0000773757-12-000008.txt : 20120326 0000773757-12-000008.hdr.sgml : 20120326 20120326170925 ACCESSION NUMBER: 0000773757-12-000008 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20120131 FILED AS OF DATE: 20120326 DATE AS OF CHANGE: 20120326 EFFECTIVENESS DATE: 20120326 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: 12715070 BUSINESS ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 8003382550 MAIL ADDRESS: STREET 1: 225 FRANKLIN STREET CITY: BOSTON STATE: MA ZIP: 02110 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 S000027194 CMG Ultra Short Term Bond Fund C000082083 CMG Ultra Short Term Bond Fund CMGUX NSAR-A 1 answer.fil NSAR-A PAGE 1 000 A000000 01/31/2012 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 6126715682 002 A000000 225 FRANKLIN STREET 002 B000000 BOSTON 002 C000000 MA 002 D010000 02110 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 37 007 C016300 63 007 C026300 CMG Ultra Short Term Bond Fund 007 C036300 N 008 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 008 B00AA01 A 008 C00AA01 801-25943 008 D01AA01 BOSTON 008 D02AA01 MA 008 D03AA01 02110 010 A006301 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 010 B006301 801-25943 010 C016301 BOSTON 010 C026301 MA 010 C036301 02110 011 A00AA01 COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS 011 B00AA01 8-25845 011 C01AA01 BOSTON 011 C02AA01 MA 011 C03AA01 02110 012 A00AA01 COLUMBIA MANAGEMENT INVESTMENT SERVICES CORP. 012 B00AA01 84-05685 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02110 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS PAGE 2 014 B00AA01 8-25845 014 A00AA02 AMERICAN ENTERPRISE INVESTMENT SERVICES, INC. 014 B00AA02 8-42582 014 A00AA03 AMERIPRISE FINANCIAL SERVICES, INC. 014 B00AA03 8-16791 014 A00AA04 RIVERSOURCE DISTRIBUTORS, INC. 014 B00AA04 8-67196 015 A00AA01 JPMORGAN CHASE BANK, N.A 015 B00AA01 C 015 C01AA01 NEW YORK 015 C02AA01 NY 015 C03AA01 10005 015 E01AA01 X 015 A00AA02 AB SEB BANKAS 015 B00AA02 S 015 C01AA02 VILNIUS 015 D01AA02 LITHUANIA 015 E04AA02 X 015 A00AA03 BANCO BCT, S.A. 015 B00AA03 S 015 C01AA03 SAN JOSE 015 D01AA03 COSTA RICA 015 E04AA03 X 015 A00AA04 BANCO ITAU URUGUAY S.A. 015 B00AA04 S 015 C01AA04 MONTEVIDEO 015 D01AA04 URUGUAY 015 E04AA04 X 015 A00AA05 BANCO NACIONAL DE MEXICO, S.A. 015 B00AA05 S 015 C01AA05 MEXICO CITY 015 D01AA05 MEXICO 015 E04AA05 X 015 A00AA06 BANCO SANTANDER CHILE 015 B00AA06 S 015 C01AA06 SANTIAGO 015 D01AA06 CHILE 015 E04AA06 X 015 A00AA07 BANK HANDLOWY W. 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O026300 N 070 P016300 Y 070 P026300 N 070 Q016300 Y 070 Q026300 N 070 R016300 Y 070 R026300 N 071 A006300 253745 071 B006300 267489 071 C006300 819766 071 D006300 31 072 A006300 6 072 B006300 5616 072 C006300 0 072 D006300 0 072 E006300 0 072 F006300 1215 072 G006300 0 072 H006300 0 072 I006300 0 072 J006300 0 072 K006300 0 072 L006300 0 072 M006300 20 072 N006300 0 072 O006300 0 072 P006300 0 072 Q006300 0 072 R006300 20 072 S006300 16 072 T006300 0 072 U006300 0 072 V006300 0 072 W006300 0 072 X006300 1271 PAGE 18 072 Y006300 58 072 Z006300 4403 072AA006300 0 072BB006300 555 072CC016300 0 072CC026300 1020 072DD016300 5478 072DD026300 0 072EE006300 0 073 A016300 0.0512 073 A026300 0.0000 073 B006300 0.0000 073 C006300 0.0000 074 A006300 1 074 B006300 8529 074 C006300 141423 074 D006300 786196 074 E006300 0 074 F006300 0 074 G006300 0 074 H006300 0 074 I006300 21 074 J006300 8116 074 K006300 27 074 L006300 6012 074 M006300 0 074 N006300 950325 074 O006300 2000 074 P006300 38 074 Q006300 0 074 R016300 0 074 R026300 0 074 R036300 0 074 R046300 9224 074 S006300 0 074 T006300 939063 074 U016300 104396 074 U026300 0 074 V016300 9.00 074 V026300 0.00 074 W006300 0.0000 074 X006300 16 074 Y006300 0 075 A006300 0 075 B006300 964369 076 006300 0.00 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 Y 077 E000000 Y PAGE 19 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 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 This report is signed on behalf of the registrant (or depositor or trustee). City of: Boston State of: Massachusetts Date: March 26, 2012 Name of Registrant, Depositor, or Trustee: Columbia Funds Series Trust I /s/ Michael G. Clarke ------------------------------------------------------------------------------- Michael G. Clarke Treasurer /s/ Wade M. Voigt ------------------------------------------------------------------------------- Wade M. Voigt Assistant Treasurer Witness Columbia Funds Series Trust I EX-99.77D POLICIES 2 EX-99.77D.txt EX-99.77D Columbia Funds Series Trust I - Semi-annual N-SAR report for the period ending 01/31/12 CMG Ultra Short Term Bond Fund (the "Fund") ---------------------------------------------------------------------------- EXHIBIT 77D Item 77D/77Q1(b) - Policies with Respect to Securities Investments: On November 23, 2011, a Form Type 485(B)POS, accession number 0001193125-11- 320811, an amendment to the registration statement of Columbia Funds Series Trust I, was filed with the SEC. This is hereby incorporated by reference as part of the response to Items 77D and 77Q1(b) of Form N-SAR. The amended registration statement disclosed, among other things, certain changes that were made to the principal investment strategies of the Fund. EX-99.77E LEGAL 3 EX-99.77E.txt EX-99.77E Columbia Funds Series Trust I - Semi-annual N-SAR report for the period ending 01/31/12 CMG Ultra Short Term