0000773757-12-000062.txt : 20120927 0000773757-12-000062.hdr.sgml : 20120927 20120926174332 ACCESSION NUMBER: 0000773757-12-000062 CONFORMED SUBMISSION TYPE: NSAR-BT PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20120731 FILED AS OF DATE: 20120927 DATE AS OF CHANGE: 20120926 EFFECTIVENESS DATE: 20120927 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: 121111640 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 0000773757 S000012071 Columbia Oregon Intermediate Municipal Bond Fund C000032858 Class A COEAX C000032859 Class B COEBX C000032860 Class C CORCX C000032862 Class Z CMBFX 0000773757 S000012081 Columbia Large Cap Growth Fund C000032910 Class A LEGAX C000032911 Class B LEGBX C000032912 Class C LEGCX C000032914 Class T GAEGX C000032915 Class Z GEGTX C000034322 Class E CLGEX C000034323 Class F CLGFX C000078989 Class Y CGFYX C000094687 Class I CLGIX C000094688 Class R CGWRX C000094689 Class R4 CLRUX C000094690 Class R5 CLWFX C000094691 Class W CLGWX NSAR-BT 1 answer.fil ANNUAL TRANSITION REPORT PAGE 1 000 B000000 07/31/2012 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 42 007 C010600 6 007 C020600 Columbia Tax-Exempt Fund 007 C030600 N 007 C013200 32 007 C023200 Columbia Oregon Intermediate Muni Bond Fund 007 C033200 N 007 C014400 44 007 C024400 Columbia Large Cap Growth Fund 007 C034400 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 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 PAGE 2 012 C03AA01 02266 012 C04AA01 8081 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 MINNEAPOLIS 013 B02AA01 MN 013 B03AA01 55402 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 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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004400 Y 040 000600 Y 040 003200 Y 040 004400 Y 041 000600 Y 041 003200 Y 041 004400 Y 042 A000600 0 042 B000600 0 042 C000600 100 042 D000600 0 042 E000600 0 042 F000600 0 042 G000600 0 042 H000600 0 042 A003200 0 042 B003200 0 042 C003200 100 042 D003200 0 042 E003200 0 042 F003200 0 042 G003200 0 042 H003200 0 042 A004400 0 042 B004400 0 042 C004400 100 042 D004400 0 042 E004400 0 042 F004400 0 042 G004400 0 042 H004400 0 043 000600 5604 043 003200 189 043 004400 3515 044 000600 0 044 003200 0 044 004400 0 045 000600 Y 045 003200 Y 045 004400 Y 046 000600 N 046 003200 N 046 004400 N PAGE 17 047 000600 Y 047 003200 Y 047 004400 Y 048 000600 0.000 048 A010600 1000000 048 A020600 0.410 048 B010600 1000000 048 B020600 0.385 048 C010600 1000000 048 C020600 0.360 048 D010600 3000000 048 D020600 0.335 048 E010600 3000000 048 E020600 0.310 048 F010600 1000000 048 F020600 0.300 048 G010600 5000000 048 G020600 0.290 048 H010600 9000000 048 H020600 0.280 048 I010600 26000000 048 I020600 0.260 048 J010600 0 048 J020600 0.000 048 K010600 50000000 048 K020600 0.250 048 003200 0.000 048 A013200 500000 048 A023200 0.400 048 B013200 500000 048 B023200 0.350 048 C013200 2000000 048 C023200 0.320 048 D013200 3000000 048 D023200 0.290 048 E013200 1500000 048 E023200 0.280 048 F013200 0 048 F023200 0.000 048 G013200 0 048 G023200 0.000 048 H013200 0 048 H023200 0.000 048 I013200 0 048 I023200 0.000 048 J013200 0 048 J023200 0.000 048 K013200 7500000 048 K023200 0.270 048 004400 0.000 048 A014400 500000 PAGE 18 048 A024400 0.710 048 B014400 500000 048 B024400 0.665 048 C014400 500000 048 C024400 0.620 048 D014400 1500000 048 D024400 0.570 048 E014400 3000000 048 E024400 0.560 048 F014400 0 048 F024400 0.000 048 G014400 0 048 G024400 0.000 048 H014400 0 048 H024400 0.000 048 I014400 0 048 I024400 0.000 048 J014400 0 048 J024400 0.000 048 K014400 6000000 048 K024400 0.540 049 000600 N 049 003200 N 049 004400 N 050 000600 N 050 003200 N 050 004400 N 051 000600 N 051 003200 N 051 004400 N 052 000600 N 052 003200 N 052 004400 N 053 A000600 Y 053 B000600 Y 053 C000600 N 053 A003200 Y 053 B003200 Y 053 C003200 N 053 A004400 N 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 Y 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N PAGE 19 054 L00AA00 Y 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 