As filed with the Securities and Exchange Commission on December 21, 2015.
Registration Nos. 333-131683
811-21852
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
Form N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
x | |||||
Pre-Effective Amendment No. | ¨ | |||||
Post-Effective Amendment No. 139 | x |
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
x | |||||
Amendment No. 149 | x |
(Check Appropriate Box or Boxes)
COLUMBIA FUNDS SERIES TRUST II
(Exact Name of Registrant as Specified in Charter)
225 Franklin Street, Boston, Massachusetts 02110
(Address of Principal Executive Officers) (Zip Code)
Registrants Telephone Number, Including Area Code: (800) 345-6611
Christopher O. Petersen, Esq.
c/o Columbia Management Investment Advisers, LLC
225 Franklin Street
Boston, Massachusetts 02110
(Name and Address of Agent for Service)
Approximate Date of Proposed Public Offering:
It is proposed that this filing will become effective (check appropriate box)
¨ | Immediately upon filing pursuant to paragraph (b) |
¨ | On (date) pursuant to paragraph (b) |
x | 60 days after filing pursuant to paragraph (a)(1)* |
¨ | On (date) pursuant to paragraph (a)(1) |
¨ | 75 days after filing pursuant to paragraph (a)(2) |
¨ | On (date) pursuant to paragraph (a)(2) of rule 485. |
If appropriate, check the following box:
x | This post-effective amendment designates a new effective date for a previously filed post-effective amendment. |
* | with request for acceleration on or before December 31, 2015 |
This Post-Effective Amendment relates solely to the Registrants Columbia Large Cap Growth Fund IV series. Information contained in the Registrants Registration Statement relating to any other series of the Registrant is neither amended nor superseded hereby.
Class | Ticker Symbol | |
Class A Shares | CCMAX | |
Class C Shares | CCFCX | |
Class I Shares | CFCIX | |
Class R Shares | CCFRX | |
Class R4 Shares | CMECX | |
Class R5 Shares | CTXRX | |
Class Z Shares | CCMZX |
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2 | Prospectus 2016 |
Shareholder Fees (fees paid directly from your investment) | |||
Class A | Class C |
Classes
I,
R, R4, R5 and Z |
|
Maximum sales charge (load) imposed on purchases (as a % of offering price) | 5.75% | None | None |
Maximum deferred sales charge (load) imposed on redemptions (as a % of the lower of the original purchase price or current net asset value) | 1.00% (a) | 1.00% (b) | None |
(a) | This charge is imposed on certain investments of between $1 million and $50 million redeemed within 18 months after purchase, as follows: 1.00% if redeemed within 12 months after purchase, and 0.50% if redeemed more than 12, but less than 18, months after purchase, with certain limited exceptions. |
(b) | This charge applies to redemptions within 12 months after purchase, with certain limited exceptions. |
(c) | Management fees reflect the combination of advisory and administrative services fees under one agreement providing for a single management fee. As a result, other expenses do not include administrative services fees. Advisory fees and administrative services fees paid pursuant to separate prior agreements amounted to 0.71% and 0.06% of average daily net assets of the Fund, respectively. |
(d) | Other expenses for Class A, Class C, Class R, Class R4, Class R5 and Class Z shares have been restated to reflect current transfer agency fees paid by the Fund. |
■ | you invest $10,000 in the applicable class of Fund shares for the periods indicated, |
■ | your investment has a 5% return each year, and |
■ | the Fund’s total annual operating expenses remain the same as shown in the Annual Fund Operating Expenses table above. |
1 year | 3 years | 5 years | 10 years | |
Class A (whether or not shares are redeemed) | $698 | $958 | $1,237 | $2,031 |
Class C (assuming redemption of all shares at the end of the period) | $306 | $637 | $1,093 | $2,358 |
