Allocation Fund, Columbia Disciplined Value Fund, Columbia Dividend Income Fund, Columbia Common Stock Fund, Columbia Large Cap Growth Fund, Columbia Liberty Fund, and Columbia Small Cap Core Fund (the "Funds") 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 post-effective amendment disclosed certain changes that were made to the Funds' policies with respect to security investments. Item 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. 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 is being distributed in accordance with a distribution plan that was developed by an independent distribution consultant and approved by the SEC on April 6, 2007. Distributions under the distribution plan began in late June 2007. 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 certain conduct, including market timing, entitled 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 transferred to the MDL. On September 14, 2007, the plaintiffs and the Columbia defendants named in the MDL, including the Columbia Funds, entered into a stipulation of settlement with respect to all Columbia-related claims in the MDL described above, including the CDSC Lawsuit. The settlement is subject to court approval. In 2004, the Columbia Funds' adviser and distributor and certain affiliated entities and individuals 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. Certain Columbia Funds were named as nominal defendants. 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. On November 30, 2005, the judge dismissed all claims by plaintiffs and entered final judgment in favor of the defendants. The plaintiffs appealed to the United States Court of Appeals for the First Circuit on December 30, 2005. A stipulation and settlement agreement dated January 19, 2007 was filed in the First Circuit on February 14, 2007, with a joint stipulation of dismissal and motion for remand to obtain district court approval of the settlement. That joint motion was granted and the appeal was dismissed. On March 6, 2007, the case was remanded to the District Court. The settlement, approved by the District Court on September 18, 2007, became effective October 19, 2007. Pursuant to the settlement, the funds' adviser and/or its affiliates made certain payments, including plaintiffs' attorneys' fees and costs of notice to class members. Item 77M Columbia Funds Series Trust I (the "Acquiring Company"), on behalf of Columbia Dividend Income Fund (the "Acquiring Fund"), became the surviving entity in reorganization with Excelsior Funds Trust (the "Acquired Company"), on behalf of its Equity Income Fund (the "Acquired Fund"). On October 10, 2007, the Board of the Acquiring Company approved an agreement and plan of reorganization providing for the sale of all of the assets of the Acquired Fund to, and the assumption of all of the liabilities of the Acquired Fund by, the Acquiring Fund, in complete liquidation of the Acquired Fund. On September 28, 2007, the Board of the Acquired Company approved an agreement and plan of reorganization providing for the sale of all of the assets of the Acquired Fund to, and the assumption of all of the liabilities of the Acquired Fund by, the Acquiring Fund, in complete liquidation of the Acquired Fund. On March 14, 2008, shareholders of the Acquired Fund approved an agreement and plan of reorganization providing for the sale of all of the assets of the Acquired Fund to, and the assumption of all of the liabilities of the Acquired Fund by, the Acquiring Fund, in complete liquidation of the Acquired Fund. On March 31, 2008, the Acquiring Fund acquired all the assets of, and assumed all the liabilities of, the Acquired Fund, in complete liquidation of the Acquired Fund. Shareholders of Retirement Shares Class shares and Shares Class shares of the Acquired Fund received Class R shares and Class Z shares, respectively, of the Acquiring Fund. The Acquiring Company's registration statement on Form N-14, including its prospectus/proxy statement, that filed with the Securities and Exchange Commission on December 17, 2007 (accession no. 0001193125-07-266006) is incorporated by reference. EX-99 3 exhibit.txt Item 77Q1(g) Agreement and Plan of Reorganization THIS AGREEMENT AND PLAN OF REORGANIZATION dated as of March 20, 2008, is by and among Excelsior Funds Trust, Excelsior Funds, Inc. and Excelsior Tax-Exempt Funds, Inc. (each an "Acquired Company"), each on behalf of each series thereof identified in Exhibit A hereto as an Acquired Fund (each an "Acquired Fund"), Columbia Funds Series Trust I (the "Acquiring Trust"), on behalf of each series thereof identified in Exhibit A hereto as the corresponding Acquiring Fund (each an "Acquiring Fund"), and Columbia Management Advisors, LLC ("Columbia"). This Agreement shall be treated as if each reorganization between an Acquired Fund and its corresponding Acquiring Fund contemplated hereby had been the subject of a separate agreement. This Agreement is intended to be and is adopted as a plan of reorganization and liquidation within the meaning of Section 361(a) and Section 368(a) of the United States Internal Revenue Code of 1986, as amended (the "Code"), and any successor provision. The reorganization will consist of the transfer of all of the assets of each Acquired Fund attributable to each class of its shares in exchange for shares of the corresponding class of shares of the corresponding Acquiring Fund (the "Acquisition Shares"), and the assumption by each Acquiring Fund of the liabilities of the corresponding Acquired Fund and the distribution of the Acquisition Shares to the relevant shareholders of such Acquired Fund in liquidation of such Acquired Fund, all upon the terms and conditions set forth in this Agreement. In consideration of the premises and of the covenants and agreements hereinafter set forth, the parties hereto covenant and agree as follows: 1. TRANSFER OF ASSETS OF EACH ACQUIRED FUND IN EXCHANGE FOR ASSUMPTION OF LIABILITIES AND ACQUISITION SHARES AND LIQUIDATION OF SUCH ACQUIRED FUND. 1.1. Subject to the terms and conditions herein set forth and on the basis of the representations and warranties contained herein, (a) Each Acquired Fund will transfer and deliver to the corresponding Acquiring Fund, and each Acquiring Fund will acquire all the assets of the corresponding Acquired Fund as set forth in paragraph 1.2; (b) Each Acquiring Fund will assume all of the corresponding Acquired Fund's liabilities and obligations of any kind whatsoever, whether absolute, accrued, contingent or otherwise, in existence on the Closing Date (as defined in paragraph 1.2 hereof) (the "Obligations"), except that expenses of the reorganization contemplated hereby to be paid by the Acquired Fund pursuant to paragraph 9.2 shall not be assumed or paid by the Acquiring Fund; and (c) Each Acquiring Fund will issue and deliver to the corresponding Acquired Fund in exchange for the net assets attributable to each class of its shares a number of Acquisition Shares of the corresponding class (including fractional shares, if any) determined by dividing the value of such net assets, computed in the manner and as of the time and date set forth in paragraph 2.1, by the net asset value of one Acquisition Share of the corresponding class computed in the manner and as of the time and date set forth in paragraph 2.2. Such transactions shall take place at the closing provided for in paragraph 3.1 (the "Closing"). 1.2. The assets of each Acquired Fund to be acquired by the corresponding Acquiring Fund shall consist of all cash, securities, dividends and interest receivable, receivables for shares sold and all other assets that are owned by the Acquired Fund on the closing date provided in paragraph 3.1 (the "Closing Date") and any deferred expenses, other than unamortized organizational expenses, shown as an asset on the books of the Acquired Fund on the Closing Date. Each Acquiring Fund agrees that all rights to indemnification and all limitations of liability existing in favor of the applicable Acquired Company's current and former trustees/directors and officers, acting in their capacities as such, under the applicable Acquired Company's organizational documents as in effect as of the date of this Agreement or under any other agreement of the Acquired Fund shall survive the reorganization as obligations of the Acquiring Trust, on behalf of the Acquiring Fund, and shall continue in full force and effect, without any amendment thereto, and shall constitute rights which may be asserted against the Acquiring Trust, on behalf of the Acquiring Fund, its successors or assigns. 