0000773757-12-000037.txt : 20120725
0000773757-12-000037.hdr.sgml : 20120725
20120725141819
ACCESSION NUMBER: 0000773757-12-000037
CONFORMED SUBMISSION TYPE: NSAR-BT
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20120531
FILED AS OF DATE: 20120725
DATE AS OF CHANGE: 20120725
EFFECTIVENESS DATE: 20120725
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-BT
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04367
FILM NUMBER: 12978658
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
S000010615
Columbia High Yield Municipal Fund
C000029350
Class A
LHIAX
C000029351
Class B
CHMBX
C000029352
Class C
CHMCX
C000029353
Class Z
SRHMX
0000773757
S000012079
Columbia Dividend Income Fund
C000032900
Class A
LBSAX
C000032901
Class B
LBSBX
C000032902
Class C
LBSCX
C000032904
Class T
GEQAX
C000032905
Class Z
GSFTX
C000061836
Class R
CDIRX
C000094685
Class I
CDVIX
C000094686
Class W
CDVWX
NSAR-BT
1
answer.fil
ANNUAL TRANSITION REPORT
PAGE 1
000 B000000 05/31/2012
000 C000000 0000773757
000 D000000 Y
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 41
007 C010200 2
007 C020200 Columbia High Yield Municipal Fund
007 C030200 N
007 C014200 42
007 C024200 Columbia Dividend Income Fund
007 C034200 N
008 A000201 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
008 B000201 A
008 C000201 801-25943
008 D010201 BOSTON
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008 A004201 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
008 B004201 A
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008 D014201 BOSTON
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008 D034201 02110
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010 B00AA01 801-25943
010 C01AA01 BOSTON
010 C02AA01 MA
010 C03AA01 02110
011 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC.
011 B00AA01 8-25845
011 C01AA01 BOSTON
011 C02AA01 MA
011 C03AA01 02110
012 A00AA01 COLUMBIA MANAGEMENT INVESTMENT SERVICES CORP.
PAGE 2
012 B00AA01 84-05685
012 C01AA01 BOSTON
012 C02AA01 MA
012 C03AA01 02266
012 C04AA01 8081
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013 B01AA01 BOSTON
013 B02AA01 MA
013 B03AA01 02110
014 A00AA01 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC.
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
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015 A00AA02 AB SEB BANKAS
015 B00AA02 S
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015 B00AA03 S
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015 D01AA03 COSTA RICA
015 E04AA03 X
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015 B00AA04 S
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015 D01AA04 URUGUAY
015 E04AA04 X
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015 B00AA05 S
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PAGE 3
015 D01AA07 POLAND
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015 C01AA09 TUNIS CEDEX
015 D01AA09 TUNISIA
015 E04AA09 X
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015 B00AA10 S
015 C01AA10 HARARE
015 D01AA10 ZIMBABWE
015 E04AA10 X
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015 B00AA11 S
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015 D01AA11 BELGIUM
015 E04AA11 X
015 A00AA12 BNP PARIBAS SECURITIES SERVICES S.C.A.
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015 D01AA12 FRANCE
015 E04AA12 X
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PAGE 4
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015 E04AA27 X
PAGE 5
015 A00AA28 HSBC BANK (CHINA) COMPANY LIMITED
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015 C01AA28 SHANGHAI
015 D01AA28 CHINA
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015 A00AA29 HSBC BANK (VIETNAM) LTD.
015 B00AA29 S
015 C01AA29 HO CHI MINH CITY
015 D01AA29 VIETNAM
015 E04AA29 X
015 A00AA30 HSBC BANK ARGENTINA S.A.
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015 C01AA30 BUENOS AIRES
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015 E04AA30 X
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015 C01AA31 HAMILTON
015 D01AA31 BERMUDA
015 E04AA31 X
015 A00AA32 HSBC BANK MALAYSIA BERHAD
015 B00AA32 S
015 C01AA32 KUALA LUMPUR
015 D01AA32 MALAYSIA
015 E04AA32 X
015 A00AA33 HSBC BANK MALTA P.L.C.
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015 C01AA33 QORMI
015 D01AA33 MALTA
015 E04AA33 X
015 A00AA34 HSBC BANK MIDDLE EAST LIMITED
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015 C01AA34 AL SEEF
015 D01AA34 BAHRAIN
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015 A00AA35 HSBC BANK MIDDLE EAST LIMITED
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PAGE 6
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015 D01AA38 OMAN
015 E04AA38 X
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015 A00AA41 HSBC BANK MIDDLE EAST LIMITED
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015 D01AA41 UAE-ADX
015 E04AA41 X
015 A00AA42 HSBC BANK MIDDLE EAST LIMITED
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015 C01AA42 DUBAI
015 D01AA42 UAE-DFM
015 E04AA42 X
015 A00AA43 HSBC BANK MIDDLE EAST LIMITED
015 B00AA43 S
015 C01AA43 DUBAI
015 D01AA43 UAE-NASDAQ DUBAI
015 E04AA43 X
015 A00AA44 HSBC BANK PLC
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015 C01AA44 ATHENS
015 D01AA44 GREECE
015 E04AA44 X
015 A00AA45 HSBC SAUDI ARABIA LIMITED
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015 C01AA45 RIYADH
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PAGE 7
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015 D01AA48 ROMANIA
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015 A00AA49 ING BANK UKRAINE
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PAGE 8
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PAGE 9
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PAGE 10
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PAGE 11
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PAGE 12
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PAGE 13
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PAGE 14
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PAGE 15
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PAGE 16
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PAGE 17
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054 K00AA00 Y
054 L00AA00 Y
054 M00AA00 Y
054 N00AA00 Y
054 O00AA00 Y
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056 000200 Y
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057 000200 N
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058 A004200 N
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060 A000200 Y
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PAGE 18
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068 B004200 N
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PAGE 19
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PAGE 20
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PAGE 21
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PAGE 22
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PAGE 23
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PAGE 24
086 B010000 0
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This report is signed on behalf of the registrant (or depositor or trustee).
City of: Boston State of: Massachusetts Date: July 20, 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-99.77B ACCT LTTR
2
ex99.77b.txt
EX-99.77B ACCT LTTR
EXHIBIT 77B
Report of Independent Registered Public Accounting Firm
To the Trustees and Shareholders of Columbia Funds Series Trust I
In planning and performing our audit of the financial statements of Dividend
Income Fund, High Yield Municipal Fund, High Yield Opportunity Fund,
International Bond Fund, and Strategic Income Fund (each a series of Columbia
Funds Series Trust I and hereafter referred to as the "Funds") as of and for
the period ended May 31, 2012, in accordance with the standards of the Public
Company Accounting Oversight Board (United States), we considered the Funds'
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 Funds' internal control over
financial reporting. Accordingly, we do not express an opinion on the
effectiveness of the Funds' internal control over financial reporting.
The management of the Funds 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 Funds' 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 Funds' internal control over financial reporting and
its operation, including controls over safeguarding securities that we
consider to be material weaknesses as defined above as of May 31, 2012.
This report is intended solely for the information and use of management and
the Board of Trustees of the Funds 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
Minneapolis, Minnesota
July 20, 2012
EX-99.77E LEGAL
3
ex99.77e.txt
EX-99.77E LEGAL
EXHIBIT 77E
Columbia Funds Series Trust I (the "Trust") - Annual N-SAR report for the
period ending 5/31/12
Columbia Dividend Income Fund
Columbia High Yield Municipal Fund
-------------------------------------------------------------------------------
Item 77E - Legal Proceedings:
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.