Y 055 A000600 N 055 B000600 N 055 A003200 N 055 B003200 N 055 A004400 N 055 B004400 N 056 000600 Y 056 003200 Y 056 004400 Y 057 000600 N 057 003200 N 057 004400 N 058 A000600 N 058 A003200 N 058 A004400 N 059 000600 Y 059 003200 Y 059 004400 Y 060 A000600 Y 060 B000600 Y 060 A003200 Y 060 B003200 Y 060 A004400 Y 060 B004400 Y 061 000600 2000 061 003200 2000 061 004400 2000 062 A000600 Y 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 1.4 062 F000600 0.0 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 0.0 062 K000600 0.0 062 L000600 0.0 062 M000600 0.0 062 N000600 0.0 062 O000600 95.8 062 P000600 0.0 062 Q000600 0.7 062 R000600 2.3 062 A003200 Y 062 B003200 0.0 PAGE 20 062 C003200 0.0 062 D003200 0.0 062 E003200 0.0 062 F003200 0.0 062 G003200 0.0 062 H003200 0.0 062 I003200 0.0 062 J003200 0.0 062 K003200 0.0 062 L003200 3.0 062 M003200 0.0 062 N003200 0.0 062 O003200 96.4 062 P003200 0.0 062 Q003200 0.0 062 R003200 0.0 062 A004400 N 062 B004400 0.0 062 C004400 0.0 062 D004400 0.0 062 E004400 0.0 062 F004400 0.0 062 G004400 0.0 062 H004400 0.0 062 I004400 0.0 062 J004400 0.0 062 K004400 0.0 062 L004400 0.0 062 M004400 0.0 062 N004400 0.0 062 O004400 0.0 062 P004400 0.0 062 Q004400 0.0 062 R004400 0.0 063 A000600 0 063 B000600 7.0 063 A003200 0 063 B003200 5.8 063 A004400 0 063 B004400 0.0 064 A000600 Y 064 B000600 Y 064 A003200 Y 064 B003200 N 065 000600 N 066 A000600 N 066 A003200 N 066 A004400 Y 066 B004400 N 066 C004400 Y 066 D004400 N PAGE 21 066 E004400 N 066 F004400 N 066 G004400 N 067 000600 N 067 003200 N 067 004400 N 068 A000600 N 068 B000600 N 068 A003200 N 068 B003200 N 068 A004400 N 068 B004400 N 069 000600 N 069 003200 N 069 004400 N 070 A010600 Y 070 A020600 N 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 N 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 N 070 I010600 Y 070 I020600 N 070 J010600 Y 070 J020600 Y 070 K010600 Y 070 K020600 Y 070 L010600 Y 070 L020600 N 070 M010600 Y 070 M020600 N 070 N010600 Y 070 N020600 N 070 O010600 Y 070 O020600 N 070 P010600 Y 070 P020600 N 070 Q010600 N 070 Q020600 N 070 R010600 Y 070 R020600 N PAGE 22 070 A013200 Y 070 A023200 N 070 B013200 N 070 B023200 N 070 C013200 Y 070 C023200 N 070 D013200 N 070 D023200 N 070 E013200 Y 070 E023200 N 070 F013200 Y 070 F023200 N 070 G013200 Y 070 G023200 N 070 H013200 Y 070 H023200 N 070 I013200 Y 070 I023200 N 070 J013200 Y 070 J023200 Y 070 K013200 Y 070 K023200 Y 070 L013200 Y 070 L023200 N 070 M013200 N 070 M023200 N 070 N013200 Y 070 N023200 N 070 O013200 Y 070 O023200 N 070 P013200 Y 070 P023200 N 070 Q013200 Y 070 Q023200 N 070 R013200 N 070 R023200 N 070 A014400 Y 070 A024400 Y 070 B014400 Y 070 B024400 N 070 C014400 Y 070 C024400 N 070 D014400 Y 070 D024400 N 070 E014400 Y 070 E024400 N 070 F014400 Y 070 F024400 N 070 G014400 Y 070 G024400 N 070 H014400 Y PAGE 23 070 H024400 N 070 I014400 Y 070 I024400 N 070 J014400 Y 070 J024400 Y 070 K014400 Y 070 K024400 Y 070 L014400 Y 070 L024400 Y 070 M014400 Y 070 M024400 N 070 N014400 Y 070 N024400 Y 070 O014400 Y 070 O024400 N 070 P014400 Y 070 P024400 N 070 Q014400 Y 070 Q024400 N 070 R014400 Y 070 R024400 N 071 A000600 213945 071 B000600 286706 071 C000600 4476205 071 D000600 5 071 A003200 74450 071 B003200 38908 071 C003200 449713 071 D003200 9 071 A004400 2014541 071 B004400 2497021 071 C004400 2503704 071 D004400 80 072 A000600 8 072 B000600 152893 072 C000600 15 072 D000600 0 072 E000600 0 072 F000600 11382 072 G000600 1800 072 H000600 0 072 I000600 3116 072 J000600 27 072 K000600 278 072 L000600 0 072 M000600 121 072 N000600 312 072 O000600 0 072 P000600 96 072 Q000600 0 072 R000600 69 PAGE 24 072 S000600 174 072 T000600 5604 072 U000600 0 072 V000600 0 072 W000600 77 072 X000600 23056 072 Y000600 37 072 Z000600 129889 072AA000600 0 072BB000600 5924 072CC010600 283887 072CC020600 0 072DD010600 103616 072DD020600 23892 072EE000600 0 072 A003200 11 072 B003200 15914 072 C003200 2 072 D003200 0 072 E003200 0 072 F003200 1716 072 G003200 290 072 H003200 0 072 I003200 391 072 J003200 4 072 K003200 48 072 L003200 0 