1.3. As provided in paragraph 3.4, as soon after the Closing Date as is conveniently practicable (the "Liquidation Date"), each Acquired Fund will liquidate and distribute pro rata to its shareholders of record of each class of its shares, determined as of the close of business on the Valuation Date (as defined in paragraph 2.1), the Acquisition Shares of the corresponding class received by the Acquired Fund pursuant to paragraph 1.1. Such liquidation and distribution will be accomplished by the transfer of the Acquisition Shares then credited to the account of each Acquired Fund on the books of the corresponding Acquiring Fund to open accounts on the share records of the corresponding Acquiring Fund in the names of the Acquired Fund's shareholders and representing the respective pro rata number of Acquisition Shares due such shareholders. The Acquiring Fund shall not be obligated to issue certificates representing Acquisition Shares in connection with such exchange. 1.4. With respect to Acquisition Shares distributable pursuant to paragraph 1.3 to an Acquired Fund shareholder holding a certificate or certificates for shares of the Acquired Fund, if any, on the Valuation Date, the Acquired Fund will not permit such shareholder to receive Acquisition Share certificates therefor, exchange such Acquisition Shares for shares of other investment companies, effect an account transfer of such Acquisition Shares or pledge or redeem such Acquisition Shares until such Acquired Fund shareholder has surrendered all his or her outstanding certificates for Acquired Fund shares or, in the event of lost certificates, posted adequate bond. 1.5. As soon as practicable after the Closing Date, each Acquired Fund shall make all filings and take all other steps as shall be necessary and proper to effect its complete dissolution under applicable state law. After the Closing Date, no Acquired Fund shall conduct any business except in connection with its dissolution. 2. VALUATION. 2.1. For the purpose of paragraph 1, the value of each Acquired Fund's assets to be acquired by the corresponding Acquiring Fund hereunder shall be the value of such assets computed as of the close of regular trading on the New York Stock Exchange on the business day next preceding the Closing (such time and date being herein called the "Valuation Date") using the valuation procedures set forth in the organizational documents of the corresponding Acquiring Fund and the then current prospectus or prospectuses or statement or statements of additional information of the corresponding Acquiring Fund (collectively, as amended or supplemented from time to time, the "Acquiring Fund Prospectus"), after deduction for the expenses of the reorganization contemplated hereby to be paid by the Acquired Fund pursuant to paragraph 9.2, and shall be certified by the Acquired Fund. 2.2. For the purpose of paragraph 2.1, the net asset value of an Acquisition Share of each class shall be the net asset value per share computed as of the close of regular trading on the New York Stock Exchange on the Valuation Date, using the valuation procedures set forth in the organizational documents of the Acquiring Fund and the Acquiring Fund Prospectus. 3. CLOSING AND CLOSING DATE. 3.1. The Closing Date shall be on March 24, 2008 or March 31, 2008 (as identified in Exhibit A hereto), or on such other date as the parties may agree. The Closing shall be held at Columbia's offices, One Financial Center, Boston, Massachusetts 02111 (or such other place as the parties may agree), at such time as the parties may agree. 3.2. The portfolio securities of each Acquired Fund shall be made available by the Acquired Fund to the custodian for the corresponding Acquiring Fund (the "Custodian"), for examination no later than five business days preceding the Valuation Date. On the Closing Date, such portfolio securities and all the Acquired Fund's cash shall be delivered by the Acquired Fund to the Custodian for the account of the corresponding Acquiring Fund, such portfolio securities to be duly endorsed in proper form for transfer in such manner and condition as to constitute good delivery thereof in accordance with the custom of brokers or, in the case of portfolio securities held in the U.S. Treasury Department's book-entry system or by the Depository Trust Company, Participants Trust Company or other third party depositories, by transfer to the account of the Custodian in accordance with Rule 17f-4, Rule 17f-5 or Rule 17f-7, as the case may be, under the Investment Company Act of 1940, as amended (the "1940 Act") and accompanied by all necessary federal and state stock transfer stamps or a check for the appropriate purchase price thereof. The cash delivered shall be in the form of currency or certified or official bank checks, payable to the order of "State Street Bank and Trust Company, custodian for [Acquiring Fund]". 3.3. In the event that on the Valuation Date (a) the New York Stock Exchange shall be closed to trading or trading thereon shall be restricted, or (b) trading or the reporting of trading on said Exchange or elsewhere shall be disrupted so that accurate appraisal of the value of the net assets of each Acquired Fund or the corresponding Acquiring Fund is impracticable, the Closing Date shall be postponed until the first business day after the day when trading shall have been fully resumed and reporting shall have been restored; provided that if trading shall not be fully resumed and reporting restored within three business days of the Valuation Date, this Agreement may be terminated by either the Acquired Fund or the corresponding Acquiring Fund upon the giving of written notice to the other party. 3.4. At the Closing, each Acquired Fund or its transfer agent shall deliver to the corresponding Acquiring Fund or its designated agent a list of the names and addresses of the Acquired Fund's shareholders and the number of outstanding shares of each class of the Acquired Fund owned by each Acquired Fund shareholder, all as of the close of business on the Valuation Date, certified by any Vice President, Secretary or Assistant Secretary of the Acquired Fund. The Acquiring Trust will provide to the Acquired Fund evidence satisfactory to the Acquired Fund that the Acquisition Shares issuable pursuant to paragraph 1.1 have been credited to the Acquired Fund's account on the books of the Acquiring Fund. On the Liquidation Date, each Acquiring Fund will provide to the corresponding Acquired Fund evidence satisfactory to the corresponding Acquired Fund that such Acquisition Shares have been credited pro rata to open accounts in the names of the corresponding Acquired Fund's shareholders as provided in paragraph 1.3. 3.5. At the Closing, each party shall deliver to the other such bills of sale, instruments of assumption of liabilities, checks, assignments, stock certificates, receipts or other documents as such other party or its counsel may reasonably request in connection with the transfer of assets, assumption of liabilities and dissolution contemplated by paragraph 1. 4. REPRESENTATIONS AND WARRANTIES. 4.1. Each Acquired Fund represents and warrants the following to the corresponding Acquiring Fund as of the date hereof and agrees to confirm the continuing accuracy and completeness in all material respects of the following on the Closing Date: (a) Excelsior Funds Trust, of which Equity Income Fund and High Yield Fund are series thereof, is a Delaware statutory trust that is duly organized, validly existing and in good standing under the laws of the State of Delaware, and each of Excelsior Funds, Inc., of which Real Estate Fund is a series thereof, and Excelsior Tax-Exempt Funds, Inc., of which Long-Term Tax-Exempt Fund is a series thereof, is a Maryland corporation that is duly organized, validly existing and in good standing under the laws of the State of Maryland; (b) Each Acquired Company, of which each Acquired Fund is a series thereof, is a duly registered investment company classified as a management company of the open-end type and its registration with the Securities and Exchange Commission as an investment company under the 1940 Act is in full force and effect, and the Acquired Fund is a separate series thereof duly designated in accordance with the applicable provisions of the Declaration of Trust or Articles of Incorporation, as applicable, of the applicable Acquired Company and the 1940 Act; (c) The Acquired Fund is not in violation in any material respect of any provision of its organizational documents or of any agreement, indenture, instrument, contract, lease or other undertaking to which the Acquired Fund is a party or by which the Acquired Fund is bound, and the execution, delivery and performance of this Agreement will not result in any such violation; (d) The Acquired Fund has no material contracts or other commitments (other than this Agreement and such other contracts as may be entered into in the ordinary course of its business) that if