-----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, Qp6ICzx+SfG4D6sm49jluAZWyShk4Vzb/ieKg92CcOJc75Oe0giA/xAgAoekEqhE hKkB4z4W6JRJnXUpVzL4Yg== 0000773757-09-000013.txt : 20090127 0000773757-09-000013.hdr.sgml : 20090127 20090127103053 ACCESSION NUMBER: 0000773757-09-000013 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 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-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04367 FILM NUMBER: 09546978 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 S000010617 Columbia Strategic Income Fund C000029358 Class A COSIX C000029359 Class B CLSBX C000029360 Class C CLSCX C000029361 Class J CLSJX C000029362 Class Z LSIZX 0000773757 S000012101 Columbia High Yield Opportunity Fund C000033001 Class A COLHX C000033002 Class B COHBX C000033003 Class C CHYCX C000033004 Class Z LHYZX NSAR-A 1 answer.fil PAGE 1 000 A000000 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 C010500 5 007 C020500 COLUMBIA STRATEGIC INCOME FUND 007 C030500 N 007 C010800 8 007 C020800 COLUMBIA HIGH YIELD OPPORTUNITY FUND 007 C030800 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 PAGE 2 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 BA SECURITES AUSTRALIA LIMITED 014 B00AA01 8-99999 014 A00AA02 BANC OF AMERICA 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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H000500 0 042 A000800 0 042 B000800 0 042 C000800 100 042 D000800 0 042 E000800 0 PAGE 16 042 F000800 0 042 G000800 0 042 H000800 0 043 000500 2566 043 000800 463 044 000500 0 044 000800 0 045 000500 Y 045 000800 Y 046 000500 N 046 000800 N 047 000500 Y 047 000800 Y 048 000500 0.000 048 A010500 500000 048 A020500 0.600 048 B010500 500000 048 B020500 0.550 048 C010500 500000 048 C020500 0.520 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 1500000 048 K020500 0.490 048 000800 0.000 048 A010800 500000 048 A020800 0.600 048 B010800 500000 048 B020800 0.550 048 C010800 500000 048 C020800 0.520 048 D010800 0 048 D020800 0.000 048 E010800 0 048 E020800 0.000 048 F010800 0 048 F020800 0.000 048 G010800 0 048 G020800 0.000 PAGE 17 048 H010800 0 048 H020800 0.000 048 I010800 0 048 I020800 0.000 048 J010800 0 048 J020800 0.000 048 K010800 1500000 048 K020800 0.490 049 000500 N 049 000800 N 050 000500 N 050 000800 N 051 000500 N 051 000800 N 052 000500 N 052 000800 N 053 A000500 N 053 A000800 Y 053 B000800 Y 053 C000800 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 A000500 N 055 B000500 N 055 A000800 Y 055 B000800 N 056 000500 Y 056 000800 Y 057 000500 N 057 000800 N 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 2500 062 A000500 Y 062 B000500 0.0 062 C000500 0.0 PAGE 18 062 D000500 6.8 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 22.5 062 N000500 0.3 062 O000500 0.3 062 P000500 28.3 062 Q000500 40.0 062 R000500 20.9 062 A000800 Y 062 B000800 0.0 062 C000800 0.0 062 D000800 4.2 062 E000800 0.0 062 F000800 0.0 062 G000800 0.0 062 H000800 0.0 062 I000800 0.0 062 J000800 0.0 062 K000800 0.0 062 L000800 0.0 062 M000800 0.0 062 N000800 0.0 062 O000800 1.6 062 P000800 90.1 062 Q000800 0.1 062 R000800 0.2 063 A000500 0 063 B000500 9.3 063 A000800 0 063 B000800 7.2 064 A000500 N 064 B000500 Y 064 A000800 N 064 B000800 Y 065 000800 N 066 A000500 N 066 A000800 N 067 000500 N 067 000800 N 068 A000500 N 068 B000500 N 068 A000800 N 068 B000800 N 069 000500 N PAGE 19 069 000800 N 070 A010500 Y 070 A020500 Y 070 B010500 N 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 N 070 D020500 N 070 E010500 Y 070 E020500 Y 070 F010500 N 070 F020500 N 070 G010500 Y 070 G020500 N 070 H010500 N 070 H020500 N 070 I010500 Y 070 I020500 N 070 J010500 Y 070 J020500 Y 070 K010500 Y 070 K020500 Y 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 Y 070 N010500 Y 070 N020500 Y 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 