072 M003200 24 072 N003200 60 072 O003200 0 072 P003200 0 072 Q003200 0 072 R003200 46 072 S003200 15 072 T003200 189 072 U003200 0 072 V003200 0 072 W003200 16 072 X003200 2799 072 Y003200 296 072 Z003200 13413 072AA003200 535 072BB003200 0 072CC013200 16598 072CC023200 0 072DD013200 761 072DD023200 12661 072EE003200 0 072 A004400 10 072 B004400 1258 072 C004400 25524 PAGE 25 072 D004400 0 072 E004400 0 072 F004400 13346 072 G004400 1129 072 H004400 0 072 I004400 3616 072 J004400 30 072 K004400 356 072 L004400 0 072 M004400 96 072 N004400 151 072 O004400 0 072 P004400 0 072 Q004400 0 072 R004400 44 072 S004400 83 072 T004400 3877 072 U004400 0 072 V004400 0 072 W004400 180 072 X004400 22908 072 Y004400 0 072 Z004400 3874 072AA004400 189991 072BB004400 0 072CC014400 344607 072CC024400 0 072DD014400 1497 072DD024400 3418 072EE004400 0 073 A010600 0.0000 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 073 A013200 0.0000 073 A023200 0.0000 073 B003200 0.0000 073 C003200 0.0000 073 A014400 0.0000 073 A024400 0.0000 073 B004400 0.0000 073 C004400 0.0000 074 A000600 0 074 B000600 0 074 C000600 63845 074 D000600 4567370 074 E000600 9650 074 F000600 0 074 G000600 0 074 H000600 0 074 I000600 99941 PAGE 26 074 J000600 2553 074 K000600 250 074 L000600 62194 074 M000600 39 074 N000600 4805842 074 O000600 30975 074 P000600 981 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 41968 074 S000600 0 074 T000600 4731918 074 U010600 269714 074 U020600 61872 074 V010600 0.00 074 V020600 0.00 074 W000600 0.0000 074 X000600 56319 074 Y000600 0 074 A003200 0 074 B003200 0 074 C003200 0 074 D003200 475533 074 E003200 0 074 F003200 0 074 G003200 0 074 H003200 0 074 I003200 14887 074 J003200 67 074 K003200 38 074 L003200 5616 074 M003200 4 074 N003200 496145 074 O003200 1245 074 P003200 101 074 Q003200 0 074 R013200 0 074 R023200 0 074 R033200 0 074 R043200 1662 074 S003200 0 074 T003200 493137 074 U013200 2431 074 U023200 35641 074 V013200 0.00 074 V023200 0.00 074 W003200 0.0000 074 X003200 2471 074 Y003200 0 PAGE 27 074 A004400 49 074 B004400 39260 074 C004400 0 074 D004400 33723 074 E004400 0 074 F004400 2424504 074 G004400 0 074 H004400 0 074 I004400 455515 074 J004400 16066 074 K004400 184 074 L004400 2129 074 M004400 65 074 N004400 2971495 074 O004400 4456 074 P004400 566 074 Q004400 0 074 R014400 0 074 R024400 0 074 R034400 0 074 R044400 452269 074 S004400 0 074 T004400 2514204 074 U014400 51305 074 U024400 46154 074 V014400 0.00 074 V024400 0.00 074 W004400 0.0000 074 X004400 150105 074 Y004400 0 075 A000600 0 075 B000600 4640934 075 A003200 0 075 B003200 467941 075 A004400 0 075 B004400 2554170 076 000600 0.00 076 003200 0.00 076 004400 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N PAGE 28 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 ICI Mutual Insurance Company 080 B00AA00 n/a 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 0 086 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: September 21, 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 ex9977b.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 the CMG Ultra Short Term Bond Fund, Columbia Large Cap Growth Fund, Columbia Oregon Intermediate Municipal Bond Fund, and Columbia Tax-Exempt Fund (each a series of Columbia Funds Series Trust I and hereafter referred to as the "Funds") as of and for the year ended July 31, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's 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 Fund's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund's 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 Fund's 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 Fund's 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 July 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 September 21, 2012 EX-99.77E LEGAL 3 ex9977e.txt EX-99.77E LEGAL EXHIBIT 77E Columbia Funds Series Trust I - Annual N-SAR report for the period ending 7/31/12 Columbia Large Cap Growth Fund Columbia Oregon Intermediate Municipal Bond Fund 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.