terminated may result in material liability to the Acquired Fund or under which (whether or not terminated) any material payments for periods subsequent to the Closing Date will be due from the Acquired Fund; (e) To the knowledge of the Acquired Fund, except as has been disclosed in writing to the corresponding Acquiring Fund, no litigation or administrative proceeding or investigation of or before any court or governmental body is presently pending or threatened as to the Acquired Fund, any of its properties or assets, or any person whom the Acquired Fund may be obligated to indemnify in connection with such litigation, proceeding or investigation, and the Acquired Fund is not a party to or subject to the provisions of any order, decree or judgment of any court or governmental body that materially and adversely affects its business or its ability to consummate the transactions contemplated hereby; (f) The statement of assets and liabilities, the statement of operations, the statement of changes in net assets, and the schedule of investments of the Acquired Fund, as of the last day of and for its most recently completed fiscal year, audited by PricewaterhouseCoopers LLP (and, if applicable, an unaudited statement of assets and liabilities, statement of operations, statement of changes in net assets and schedule of investments for any subsequent semiannual period following the most recently completed fiscal year), copies of which have been furnished to the corresponding Acquiring Fund, fairly reflect the financial condition and results of operations of the Acquired Fund as of such dates and for the periods then ended in accordance with generally accepted accounting principles consistently applied, and the Acquired Fund has no known liabilities of a material amount, contingent or otherwise, other than those shown on the statements of assets and liabilities referred to above or those incurred in the ordinary course of its business since the last day of the Acquired Fund's most recently completed fiscal year; (g) Since the last day of the Acquired Fund's most recently completed fiscal year, there has not been any material adverse change in the Acquired Fund's financial condition, assets, liabilities or business (other than changes occurring in the ordinary course of business), or any incurrence by the Acquired Fund of indebtedness, except as disclosed in writing to the corresponding Acquiring Fund. For the purposes of this subparagraph (g), distributions of net investment income and net realized capital gains, changes in portfolio securities, changes in the market value of portfolio securities or net redemptions shall be deemed to be in the ordinary course of business; (h) As of the Closing Date, all federal and other tax returns and reports of the Acquired Fund required by law to have been filed by such date (giving effect to extensions) shall have been filed, and all federal and other taxes shown to be due on such returns and reports or on any assessment received shall have been paid, or provisions shall have been made for the payment thereof, except for amounts that alone and in the aggregate would not reasonably be expected to have a material adverse effect. All of the Acquired Fund's tax liabilities will have been adequately provided for on its books. To the best of the Acquired Fund's knowledge, it will not have had any tax deficiency or liability asserted against it or question with respect thereto raised, and it will not be under audit by the Internal Revenue Service or by any state or local tax authority for taxes in excess of those already paid; (i) The Acquired Fund meets the requirements of subchapter M of the Code for treatment as a "regulated investment company" within the meaning of Section 851 of the Code, and will continue meeting such requirements at all times through the Closing Date. The Acquired Fund has not at any time since its inception been liable for, and is not now liable for, any material income or excise tax pursuant to Section 852 or 4982 of the Code. The Acquired Fund is in compliance in all material respects with applicable regulations of the Internal Revenue Service pertaining to the reporting of dividends and other distributions on and redemptions of its capital stock and to withholding in respect of dividends and other distributions to shareholders, and is not liable for any material penalties that could be imposed thereunder; (j) Exhibit B hereto sets forth the authorized capital of the Acquired Fund. All issued and outstanding shares of the Acquired Fund are, and at the Closing Date will be, duly and validly issued and outstanding, fully paid and non-assessable (except as set forth in the Acquired Fund's then current prospectus or prospectuses or statement or statements of additional information (collectively, as amended or supplemented from time to time, the "Acquired Fund Prospectus")) by the Acquired Fund and will have been issued in compliance with all applicable registration or qualification requirements of federal and state securities laws. Except as set forth on Exhibit B hereto, no options, warrants or other rights to subscribe for or purchase, or securities convertible into, any shares of common stock of the Acquired Fund are outstanding and none will be outstanding on the Closing Date; (k) The Acquired Fund's investment operations from inception to the date hereof have been in compliance in all material respects with the investment policies and investment restrictions set forth in the Acquired Fund Prospectus, except as previously disclosed in writing to the corresponding Acquiring Fund; (l) The execution, delivery and performance of this Agreement has been duly authorized by the trustees/directors of the Acquired Fund, and, upon approval thereof by the required majority of the shareholders of the Acquired Fund and assuming the due authorization, execution and delivery of this Agreement by the Acquiring Trust and Columbia, this Agreement will constitute the valid and binding obligation of the Acquired Fund enforceable in accordance with its terms except as the same may be limited by bankruptcy, insolvency, reorganization or other similar laws affecting the enforcement of creditors' rights generally and other equitable principles; (m) The Acquisition Shares to be issued to the Acquired Fund pursuant to paragraph 1 will not be acquired for the purpose of making any distribution thereof other than to the Acquired Fund's shareholders as provided in paragraph 1.3; (n) The information provided by the Acquired Fund for use in the Registration Statement and Prospectus/Proxy Statement referred to in paragraph 5.3 shall be accurate and complete in all material respects and shall comply with federal securities and other laws and regulations as applicable thereto; (o) No consent, approval, authorization or order of any court or governmental authority is required for the consummation by the Acquired Fund of the transactions contemplated by this Agreement, except such as may be required under the Securities Act of 1933, as amended (the "1933 Act"), the Securities Exchange Act of 1934, as amended (the "1934 Act"), the 1940 Act and state securities or "Blue Sky" laws (which terms used herein shall include the laws of the District of Columbia and of Puerto Rico); (p) At the Closing Date, the Acquired Fund will have good and marketable title to its assets to be transferred to the corresponding Acquiring Fund pursuant to paragraph 1.1 and will have full right, power and authority to sell, assign, transfer and deliver the Investments (as defined below) and any other assets and liabilities of the Acquired Fund to be transferred to the corresponding Acquiring Fund pursuant to this Agreement. At the Closing Date, subject only to the delivery of the Investments and any such other assets and liabilities and payment therefor as contemplated by this Agreement, the corresponding Acquiring Fund will acquire good and marketable title thereto and will acquire the Investments and any such other assets and liabilities subject to no encumbrances, liens or security interests whatsoever and without any restrictions upon the transfer thereof, except as previously disclosed to the corresponding Acquiring Fund. As used in this Agreement, the term "Investments" shall mean the Acquired Fund's investments shown on the schedule of its investments as of the date of its most recently completed fiscal year, referred to in subparagraph 4.1(f) hereof, as supplemented with such changes in the portfolio as the Acquired Fund shall make, and changes resulting from stock dividends, stock split-ups, mergers and similar corporate actions through the Closing Date; (q) At the Closing Date, the Acquired Fund will have sold such of its assets, if any, as are necessary based on information provided