Bond Fund (the "Fund") ---------------------------------------------------------------------------- EXHIBIT 77E Item 77E - Legal Proceedings: In June 2004, an action captioned John E. Gallus et al. v. American Express Financial Corp. and American Express Financial Advisors Inc. was filed in the United States District Court for the District of Arizona. The plaintiffs allege that they are investors in several American Express Company mutual funds (currently branded as Columbia) and they purport to bring the action derivatively on behalf of those funds under the Investment Company Act of 1940. The plaintiffs allege that fees allegedly paid to the defendants by the funds for investment advisory and administrative services are excessive. The plaintiffs seek remedies including restitution and rescission of investment advisory and distribution agreements. The plaintiffs voluntarily agreed to transfer this case to the United States District Court for the District of Minnesota (the District Court). In response to defendants' motion to dismiss the complaint, the District Court dismissed one of plaintiffs' four claims and granted plaintiffs limited discovery. Defendants moved for summary judgment in April 2007. Summary judgment was granted in the defendants' favor on July 9, 2007. The plaintiffs filed a notice of appeal with the Eighth Circuit Court of Appeals (the Eighth Circuit) on August 8, 2007. On April 8, 2009, the Eighth Circuit reversed summary judgment and remanded to the District Court for further proceedings. On August 6, 2009, defendants filed a writ of certiorari with the U.S. Supreme Court the Supreme Court), asking the Supreme Court to stay the District Court proceedings while the Supreme Court considers and rules in a case captioned Jones v. Harris Associates, which involves issues of law similar to those presented in the Gallus case. On March 30, 2010, the Supreme Court issued its ruling in Jones v. Harris Associates, and on April 5, 2010, the Supreme Court vacated the Eighth Circuit's decision in the Gallus case and remanded the case to the Eighth Circuit for further consideration in light of the Supreme Court's decision in Jones v. Harris Associates. On June 4, 2010, the Eighth Circuit remanded the Gallus case to the District Court for further consideration in light of the Supreme Court's decision in Jones v. Harris Associates. On December 9, 2010, the District Court reinstated its July 9, 2007 summary judgment order in favor of the defendants. On January 10, 2011, plaintiffs filed a notice of appeal with the Eighth Circuit. In response to the plaintiffs' opening appellate brief filed on March 18, 2011, the defendants filed a response brief on May 4, 2011 with the Eighth Circuit. The plaintiffs filed a reply brief on May 26, 2011, and oral arguments took place on November 17, 2011. In December 2005, without admitting or denying the allegations, American Express Financial Corporation (AEFC, which is now known as Ameriprise Financial, Inc. (Ameriprise Financial)) entered into settlement agreements with the Securities and Exchange Commission (SEC) and Minnesota Department of Commerce (MDOC) related to market timing activities. As a result, AEFC was censured and ordered to cease and desist from committing or causing any violations of certain provisions of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and various Minnesota laws. AEFC agreed to pay disgorgement of $10 million and civil money penalties of $7 million. AEFC also agreed to retain an independent distribution consultant to assist in developing a plan for distribution of all disgorgement and civil penalties ordered by the SEC in accordance with various undertakings detailed at www.sec.gov/litigation/admin/ia-2451.pdf. Ameriprise Financial and its affiliates have cooperated with the SEC and the MDOC in these legal proceedings, and have made regular reports to the funds' Boards of Trustees. Ameriprise Financial and certain of its affiliates have historically been involved in a number of legal, arbitration and regulatory proceedings, including routine litigation, class actions, and governmental actions, concerning matters arising in connection with the conduct of their business activities. Ameriprise Financial believes that the Funds are not currently the subject of, and that neither Ameriprise Financial nor any of its affiliates are the subject of, any pending legal, arbitration or regulatory proceedings that are likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds. Ameriprise Financial is required to make 10-Q, 10-K and, as necessary, 8-K filings with the Securities and Exchange Commission on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. There can be no assurance that these matters, or the adverse publicity associated with them, will not result in increased fund redemptions, reduced sale of fund shares or other adverse consequences to the Funds. Further, although we believe proceedings are not likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds, these proceedings are subject to uncertainties and, as such, we are unable to estimate the possible loss or range of loss that may result. An adverse outcome in one or more of these proceedings could result in adverse judgments, settlements, fines, penalties or other relief that could have a material adverse effect on the consolidated financial condition or results of operations of Ameriprise Financial.