Prospectus 2016 | 3 |
1 year | 3 years | 5 years | 10 years | |
Class C (assuming no redemption of shares) | $206 | $637 | $1,093 | $2,358 |
Class I (whether or not shares are redeemed) | $ 89 | $278 | $ 482 | $1,073 |
Class R (whether or not shares are redeemed) | $156 | $483 | $ 834 | $1,824 |
Class R4 (whether or not shares are redeemed) | $105 | $328 | $ 569 | $1,259 |
Class R5 (whether or not shares are redeemed) | $ 94 | $293 | $ 509 | $1,131 |
Class Z (whether or not shares are redeemed) | $105 | $328 | $ 569 | $1,259 |
4 | Prospectus 2016 |
Prospectus 2016 | 5 |
6 | Prospectus 2016 |
Year
by Year Total Return (%)
as of December 31 Each Year* |
Best
and Worst Quarterly Returns
During the Period Shown in the Bar Chart |
||
|
Best | 1st Quarter 2012 | 16.39% |
Worst
|
3rd Quarter 2011 | -14.03% |
* | Year to Date return as of September 30, 2015: -4.66% |
Share
Class
Inception Date |
1 Year | Life of Fund | |
Class A | 09/28/2010 | ||
returns before taxes | -0.04% | 14.98% | |
returns after taxes on distributions | -2.58% | 12.88% | |
returns after taxes on distributions and sale of Fund shares | 1.79% | 11.41% | |
Class C returns before taxes | 09/28/2010 | 4.33% | 15.70% |
Class I returns before taxes | 09/28/2010 | 6.37% | 16.92% |
Class R returns before taxes | 09/28/2010 | 5.80% | 16.25% |
Class R4 returns before taxes | 06/25/2014 | 6.22% | 16.63% |
Class R5 returns before taxes | 11/08/2012 | 6.45% | 16.81% |
Class Z returns before taxes | 09/28/2010 | 6.32% | 16.89% |
Russell 1000 Growth Index (reflects no deductions for fees, expenses or taxes) | 13.05% | 17.51% | |
S&P 500 Index (reflects no deductions for fees, expenses or taxes) | 13.69% | 17.18% |
Portfolio Manager | Title | Role with Fund | Managed Fund Since | |||
John Wilson, CFA | Senior Portfolio Manager | Lead manager | November 2015 | |||
Peter Deininger, CFA, CAIA | Senior Portfolio Manager | Co-manager | November 2015 | |||
Tchintcia Barros, CFA | Portfolio Manager | Co-manager | November 2015 |
Prospectus 2016 | 7 |
Online | Regular Mail | Express Mail | By Telephone | |||
columbiathreadneedle.com/us |
Columbia
Funds,
c/o Columbia Management Investment Services Corp. P.O. Box 8081 Boston, MA 02266-8081 |
Columbia
Funds,
c/o Columbia Management Investment Services Corp. 30 Dan Road, Suite 8081 Canton, MA 02021-2809 |
800.422.3737 |
Class | Category of eligible account |
For
accounts other than
systematic investment plan accounts |
For
systematic investment
plan accounts |
Classes A & C | All accounts other than IRAs | $2,000 | $100 |
IRAs | $1,000 | $100 | |
Classes I, R & R4 | All eligible accounts | None | N/A |
Class R5 | Combined underlying accounts of eligible registered investment advisers | $100,000 | N/A |
Omnibus retirement plans | None | N/A | |
Class Z | All eligible accounts |
$0,
$1,000 or $2,000
depending upon the category of eligible investor |
$100 |
8 | Prospectus 2016 |
■ | overall economic and market conditions; and |
■ | the financial condition and management of a company, including its competitive position, the quality of its balance sheet and earnings, its future prospects, and the potential for growth and stock price appreciation. |
Prospectus 2016 | 9 |
10 | Prospectus 2016 |
Prospectus 2016 | 11 |
12 | Prospectus 2016 |
Prospectus 2016 | 13 |
14 | Prospectus 2016 |
Columbia Large Cap Growth Fund IV | |
Class A | 1.30% |
Class C | 2.05% |
Class I | 0.92% |
Class R | 1.55% |
Class R4 | 1.05% |
Class R5 | 0.97% |
Class Z | 1.05% |
Prospectus 2016 | 15 |
16 | Prospectus 2016 |
Portfolio Manager | Title | Role with Fund | Managed Fund Since | |||
John Wilson, CFA | Senior Portfolio Manager | Lead manager | November 2015 | |||
Peter Deininger, CFA, CAIA | Senior Portfolio Manager | Co-manager | November 2015 | |||
Tchintcia Barros, CFA | Portfolio Manager | Co-manager | November 2015 |
Prospectus 2016 | 17 |