by the corresponding Acquiring Fund and contingent on the accuracy of such information to assure that, after giving effect to the acquisition of the assets of the Acquired Fund pursuant to this Agreement, the Acquiring Fund will remain a "diversified company" within the meaning of Section 5(b)(1) of the 1940 Act, if applicable, and in compliance with such other mandatory investment restrictions as are set forth in the Acquiring Fund Prospectus, as amended through the Closing Date. Notwithstanding the foregoing, nothing herein will require the Acquired Fund to dispose of any investments or securities if, in the reasonable judgment of the Acquired Fund, such disposition would either violate the Acquired Fund's fiduciary duty to its shareholders or adversely affect the tax-free nature of the reorganization contemplated by this Agreement; and (r) No registration of any of the Investments would be required if they were, as of the time of such transfer, the subject of a public distribution by either of the corresponding Acquiring Fund or the Acquired Fund, except as previously disclosed by the Acquired Fund to the corresponding Acquiring Fund. 4.2. Each Acquiring Fund represents and warrants the following to the corresponding Acquired Fund as of the date hereof and agrees to confirm the continuing accuracy and completeness in all material respects of the following on the Closing Date: (a) The Acquiring Trust is a Massachusetts business trust that is duly organized, validly existing and in good standing under the laws of The Commonwealth of Massachusetts; (b) The Acquiring Trust is a duly registered investment company classified as a management company of the open-end type and its registration with the Securities and Exchange Commission as an investment company under the 1940 Act is in full force and effect, and the Acquiring Fund is a separate series thereof duly designated in accordance with the applicable provisions of the Declaration of Trust of the Acquiring Trust and the 1940 Act; (c) The Acquiring Fund Prospectus conforms in all material respects to the applicable requirements of the 1933 Act and the rules and regulations of the Securities and Exchange Commission thereunder and does not include any untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading, and there are no material contracts to which the Acquiring Fund is a party that are not referred to in such Prospectus or in the registration statement of which it is a part; (d) At the Closing Date, the Acquiring Fund will have good and marketable title to its assets; (e) The Acquiring Fund is not in violation in any material respect of any provisions of its organizational documents or of any agreement, indenture, instrument, contract, lease or other undertaking to which the Acquiring Fund is a party or by which the Acquiring Fund is bound, and the execution, delivery and performance of this Agreement will not result in any such violation; (f) To the knowledge of the Acquiring Fund, except as has been disclosed in writing to the corresponding Acquired Fund, no litigation or administrative proceeding or investigation of or before any court or governmental body is presently pending or threatened as to the Acquiring Fund, any of its properties or assets, or any person whom the Acquiring Fund may be obligated to indemnify in connection with such litigation, proceeding or investigation, and the Acquiring Fund is not a party to or subject to the provisions of any order, decree or judgment of any court or governmental body that materially and adversely affects its business or its ability to consummate the transactions contemplated hereby; (g) The statement of assets and liabilities, the statement of operations, the statement of changes in net assets, and the schedule of investments of the Acquiring Fund, as of the last day of and for its most recently completed fiscal year, audited by Pricewater houseCoopers LLP (and, if applicable, an unaudited statement of assets and liabilities, statement of operations, statement of changes in net assets and schedule of investments for any subsequent semiannual period following the most recently completed fiscal year), copies of which have been furnished to the Acquired Fund, fairly reflect the financial condition and results of operations of the Acquiring Fund as of such dates and for the periods then ended in accordance with generally accepted accounting principles consistently applied, and the Acquiring Fund has no known liabilities of a material amount, contingent or otherwise, other than those shown on the statements of assets referred to above or those incurred in the ordinary course of its business since the last day of the Acquiring Fund's most recently completed fiscal year; (h) Since the last day of the Acquiring Fund's most recently completed fiscal year, there has not been any material adverse change in the Acquiring Fund's financial condition, assets, liabilities or business (other than changes occurring in the ordinary course of business), or any incurrence by the Acquiring Fund of indebtedness, except as disclosed in writing to the Acquired Fund. For the purposes of this subparagraph (h), distributions of net investment income and net realized capital gains, changes in portfolio securities, changes in the market value of portfolio securities or net redemptions shall be deemed to be in the ordinary course of business; (i) As of the Closing Date, all federal and other tax returns and reports of the Acquiring Fund required by law to have been filed by such date (giving effect to extensions) shall have been filed, and all federal and other taxes shown to be due on such returns and reports or any assessments received shall have been paid, or provisions shall have been made for the payment thereof. All of the Acquiring Fund's tax liabilities will have been adequately provided for on its books. To the best of the Acquiring Fund's knowledge, it will not have had any tax deficiency or liability asserted against it or question with respect thereto raised, and it will not be under audit by the Internal Revenue Service or by any state or local tax authority for taxes in excess of those already paid; (j) The Acquiring Fund has met the requirements of subchapter M of the Code for treatment as a "regulated investment company" within the meaning of Section 851 of the Code in respect of each taxable year since the commencement of operations, and will continue to meet such requirements at all times through the Closing Date. The Acquiring Fund has not at any time since its inception been liable for, nor is it now liable for, any material income or excise tax pursuant to Section 852 or 4982 of the Code. The Acquiring Fund is in compliance in all material respects with applicable regulations of the Internal Revenue Service pertaining to the reporting of dividends and other distributions on and redemptions of its capital stock and to withholding in respect of dividends and other distributions to shareholders, and is not liable for any material penalties that could be imposed thereunder; (k) Exhibit C hereto sets forth the authorized capital of the Acquiring Fund. All issued and outstanding shares of the Acquiring Fund are, and at the Closing Date will be, duly and validly issued and outstanding, fully paid and non-assessable (except as set forth in the Acquiring Fund Prospectus) by the Acquiring Fund and will have been issued in compliance with all applicable registration or qualification requirements of federal and state securities laws. Except as set forth on Exhibit C hereto, no options, warrants or other rights to subscribe for or purchase, or securities convertible into, any shares of common stock of the Acquiring Fund are outstanding and none will be outstanding on the Closing Date; (l) The Acquiring Fund's investment operations from inception to the date hereof have been in compliance in all material respects with the investment policies and investment restrictions set forth in the Acquiring Fund Prospectus; (m) The execution, delivery and performance of this Agreement have been duly authorized by all necessary action on the part of the Acquiring Fund, and, assuming the due authorization, execution and delivery of this Agreement by the Acquired Company and Columbia, this Agreement constitutes the valid and binding obligation of the Acquiring Fund enforceable in accordance with its terms, except as the same may be limited by bankruptcy, insolvency, reorganization or other similar laws affecting the enforcement of creditors' rights generally and other equitable principles; (n) The Acquisition Shares to be issued and delivered to the corresponding Acquired Fund pursuant to the terms of this Agreement will at the Closing Date have been duly authorized and, when so issued and delivered, will be duly and validly issued shares in the Acquiring Fund, and will be fully paid and non-assessable (except as set forth in the Acquiring Fund Prospectus) by the Acquiring Fund, and no shareholder of the Acquiring Fund will have any preemptive right of subscription or purchase in respect thereof; (o) The information to be furnished by the Acquiring Fund for use in the Registration Statement and Prospectus/Proxy Statement referred to in paragraph 5.3 shall be accurate and complete in all material respects and shall comply with federal securities and other laws and regulations applicable thereto; and (p) No consent, approval, authorization or order of any court or governmental authority is required for the consummation by the Acquiring Fund of the transactions contemplated by this Agreement, except such as may be required under the 1933 Act, the 1934 Act, the 1940 Act and state securities or "Blue Sky" laws (which term as used herein shall include the laws of the District of Columbia and of Puerto Rico). 