-----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, F3bjPt46P9FDTj/CqCVcVNQYaE9N1d5zNDhlhb7J6fA09fzf8MAJ1/+FMl728OiH jXqOb+TVPiNA8Mrs8Evukg== 0000773757-09-000012.txt : 20090127 0000773757-09-000012.hdr.sgml : 20090127 20090127103033 ACCESSION NUMBER: 0000773757-09-000012 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20081130 FILED AS OF DATE: 20090127 DATE AS OF CHANGE: 20090127 EFFECTIVENESS DATE: 20090127 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-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-04367 FILM NUMBER: 09546976 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 S000010620 Columbia Tax-Exempt Fund C000029373 Class A COLTX C000029374 Class B CTEBX C000029375 Class C COLCX C000029376 Class Z CTEZX NSAR-B 1 answer.fil PAGE 1 000 B000000 11/30/2008 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 C010600 6 007 C020600 COLUMBIA TAX-EXEMPT FUND 007 C030600 N 008 A00AA01 COLUMBIA MANAGEMENT ADVISORS, LLC 008 B00AA01 A 008 C00AA01 801-50372 008 D01AA01 BOSTON 008 D02AA01 MA 008 D03AA01 02110 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. 012 B00AA01 84-1329 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02266 012 C04AA01 8081 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 PAGE 2 014 A00AA01 BA SECURITES AUSTRALIA LIMITED 014 B00AA01 8-99999 014 A00AA02 BANC OF AMERICA INVESTMENT SERVICES, INC. 014 B00AA02 8-42263 014 A00AA03 BANC OF AMERICA SECURITIES - JAPAN, INC. 014 B00AA03 8-99999 014 A00AA04 BANC OF AMERICA SECURITIES (INDIA) 014 B00AA04 8-99999 014 A00AA05 BANC OF AMERICA SECURITIES ASIA LIMITED 014 B00AA05 8-99999 014 A00AA06 BANC OF AMERICA SECURITIES CANADA CO. 014 B00AA06 8-99999 014 A00AA07 BANC OF AMERICA SECURITIES LIMITED 014 B00AA07 8-99999 014 A00AA08 BANC OF AMERICA SECURITIES LLC 014 B00AA08 8-33805 014 A00AA09 BANC OF AMERICA SECURITIES, CASA DE BOLSA 014 B00AA09 8-99999 014 A00AA10 BANC OF AMERICA SPECIALIST, INC. 014 B00AA10 8-99999 014 A00AA11 BOSTON SECURITIES S.A. 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N 051 000600 N 052 000600 N 053 A000600 N 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 N 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 N 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 N 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 Y 055 A000600 N 055 B000600 N 056 000600 Y 057 000600 N 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 2500 062 A000600 Y 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 0.3 062 F000600 0.0 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 0.0 PAGE 16 062 K000600 0.0 062 L000600 0.6 062 M000600 0.0 062 N000600 0.0 062 O000600 96.7 062 P000600 0.0 062 Q000600 1.1 062 R000600 0.0 063 A000600 0 063 B000600 13.5 064 A000600 Y 064 B000600 Y 065 000600 N 066 A000600 N 067 000600 N 068 A000600 N 068 B000600 N 069 000600 N 070 A010600 Y 070 A020600 N 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 Y 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 N 070 I010600 Y 070 I020600 N 070 J010600 Y 070 J020600 N 070 K010600 Y 070 K020600 Y 070 L010600 Y 070 L020600 N 070 M010600 Y 070 M020600 N 070 N010600 Y 070 N020600 Y 070 O010600 Y 070 O020600 N 070 P010600 Y 070 P020600 N 070 Q010600 Y PAGE 17 070 Q020600 N 070 R010600 Y 070 R020600 N 071 A000600 312688 071 B000600 408917 071 C000600 2312100 071 D000600 14 072 A000600 12 072 B000600 128150 072 C000600 405 072 D000600 0 072 E000600 0 072 F000600 11552 072 G000600 0 072 H000600 0 072 I000600 1514 072 J000600 60 072 K000600 0 072 L000600 219 072 M000600 93 072 N000600 60 072 O000600 0 072 P000600 521 072 Q000600 209 072 R000600 69 072 S000600 158 072 T000600 3324 072 U000600 0 072 V000600 0 072 W000600 25 072 X000600 17804 072 Y000600 0 072 Z000600 110751 072AA000600 1672 072BB000600 0 072CC010600 0 072CC020600 289452 072DD010600 65689 072DD020600 44183 072EE000600 0 073 A010600 0.0000 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 074 A000600 3305 074 B000600 0 074 C000600 6900 074 D000600 2082837 074 E000600 22356 074 F000600 0 074 G000600 0 PAGE 18 074 H000600 0 074 I000600 13130 074 J000600 3181 074 K000600 188 074 L000600 35110 074 M000600 3 074 N000600 2167010 074 O000600 0 074 P000600 1613 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 11841 074 S000600 0 074 T000600 2153556 074 U010600 108498 074 U020600 71695 074 V010600 0.00 074 V020600 0.00 074 W000600 0.0000 074 X000600 24968 074 Y000600 0 075 A000600 0 075 B000600 2397515 076 000600 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 Y 