Y 070 Q010500 Y 070 Q020500 N 070 R010500 Y 070 R020500 N 070 A010800 Y 070 A020800 Y 070 B010800 Y 070 B020800 N 070 C010800 Y 070 C020800 N 070 D010800 Y 070 D020800 N 070 E010800 Y 070 E020800 N 070 F010800 Y 070 F020800 N 070 G010800 Y 070 G020800 N PAGE 20 070 H010800 Y 070 H020800 N 070 I010800 Y 070 I020800 N 070 J010800 Y 070 J020800 Y 070 K010800 Y 070 K020800 N 070 L010800 Y 070 L020800 Y 070 M010800 Y 070 M020800 Y 070 N010800 Y 070 N020800 N 070 O010800 Y 070 O020800 N 070 P010800 Y 070 P020800 Y 070 Q010800 Y 070 Q020800 N 070 R010800 Y 070 R020800 N 071 A000500 332743 071 B000500 409670 071 C000500 1739129 071 D000500 19 071 A000800 64868 071 B000800 63418 071 C000800 311159 071 D000800 20 072 A000500 6 072 B000500 58291 072 C000500 0 072 D000500 0 072 E000500 1795 072 F000500 5112 072 G000500 0 072 H000500 0 072 I000500 1039 072 J000500 118 072 K000500 0 072 L000500 101 072 M000500 30 072 N000500 49 072 O000500 0 072 P000500 0 072 Q000500 97 072 R000500 33 072 S000500 95 072 T000500 2566 072 U000500 0 PAGE 21 072 V000500 0 072 W000500 33 072 X000500 9273 072 Y000500 0 072 Z000500 50813 072AA000500 6070 072BB000500 0 072CC010500 0 072CC020500 289850 072DD010500 26345 072DD020500 34061 072EE000500 0 072 A000800 6 072 B000800 16855 072 C000800 0 072 D000800 0 072 E000800 0 072 F000800 1022 072 G000800 0 072 H000800 0 072 I000800 234 072 J000800 6 072 K000800 0 072 L000800 53 072 M000800 13 072 N000800 34 072 O000800 0 072 P000800 0 072 Q000800 61 072 R000800 31 072 S000800 16 072 T000800 463 072 U000800 0 072 V000800 0 072 W000800 12 072 X000800 1945 072 Y000800 0 072 Z000800 14910 072AA000800 0 072BB000800 9007 072CC010800 0 072CC020800 119002 072DD010800 8381 072DD020800 7729 072EE000800 0 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 073 A010800 0.0000 073 A020800 0.0000 PAGE 22 073 B000800 0.0000 073 C000800 0.0000 074 A000500 0 074 B000500 111101 074 C000500 0 074 D000500 1499747 074 E000500 0 074 F000500 0 074 G000500 0 074 H000500 0 074 I000500 343230 074 J000500 0 074 K000500 110 074 L000500 35018 074 M000500 1278 074 N000500 1990484 074 O000500 794 074 P000500 1511 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 347925 074 S000500 0 074 T000500 1640254 074 U010500 144110 074 U020500 182720 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 40118 074 Y000500 343230 074 A000800 500 074 B000800 10714 074 C000800 0 074 D000800 235078 074 E000800 189 074 F000800 403 074 G000800 0 074 H000800 0 074 I000800 1 074 J000800 1783 074 K000800 58 074 L000800 12452 074 M000800 1244 074 N000800 262422 074 O000800 2453 074 P000800 361 074 Q000800 0 074 R010800 0 074 R020800 0 PAGE 23 074 R030800 0 074 R040800 3433 074 S000800 0 074 T000800 256175 074 U010800 46412 074 U020800 46037 074 V010800 0.00 074 V020800 0.00 074 W000800 0.0000 074 X000800 13812 074 Y000800 6730 075 A000500 0 075 B000500 1876386 075 A000800 0 075 B000800 339592 076 000500 0.00 076 000800 0.00 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 Y 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 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 PAGE 24 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE PATRICE HURLEY TITLE VICE PRESIDENT EX-99 2 exh.txt Columbia Funds Series Trust I 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. N-SAR Item 77H: Changes in Control of Registrant Below are persons presumed to control Registrant's series because such person owns more than 25% of a series based on the records of the series. Columbia High Yield Opportunity Fund As of November 30th 2008 Name of Person Ownership % of Series PACE 31.10% As of June 1st 2008 Name of Person Ownership % of Series Changes in Control Persons Date/Description of Transaction(s) Became a, or Ceased to be, Name of Person Ownership % of Series Control Person -----END PRIVACY-ENHANCED MESSAGE-----