5. COVENANTS OF EACH ACQUIRED FUND AND THE CORRESPONDING ACQUIRING FUND. Each Acquired Fund and the corresponding Acquiring Fund hereby covenants and agrees with the other as follows: 5.1. Each Acquiring Fund and each Acquired Fund will each operate its business in the ordinary course between the date hereof and the Closing Date, it being understood that such ordinary course of business will include regular and customary periodic dividends and distributions. 5.2. Each Acquired Fund will call a meeting of its shareholders to be held prior to the Closing Date to consider and act upon this Agreement and take all other reasonable action necessary to obtain the required shareholder approval of the transactions contemplated hereby. 5.3. In connection with each Acquired Fund shareholders' meeting referred to in paragraph 5.2, the corresponding Acquiring Fund will prepare a prospectus/proxy statement (the "Prospectus/Proxy Statement") for such meeting, to be included in a Registration Statement on Form N-14 (the "Registration Statement"), which the corresponding Acquiring Fund will prepare and file for registration under the 1933 Act of the Acquisition Shares to be distributed to each Acquired Fund's shareholders pursuant hereto, all in compliance with the applicable requirements of the 1933 Act, the 1934 Act, and the 1940 Act. 5.4. The information to be furnished by each Acquired Fund for use in the Registration Statement and the information to be furnished by the corresponding Acquiring Fund for use in the Prospectus/Proxy Statement, each as referred to in paragraph 5.3, shall be accurate and complete in all material respects and shall comply with federal securities and other laws and regulations thereunder applicable thereto. 5.5. Each Acquiring Fund will advise the corresponding Acquired Fund promptly if at any time prior to the Closing Date the assets of such Acquired Fund include any securities that the Acquiring Fund is not permitted to acquire. 5.6. Subject to the provisions of this Agreement, the Acquired Fund and the corresponding Acquiring Fund will each take, or cause to be taken, all action, and do or cause to be done, all things reasonably necessary, proper or advisable to cause the conditions to the other party's obligations to consummate the transactions contemplated hereby to be met or fulfilled and otherwise to consummate and make effective such transactions. 5.7. Each Acquiring Fund will use all reasonable efforts to obtain the approvals and authorizations required by the 1933 Act, the 1940 Act and such of the state securities or "Blue Sky" laws as it may deem appropriate in order to continue its operations after the Closing Date. 6. CONDITIONS PRECEDENT TO OBLIGATIONS OF EACH ACQUIRED FUND. The obligation of each Acquired Fund to consummate the transactions provided for herein shall be subject, at its election, to the performance by the corresponding Acquiring Fund of all the obligations to be performed by it hereunder on or before the Closing Date and, in addition thereto, to the following further conditions: 6.1. The corresponding Acquiring Fund shall have delivered to the Acquired Fund a certificate executed in its name by its President or a Vice President and its Treasurer or an Assistant Treasurer, in form and substance satisfactory to the Acquired Fund and dated as of the Closing Date, to the effect that the representations and warranties of the corresponding Acquiring Fund made in this Agreement are true and correct at and as of the Closing Date, except as they may be affected by the transactions contemplated by this Agreement, and that the corresponding Acquiring Fund has complied with all the covenants and agreements and satisfied all of the conditions on its part to be performed or satisfied under this Agreement at or prior to the Closing Date. 6.2. The Acquired Fund shall have received a favorable opinion of Ropes & Gray LLP, dated the Closing Date and in a form satisfactory to the Acquired Fund, to the following effect: (a) The Acquiring Trust is a Massachusetts business trust duly organized and validly existing under the laws of The Commonwealth of Massachusetts and has power to own all of its properties and assets and to carry on its business as presently conducted, and the corresponding Acquiring Fund is a separate series thereof duly constituted in accordance with the applicable provisions of the 1940 Act and the Declaration of Trust and Bylaws of the Acquiring Trust; (b) This Agreement has been duly authorized, executed and delivered on behalf of the corresponding Acquiring Fund and, assuming the Registration Statement and Prospectus/Proxy Statement referred to in paragraph 5.3 comply with applicable federal securities laws and assuming the due authorization, execution and delivery of this Agreement by the Acquired Fund and Columbia, is the valid and binding obligation of the corresponding Acquiring Fund enforceable against the corresponding Acquiring Fund in accordance with its terms, except as the same may be limited by bankruptcy, insolvency, reorganization or other similar laws affecting the enforcement of creditors' rights generally and other equitable principles; (c) The corresponding Acquiring Fund has the power to assume the liabilities to be assumed by it hereunder, and, upon consummation of the transactions contemplated hereby, the corresponding Acquiring Fund will have duly assumed such liabilities; (d) The Acquisition Shares to be issued for transfer to the Acquired Fund's shareholders as provided by this Agreement are duly authorized and upon such transfer and delivery will be validly issued and outstanding and fully paid and nonassessable shares in the corresponding Acquiring Fund, and no shareholder of the corresponding Acquiring Fund has any preemptive right of subscription or purchase in respect thereof; (e) The execution and delivery of this Agreement did not, and the performance by the corresponding Acquiring Fund of its obligations hereunder will not, violate the corresponding Acquiring Fund's organizational documents, or any provision of any agreement known to such counsel to which the corresponding Acquiring Fund is a party or by which it is bound or, to the knowledge of such counsel, result in the acceleration of any obligation or the imposition of any penalty under any agreement, judgment or decree to which such Acquiring Fund is a party or by which it is bound; (f) To the knowledge of such counsel, no consent, approval, authorization or order of any court or governmental authority is required for the consummation by the corresponding Acquiring Fund of the transactions contemplated by this Agreement except such as may be required under state securities or "Blue Sky" laws or such as have been obtained; (g) Such counsel does not know of any legal or governmental proceedings relating to the Acquiring Fund existing on or before the date of mailing of the Prospectus/Proxy Statement referred to in paragraph 5.3 or the Closing Date required to be described in the Registration Statement that are not described as required; (h) The Acquiring Trust is registered with the Securities and Exchange Commission as an investment company under the 1940 Act; (i) To the knowledge of such counsel, except as has been disclosed in writing to the Acquired Fund or disclosed in the Prospectus/Proxy Statement referred to in paragraph 5.3, no litigation or administrative proceeding or investigation of or before any court or governmental body is presently pending or threatened as to the corresponding Acquiring Fund or any of its properties or assets or any person whom the Acquired Fund may be obligated to indemnify in connection with such litigation, proceeding or investigation, and the corresponding Acquiring Fund is not a party to or subject to the provisions of any order, decree or judgment of any court or governmental body that materially and adversely affects its business or its ability to consummate the transaction contemplated hereby; and (j) The Registration Statement has become effective under the 1933 Act and, to the knowledge of such counsel, no stop order suspending the effectiveness of the Registration Statement has been issued under the 1933 Act and no proceedings for that purpose have been instituted or threatened by the Securities and Exchange Commission. Such counsel may rely on certificates of officers or trustees of the Acquiring Trust. 