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 ICI MUTUAL INSURANCE COMPANY 080 B00AA00 N/A 080 C00AA00 75000 081 A00AA00 Y 081 B00AA00 149 PAGE 19 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE PATRICE HURLEY TITLE VICE PRESIDENT EX-99 2 exh.txt 77B Report of Independent Registered Public Accounting Firm To the Trustees and Shareholders of Columbia Tax-Exempt Fund In planning and performing our audit of the financial statements of the Columbia Tax-Exempt Fund (a series of the Columbia Funds Series Trust I and hereafter referred to as the "Fund") as of and for the year ended November 30, 2008, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund's internal control over financial reporting. The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, which we consider to be material weaknesses as defined above as of November 30, 2008. This report is intended solely for the information and use of management and the Board of Trustees of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/PricewaterhouseCoopers LLP Boston, Massachusetts January 21, 2009 Item 77E Legal Proceedings: Columbia Atlantic Funds 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 United States 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. EX-99 3 table.txt
FACE VALUE BOND/ NOTE/ # OF SHARE AMOUNT ISSUER/SECURITY BOND/ PURCHASE SELLING SHARES PRICE/ PAID BY TRUST FUND NAME CUSIP DESCRIPTION EQUITY DATE BROKER** PURCHASED PAR FUND FYE Maryland Health & Higher Educational Columbia Funds Columbia Facilities Authority Series Trust I Tax-Exempt Fund 574217X26 5.25% 7/1/28 Bond 6/12/2008 JPMorgan 3,000,000 100.2320 3,006,960 11/30 TX Brazos River Columbia Funds Columbia Authority Goldman Series Trust I Tax-Exempt Fund 106213HH7 8.25% 10/1/30 Bond 6/13/2008 Sachs 5,250,000 100.0000 5,250,000 11/30 NY State Dorm Columbia Funds Columbia Authority NYU Morgan Series Trust I Tax-Exempt Fund 649903S28 5.0% 7/1/29 Bond 6/19/2008 Stanley 2,499,250 102.0410 2,550,260 11/30 NY State Dorm Columbia Funds Columbia Authority NYU Series Trust I Tax-Exempt Fund 649903S28 5.0% 7/1/29 Bond 6/19/2008 JPMorgan 769,000 102.0410 784,695 11/30 NY State Dorm Columbia Funds Columbia Authority NYU Merrill Series Trust I Tax-Exempt Fund 649903S28 5.0% 7/1/29 Bond 6/19/2008 Lynch 384,500 102.0410 392,348 11/30 NY State Dorm Columbia Funds Columbia Authority NYU Roosevelt Series Trust I Tax-Exempt Fund 649903S28 5.0% 7/1/29 Bond 6/19/2008 & Cross 192,250 102.0410 196,174 11/30 New York Long Island Columbia Funds Columbia Power Authority Series Trust I Tax-Exempt Fund 542690N40 6.00% 5/1/33 Bond 10/8/2008 JPMorgan 136,250 96.8790 131,998 11/30 Columbia Funds Columbia Series Trust I Tax-Exempt Fund 542690N40 New York Long Island Power Authority 6.00% 5/1/33 Bond 10/8/2008 Citigroup 1,090,000 96.8790 1,055,981 11/30 New York Long Island Columbia Funds Columbia Power Authority Goldman Series Trust I Tax-Exempt Fund 542690N40 6.00% 5/1/33 Bond 10/8/2008 Sachs 1,362,500 96.8790 1,319,976 11/30 New York Long Island Columbia Funds Columbia Power Authority Ramirez Series Trust I Tax-Exempt Fund 542690N40 6.00% 5/1/33 Bond 10/8/2008 & Co 136,250 96.8790 131,998 11/30 Dormitory Authority of the State of Siebert Columbia Funds Columbia New York Brandford Series Trust I Tax-Exempt Fund 649902SS3 5.25% 3/15/38 Bond 11/14/2008 Shank & Co 500,000 95.951 479,755 11/30 Dormitory Authority of the State of Columbia Funds Columbia New York Ramirez & Series Trust I Tax-Exempt Fund 649902SS3 5.25% 3/15/38 Bond 11/14/2008 Co 500,000 95.951 479,755 11/30 Dormitory Authority of the State of Columbia Funds Columbia New York Morgan Series Trust I Tax-Exempt Fund 649902SS3 5.25% 3/15/38 Bond 11/14/2008 Stanley 1,500,000 95.951 1,439,265 11/30 Dormitory Authority of the State of Columbia Funds Columbia New York Duncan- Series Trust I Tax-Exempt Fund 649902SS3 5.25% 3/15/38 Bond 11/14/2008 Williams 500,000 95.951 479,755 11/30 Dormitory Authority of the State of Columbia Funds Columbia New York Dain Series Trust I Tax-Exempt Fund 649902SS3 5.25% 3/15/38 Bond 11/14/2008 Rauscher 500,000 95.951 479,755 11/30 Dormitory Authority of the State of Columbia Funds Columbia New York Series Trust I Tax-Exempt Fund 649902SS3 5.25% 3/15/38 Bond 11/14/2008 Citigroup 1,000,000 95.951 959,510 11/30 Dormitory Authority of the State of Columbia Funds Columbia New York Series Trust I Tax-Exempt Fund 649902SS3 5.25% 3/15/38 Bond 11/14/2008 JPMorgan 500,000 95.951 479,755 11/30
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