0000773757-12-000040.txt : 20120725 0000773757-12-000040.hdr.sgml : 20120725 20120725144119 ACCESSION NUMBER: 0000773757-12-000040 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 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-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04367 FILM NUMBER: 12978716 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 S000010620 Columbia Tax-Exempt Fund C000029373 Class A COLTX C000029374 Class B CTEBX C000029375 Class C COLCX C000029376 Class Z CTEZX NSAR-A 1 answer.fil NSAR-A PAGE 1 000 A000000 05/31/2012 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 41 007 C010600 6 007 C020600 Columbia Tax-Exempt Fund 007 C030600 N 008 A000601 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 008 B000601 A 008 C000601 801-25943 008 D010601 BOSTON 008 D020601 MA 008 D030601 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. 012 B00AA01 84-05685 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 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC. 014 B00AA01 8-25845 014 A00AA02 AMERICAN ENTERPRISE INVESTMENT SERVICES INC. 014 B00AA02 8-42582 014 A00AA03 SECURITIES AMERICA, INC. 014 B00AA03 8-26602 014 A00AA04 AMERIPRISE FINANCIAL SERVICES, INC. 014 B00AA04 8-16791 014 A00AA05 RIVERSOURCE DISTRIBUTORS, INC. 014 B00AA05 8-67196 015 A00AA01 JPMORGAN CHASE BANK, N.A. 015 B00AA01 C 015 C01AA01 NEW YORK 015 C02AA01 NY 015 C03AA01 10004 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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LTD 015 B00AA89 S 015 C01AA89 KOWLOON 015 D01AA89 HONG KONG 015 E04AA89 X 015 A00AA90 THE HONGKONG AND SHANGHAI BANKING CORP. LTD 015 B00AA90 S 015 C01AA90 EBENE PAGE 11 015 D01AA90 MAURITIUS 015 E04AA90 X 015 A00AA91 THE HONGKONG AND SHANGHAI BANKING CORP. LTD 015 B00AA91 S 015 C01AA91 TAGUIG CITY 015 D01AA91 PHILIPPINES 015 E04AA91 X 015 A00AA92 THE HONGKONG AND SHANGHAI BANKING CORP. 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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-99.77E LEGAL 2 ex99.77e.txt EX-99.77E LEGAL EXHIBIT 77E Columbia Funds Series Trust I - Semi Annual N-SAR report for the period ending 5/31/12 Columbia Tax-Exempt 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.