6.3. For the period beginning at the Closing Date of the last reorganization of any series for each Acquired Company and ending not less than six years thereafter, Columbia, its successors and assigns, shall provide, or cause to be provided, liability coverage at least comparable to the liability coverage currently applicable to both former and current directors and officers of such Acquired Company as of the date of this Agreement, covering the actions of such directors and officers of such Acquired Company for the period they served as such. Any related costs or expenses shall be borne by the applicable Acquired Company. 7. CONDITIONS PRECEDENT TO OBLIGATIONS OF EACH ACQUIRING FUND. The obligations of each Acquiring Fund to complete the transactions provided for herein shall be subject, at its election, to the performance by the corresponding Acquired Fund of all the obligations to be performed by it hereunder on or before the Closing Date and, in addition thereto, to the following further conditions: 7.1. The corresponding Acquired Fund shall have delivered to the Acquiring Fund a certificate executed in its name by its President or a Vice President and its Treasurer or an Assistant Treasurer, in form and substance satisfactory to the Acquiring Fund and dated as of the Closing Date, to the effect that the representations and warranties of the corresponding Acquired Fund made in this Agreement are true and correct at and as of the Closing Date, except as they may be affected by the transactions contemplated by this Agreement, and that the corresponding Acquired Fund has complied with all the covenants and agreements and satisfied all of the conditions on its part to be performed or satisfied under this Agreement at or prior to the Closing Date; 7.2. The Acquiring Fund shall have received a favorable opinion of Morgan, Lewis & Bockius LLP, dated the Closing Date and in a form satisfactory to the Acquiring Fund, to the following effect: (a) Each Acquired Company is a Delaware statutory trust or Maryland corporation, as applicable, duly organized and validly existing under the laws of the State of Delaware or Maryland, respectively, and has power to own all of its properties and assets and to carry on its business as presently conducted, and the corresponding Acquired Fund is a separate series thereof duly constituted in accordance with the applicable provisions of the 1940 Act and the Declaration of Trust or Articles of Incorporation, respectively, and Bylaws of such Acquired Company; (b) This Agreement has been duly authorized, executed and delivered on behalf of the corresponding Acquired Fund and, assuming the Registration Statement and Prospectus/Proxy Statement referred to in paragraph 5.3 comply with applicable federal securities laws and assuming the due authorization, execution and delivery of this Agreement by the Acquiring Fund and Columbia, is the valid and binding obligation of the corresponding Acquired Fund enforceable against the corresponding Acquired Fund in accordance with its terms, except as the same may be limited by bankruptcy, insolvency, reorganization or other similar laws affecting the enforcement of creditors' rights generally and other equitable principles; (c) The corresponding Acquired Fund has the power to sell, assign, transfer and deliver the assets to be transferred by it hereunder, and, upon consummation of the transactions contemplated hereby, the corresponding Acquired Fund will have duly transferred such assets to the Acquiring Fund; (d) The execution and delivery of this Agreement did not, and the performance by the corresponding Acquired Fund of its obligations hereunder will not, violate the corresponding Acquired Fund's organizational documents or any provision of any agreement known to such counsel to which the corresponding Acquired Fund is a party or by which it is bound or, to the knowledge of such counsel, result in the acceleration of any obligation or the imposition of any penalty under any agreement, judgment or decree to which the corresponding Acquired Fund is a party or by which it is bound; (e) To the knowledge of such counsel, no consent, approval, authorization or order of any court or governmental authority is required for the consummation by the corresponding Acquired Fund of the transactions contemplated by this Agreement, except such as have been obtained; (f) Such counsel does not know of any legal or governmental proceedings relating to the corresponding Acquired Fund existing on or before the date of mailing of the Prospectus/Proxy Statement referred to in paragraph 5.3 or the Closing Date required to be described in the Prospectus/Proxy Statement that are not described as required; (g) Each Acquired Company is registered with the Securities and Exchange Commission as an investment company under the 1940 Act; and (h) To the knowledge of such counsel, except as has been disclosed in writing to the Acquiring Fund or disclosed in the Prospectus/Proxy Statement referred to in paragraph 5.3, no litigation or administrative proceeding or investigation of or before any court or governmental body is presently pending or threatened as to the corresponding Acquired Fund or any of its properties or assets or any person whom the Acquiring Fund may be obligated to indemnify in connection with such litigation, proceeding or investigation, and the corresponding Acquired Fund is not a party to or subject to the provisions of any order, decree or judgment of any court or governmental body that materially and adversely affects its business or its ability to consummate the transaction contemplated thereby. Such counsel may rely as to matters governed by the laws of The Commonwealth of Massachusetts on an opinion of local counsel and/or certificates of officers or trustees/directors of the Acquired Company. 7.3. Prior to the Closing Date, the corresponding Acquired Fund shall have declared a dividend or dividends which, together with all previous dividends, shall have the effect of distributing (i) all of the excess of (x) the corresponding Acquired Fund's interest income excludable from gross income under Section 103 of the Code over (y) the corresponding Acquired Fund's deductions disallowed under Sections 265 or 171 of the Code and (ii) all of the corresponding Acquired Fund's investment company taxable income as defined in Section 852 of the Code (in each case computed without regard to any deduction for dividends paid) for its taxable years ending on or after March 31, 2007 (June 30, 2007 for Real Estate Fund), and on or prior to the Closing Date (computed without regard to any deduction for dividends paid), and all of its net capital gains realized (after reduction for any capital loss carryover) in each of its taxable years ending on or after March 31, 2007 (June 30, 2007 for Real Estate Fund), and on or prior to the Closing Date. 7.4. The corresponding Acquired Fund shall have furnished to the Acquiring Fund a certificate, signed by the President (or any Vice President) and the Treasurer (or Assistant Treasurer) of the corresponding Acquired Fund, as to the adjusted tax basis in the hands of the corresponding Acquired Fund of the securities delivered to the Acquiring Fund pursuant to this Agreement. 7.5. The custodian of the corresponding Acquired Fund shall have delivered to the Acquiring Fund a certificate identifying all of the assets of the corresponding Acquired Fund held by such custodian as of the Valuation Date. 8. FURTHER CONDITIONS PRECEDENT TO OBLIGATIONS OF EACH ACQUIRED FUND AND THE CORRESPONDING ACQUIRING FUND. The respective obligations of each Acquired Fund and the corresponding Acquiring Fund hereunder are subject to the further conditions that on or before the Closing Date: 8.1. This Agreement and the transactions contemplated herein shall have received all necessary shareholder approvals at the meeting of shareholders of each Acquired Fund referred to in paragraph 5.2. 