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 008 D020201 MA 008 D030201 02110 008 A004201 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 008 B004201 A 008 C004201 801-25943 008 D014201 BOSTON 008 D024201 MA 008 D034201 02110 010 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 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. 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Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 ICI Mutual Insurance Company 080 C00AA00 10000 081 A00AA00 Y 081 B00AA00 49 082 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 PAGE 24 086 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: 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.