8.2. On the Closing Date, no action, suit or other proceeding shall be pending before any court or governmental agency in which it is sought to restrain or prohibit, or obtain damages or other relief in connection with, this Agreement or the transactions contemplated hereby. On the Closing Date, the Securities and Exchange Commission will not have issued an unfavorable report under Section 25(b) of the 1940 Act, nor instituted any proceeding seeking to enjoin the consummation of the transactions contemplated by this Agreement under Section 25(c) of the 1940 Act. 8.3. All consents of other parties and all other consents, orders and permits of federal, state and local regulatory authorities (including those of the Securities and Exchange Commission and of state "Blue Sky" and securities authorities) deemed necessary by the Acquired Fund or the corresponding Acquiring Fund to permit consummation, in all material respects, of the transactions contemplated hereby shall have been obtained, except when failure to obtain any such consent, order or permit would not involve a risk of a material adverse effect on the assets or properties of the Acquired Fund or the corresponding Acquiring Fund. 8.4. The Registration Statement shall have become effective under the 1933 Act and no stop order suspending the effectiveness thereof shall have been issued and, to the best knowledge of the parties hereto, no investigation or proceeding for that purpose shall have been instituted or be pending, threatened or contemplated under the 1933 Act. 8.5. The Acquired Fund shall have received a favorable opinion of Ropes & Gray LLP satisfactory to the Acquired Fund, and the corresponding Acquiring Fund shall have received a favorable opinion of Ropes & Gray LLP satisfactory to the corresponding Acquiring Fund, each substantially to the effect that, on the basis of existing provisions of the Code, Treasury regulations promulgated thereunder, current administrative rules, pronouncements, and court decisions, while the matter is not free from doubt, generally for federal income tax purposes: (a) The transactions contemplated by this Agreement will constitute a reorganization within the meaning of Section 368(a) of the Code, and the Acquired Fund and the corresponding Acquiring Fund will each be "a party to a reorganization" within the meaning of Section 368(b) of the Code; (b) No gain or loss will be recognized by the Acquired Fund (i) upon the transfer of its assets to the corresponding Acquiring Fund in exchange for the Acquisition Shares and the assumption by the corresponding Acquiring Fund of the liabilities of the Acquired Fund or (ii) upon the distribution of the Acquisition Shares by the Acquired Fund to its shareholders in liquidation, as contemplated in paragraph 1 hereof; (c) No gain or loss will be recognized by the corresponding Acquiring Fund upon receipt of the assets of the Acquired Fund in exchange for the assumption of liabilities and obligations and issuance of the Acquisition Shares as contemplated in paragraph 1 hereof; (d) The tax basis of the assets of the Acquired Fund acquired by the corresponding Acquiring Fund will be the same as the tax basis of such assets in the hands of the Acquired Fund immediately prior to the transfer; (e) The holding period of the assets of the Acquired Fund in the hands of the corresponding Acquiring Fund will include the period during which such assets were held by the Acquired Fund; (f) No gain or loss will be recognized by the Acquired Fund's shareholders upon the exchange of all of their shares of the Acquired Fund for the Acquisition Shares; (g) The aggregate tax basis of the Acquisition Shares to be received by a shareholder of the Acquired Fund will be the same as the aggregate tax basis of the Acquired Fund's shares exchanged therefor; (h) The Acquired Fund shareholder's holding period for the Acquisition Shares to be received will include the period during which the Acquired Fund's shares exchanged therefor were held, provided that such shareholder held the Acquired Fund's shares as a capital asset on the date of the exchange; and (i) The corresponding Acquiring Fund will succeed to and take into account the items of the Acquired Fund described in Section 381(c) of the Code, subject to the conditions and limitations specified in Sections 381, 382, 383 and 384 of the Code and the regulations thereunder. The opinion will be based on certain factual certifications made by officers of the Acquired Fund, the corresponding Acquiring Fund, the applicable Acquired Company and the Acquiring Trust and will also be based on customary assumptions. The opinion is not a guarantee that the tax consequences of the relevant reorganization will be as described above. The opinion will note and distinguish certain published precedent. There is no assurance that the Internal Revenue Service or a court would agree with the opinion. Ropes & Gray LLP will express no view with respect to the effect of the reorganization on any transferred asset as to which any unrealized gain or loss is required to be recognized under federal income tax principles (i) at the end of a taxable year or upon termination thereof, or (ii) upon the transfer of such asset regardless of whether such a transfer would otherwise be a non-taxable transaction. 8.6. At any time prior to the Closing, any of the foregoing conditions of this Agreement, except paragraph 8.1, may be waived jointly by the board of trustees/directors of the applicable Acquired Company and the Acquiring Trust, if, in their judgment, such waiver will not have a material adverse effect on the interests of the shareholders of the Acquired Fund or the corresponding Acquiring Fund. 9. BROKERAGE FEES AND EXPENSES. 9.1. Each Acquired Fund and corresponding Acquiring Fund represents and warrants to the other that there are no brokers or finders entitled to receive any payments in connection with the transactions provided for herein. 9.2. All fees paid to governmental authorities for the registration or qualification of the Acquisition Shares and all transfer agency costs related to the Acquisition Shares shall be allocated to the corresponding Acquiring Fund. All fees and expenses related to printing and mailing communications to Acquired Fund shareholders shall be allocated to the Acquired Fund. All of the other expenses of the transactions, including without limitation, accounting, legal and custodial expenses, contemplated by this Agreement shall be allocated equally between the Acquired Fund and the corresponding Acquiring Fund. The expenses detailed above shall be borne by the Fund to which they are allocated; except that Columbia shall bear such expenses to the extent such expenses exceed the anticipated reduction in expenses borne by the Fund's shareholders over the first year following the reorganization. In the event the Closing does not occur, Columbia shall bear all such expenses. 10. ENTIRE AGREEMENT; SURVIVAL OF WARRANTIES. 10.1. Each Acquired Fund and corresponding Acquiring Fund agrees that neither party has made any representation, warranty or covenant not set forth herein and that this Agreement constitutes the entire agreement between the parties. 10.2. The representations, warranties and covenants contained in this Agreement or in any document delivered pursuant hereto or in connection herewith shall not survive the consummation of the transactions contemplated hereunder except paragraphs 1.1, 1.2, 1.3, 1.5, 5.4, 5.6, 6.3, 9, 10, 13 and 14. 11. TERMINATION. 11.1. This Agreement may be terminated by the mutual agreement of each Acquired Fund and corresponding Acquiring Fund. In addition, either an Acquired Fund or the corresponding Acquiring Fund may at its option terminate this Agreement at or prior to the Closing Date because: (a) of a material breach by the other of any representation, warranty, covenant or agreement contained herein to be performed by the other party at or prior to the Closing Date; (b) a condition herein expressed to be precedent to the obligations of the terminating party has not been met and it reasonably appears that it will not or cannot be met; or (c) any governmental authority of competent jurisdiction shall have issued any judgment, injunction, order, ruling or decree or taken any other action restraining, enjoining or otherwise prohibiting this Agreement or the consummation of any of the transactions contemplated herein and such judgment, injunction, order, ruling, decree or other action becomes final and non- appealable; provided that the party seeking to terminate this Agreement pursuant to this Section 11.1(c) shall have used its reasonable best efforts to have such judgment, injunction, order, ruling, decree or other action lifted, vacated or denied. If the transactions contemplated by this Agreement have not been substantially completed by December 31, 2008, this Agreement shall automatically terminate on that date unless a later date is agreed to by both the Acquired Fund and the corresponding Acquiring Fund. 11.2. If for any reason, except for willful default by a party, the transactions contemplated by this Agreement are not consummated, no party shall be liable to any other party for any damages resulting therefrom, including without limitation consequential damages. 12. AMENDMENTS. This Agreement may be amended, modified or supplemented in such manner as may be mutually agreed upon in writing by the authorized officers of each Acquired Fund and corresponding Acquiring Fund; provided, however, that following the shareholders' meeting called by each Acquired Fund pursuant to paragraph 5.2 no such amendment may have the effect of changing the provisions for determining the number of the Acquisition Shares to be issued to shareholders of such Acquired Fund under this Agreement to the detriment of such shareholders without their further approval. 13. NOTICES. Any notice, report, statement or demand required or permitted by any provisions of this Agreement shall be in writing and shall be given by prepaid telegraph, telecopy or certified mail addressed to the Acquired Fund or the corresponding Acquiring Fund, One Financial Center, Boston, Massachusetts 02111, Attention: Secretary. 14. HEADINGS; COUNTERPARTS; GOVERNING LAW; ASSIGNMENT; NON-RECOURSE. 14.1. The article and paragraph headings contained in this Agreement are for reference purposes only and shall not affect in any way the meaning or interpretation of this Agreement. 14.2. This Agreement may be executed in any number of counterparts, each of which shall be deemed an original. 14.3. This Agreement shall be governed by and construed in accordance with the domestic substantive laws of The Commonwealth of Massachusetts, without giving effect to any choice or conflicts of law rule or provision that would result in the application of the domestic substantive laws of any other jurisdiction. 14.4. This Agreement shall bind and inure to the benefit of the parties hereto and their respective successors and assigns, but no assignment or transfer hereof or of any rights or obligations hereunder shall be made by any party without the written consent of the other party. Nothing herein expressed or implied is intended or shall be construed to confer upon or give any person, firm or corporation, other than the parties hereto and their respective successors and assigns, any rights or remedies under or by reason of this Agreement. 14.5. A copy of the Declaration of Trust of the Acquiring Trust is on file with the Secretary of The Commonwealth of Massachusetts, and notice is hereby given that no trustee, officer, agent or employee of the Acquiring Trust shall have any personal liability under this Agreement, and that insofar as it relates to any Acquiring Fund, this Agreement is binding only upon the assets and properties of such Acquiring Fund. [THE REST OF THIS PAGE INTENTIONALLY LEFT BLANK.] IN WITNESS WHEREOF, each of the parties hereto has caused this Agreement to be executed as a sealed instrument by its President, a Vice President or Treasurer and attested by its Secretary or Assistant Secretary. EXCELSIOR FUNDS TRUST EXCELSIOR FUNDS, INC. EXCELSIOR TAX-EXEMPT FUNDS, INC. Each on behalf of each of its Acquired Funds Attested by: /s/ James R. Bordewick, Jr. Name: James R. Bordewick, Jr. By: /s/ J. Kevin Connaughton Title: Secretary Name: J. Kevin Connaughton Title: Senior Vice President, Chief Financial Officer and Treasurer COLUMBIA FUNDS SERIES TRUST I On behalf of each of its Acquiring Funds Attested by: /s/ James R. Bordewick, Jr. Name: James R. Bordewick, Jr. By: /s/ J. Kevin Connaughton Title: Secretary Name: J. Kevin Connaughton Title: Senior Vice President, Chief Financial Officer and Treasurer Solely for purposes of Paragraphs 6.3 and 9.2 of the Agreement COLUMBIA MANAGEMENT ADVISORS, LLC Attested by: /s/ James R. Bordewick, Jr. By: /s/ Christopher L. Wilson Name: James R. Bordewick, Jr. Name: Christopher L. Wilson Title: Secretary Title: Managing Director EXHIBIT A Acquired Company/Acquired Fund Acquiring Trust/Acquiring Fund (Share Classes) (Share Classes) Closing Date EXCELSIOR FUNDS TRUST COLUMBIA FUNDS SERIES TRUST I Equity Income Fund Columbia Dividend Income Fund March 31, 2008 Retirement Shares Class Class R Shares Class Class Z High Yield Fund Columbia High Yield Oppty Fund March 24, 2008 Institutional Shares Class Class Z Shares Class Class Z EXCELSIOR TAX-EXEMPT FUNDS, INC COLUMBIA FUNDS SERIES TRUST I Long-Term Tax-Exempt Fund Columbia Tax-Exempt Fund March 24, 2008 Shares Class Class Z EXCELSIOR FUNDS, INC. COLUMBIA FUNDS SERIES TRUST I Real Estate Fund Columbia Real Estate Equity Fd March 24, 2008 Shares Class Class Z EXHIBIT B Authorized Capital of each Acquired Fund Acquired Fund Authorized Capital Equity Income Fund Unlimited High Yield Fund Unlimited Long-Term Tax-Exempt Fund 500,000,000 Real Estate Fund 500,000,000 EXHIBIT C Authorized Capital of each Acquiring Fund Acquiring Fund Authorized Capital Columbia Dividend Income Fund Unlimited Columbia High Yield Opportunity Fund Unlimited Columbia Tax-Exempt Fund Unlimited Columbia Real Estate Equity Fund Unlimited EX-99 4 table.txt
TRUST FUND NAME CUSIP ISSUER/ SECURITY DESCRIPTION - ----------------------------- ------------------------------- --------- --------------------------------------------------- Columbia Funds Series Trust I Columbia Asset Allocation Fund 302941109 FTI Consulting Inc. Columbia Funds Series Trust I Columbia Asset Allocation Fund 571903AH6 Marriott International 5.625% 2/15/2013 Columbia Funds Series Trust I Columbia Asset Allocation Fund 253868103 Digital Realty Trust Inc. Columbia Funds Series Trust I Columbia Asset Allocation Fund 26613Q106 Dupont Fabros Technology Columbia Funds Series Trust I Columbia Asset Allocation Fund 26613Q106 Dupont Fabros Technology Columbia Funds Series Trust I Columbia Asset Allocation Fund 80007P109 SandRidge Energy, Inc. Columbia Funds Series Trust I Columbia Asset Allocation Fund 292756202 EnergySolutions Inc Columbia Funds Series Trust I Columbia Asset Allocation Fund 913017BM0 United Technology Corp 5.375% 12/15/2017 Columbia Funds Series Trust I Columbia Asset Allocation Fund 20605P101 Concho Resources Inc. Columbia Funds Series Trust I Columbia Asset Allocation Fund 92826C839 Visa Inc. Columbia Funds Series Trust I Columbia Asset Allocation Fund 92826C839 Visa Inc. Columbia Funds Series Trust I Columbia Asset Allocation Fund 165167107 Chesapeake Energy Corporation Columbia Funds Series Trust I Columbia Common Stock Fund 92826C839 Visa Inc. Equity Columbia Funds Series Trust I Columbia Large Cap Growth Fund 92826C839 Visa Inc. Equity Columbia Funds Series Trust I Columbia Liberty Fund 571903AH6 Marriott International 5.625% 2/15/2013 Bond Columbia Funds Series Trust I Columbia Liberty Fund 913017BM0 United Technology Corp 5.375% 12/15/2017 Bond Columbia Funds Series Trust I Columbia Liberty Fund 92826C839 Visa Inc. Equity Columbia Funds Series Trust I Columbia Liberty Fund 92826C839 Visa Inc. Equity FACE VALUE BOND/ # OF SHARE AMOUNT NOTE/ BOND/ PURCHASE SHARES PRICE PAID BY TRUST EQUITY DATE SELLING BROKER PURCHASED /PAR FUND FYE - ----------------------------- ----------- ---------- -------------------- ---------- --------- ---------- ----- Columbia Funds Series Trust I Equity 10/3/2007 Deutsche Bank 685 50.0000 34,250 9/30 Columbia Funds Series Trust I Bond 10/16/2007 Citigroup 200,000 99.7230 199,446 9/30 Columbia Funds Series Trust I Equity 10/17/2007 Merrill Lynch 562 39.3800 22,131 9/30 Columbia Funds Series Trust I Equity 10/19/2007 KeyBanc 4 21.0000 84 9/30 Columbia Funds Series Trust I Equity 10/19/2007 UBS 515 21.0000 10,815 9/30 Columbia Funds Series Trust I Equity 11/5/2007 Lehman Brothers 471 26.0000 12,246 9/30 Columbia Funds Series Trust I Equity 11/15/2007 Credit Suisse 797 23.0000 18,331 9/30 Columbia Funds Series Trust I Bond 12/4/2007 Deutsche Bank 210,000 99.8070 209,595 9/30 Columbia Funds Series Trust I Equity 12/13/2007 J.P. Morgan 1,670 18.0500 30,144 9/30 Columbia Funds Series Trust I Equity 3/18/2008 JPMorgan 3,944 44.0000 173,536 9/30 Columbia Funds Series Trust I Equity 3/18/2008 JPMorgan 3,790 44.0000 166,760 9/30 Columbia Funds Series Trust I Equity 3/28/2008 Deutsche Bank 220 45.750 10,065 12/31 Columbia Funds Series Trust I Columbia Funds Series Trust I Equity 3/18/2008 JPMorgan 114,576 44.0000 5,041,344 9/30 Columbia Funds Series Trust I Equity 3/18/2008 JPMorgan 92,041 44.0000 4,049,804 9/30 Columbia Funds Series Trust I Bond 10/16/2007 Citigroup 400,000 99.7230 398,892 9/30 Columbia Funds Series Trust I Bond 12/4/2007 Deutsche Bank 400,000 99.8070 399,228 9/30 Columbia Funds Series Trust I Equity 3/18/2008 JPMorgan 7,683 44.0000 338,052 9/30 Columbia Funds Series Trust I Equity 3/18/2008 JPMorgan 7,376 44.0000 324,544 9/30
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