■ | compensation and other benefits received by the Investment Manager and other Ameriprise Financial affiliates related to the management/administration of a Columbia Fund and the sale of its shares; |
■ | the allocation of, and competition for, investment opportunities among the Fund, other funds and accounts advised/managed by the Investment Manager and other Ameriprise Financial affiliates, or Ameriprise Financial itself and its affiliates; |
■ | separate and potentially divergent management of a Columbia Fund and other funds and accounts advised/managed by the Investment Manager and other Ameriprise Financial affiliates; |
■ | regulatory and other investment restrictions on investment activities of the Investment Manager and other Ameriprise Financial affiliates and accounts advised/managed by them; |
■ | insurance and other relationships of Ameriprise Financial affiliates with companies and other entities in which a Columbia Fund invests; and |
■ | regulatory and other restrictions relating to the sharing of information between Ameriprise Financial and its affiliates, including the Investment Manager, and a Columbia Fund. |
18 | Prospectus 2016 |
* | The website references in this prospectus are inactive links and information contained in or otherwise accessible through the referenced websites does not form a part of this prospectus. |
■ | The amount you plan to invest. |
■ | How long you intend to remain invested in the Fund. |
■ | The expenses for each share class. |
■ | Whether you may be eligible for a reduction or waiver of sales charges when you buy or sell shares. |
Prospectus 2016 | 19 |
Share Class |
Eligible
Investors
(a)
;
Minimum Initial Investments (b) |
Front-End
Sales Charges (c) |
Contingent
Deferred
Sales Charges (CDSCs) (c) |
Maximum
Distribution
and/or Service Fees (d) |
Class A |
Eligibility:
Available to the general public for investment
|
Taxable
Funds:
5.75% maximum, declining to 0.00% on investments of $1 million or more
|
Taxable
Funds:
CDSC on certain investments of between $1 million and $50 million redeemed within 18 months after purchase charged as follows:
|
Distribution
and Service
Fees: up to 0.25% |
Class B |
Eligibility:
Closed to new investors
(f)
|
None | 5.00% maximum, gradually declining to 0.00% after six years (g) |
Distribution
Fee:
0.75%
|
Class C |
Eligibility:
Available to the general public for investment
|
None | 1.00% on certain investments redeemed within one year of purchase |
Distribution
Fee:
0.75%
|
20 | Prospectus 2016 |
Share Class |
Eligible
Investors
(a)
;
Minimum Initial Investments (b) |
Front-End
Sales Charges (c) |
Contingent
Deferred
Sales Charges (CDSCs) (c) |
Maximum
Distribution
and/or Service Fees (d) |
Class I |
Eligibility:
Available only to other Columbia Funds (i.e., fund-of-fund investments)
|
None | None | None |
Class K |
Eligibility:
Closed to new investors; available only to qualified employee benefit plans, trust companies or similar institutions, 501(c)(3) charitable organizations, non-qualified deferred compensation plans whose participants
are included in a qualified employee benefit plan described above, 529 plans, and health savings accounts
(f)
|
None | None | Plan Administration Services Fee: 0.25% |
Class R |
Eligibility:
Available only to eligible retirement plans, health savings accounts and, in the sole discretion of the Distributor, other types of retirement accounts held through platforms maintained by selling agents approved by
the Distributor
|
None | None |
Series
of CFST & CFST I:
distribution fee of 0.50%
|
Class R4 |
Eligibility:
Available only to (i) omnibus retirement plans, (ii) trust companies or similar institutions, (iii) broker-dealers, banks, trust companies and similar institutions that clear Fund share transactions for their client
or customer investment advisory or similar accounts through designated selling agents and their mutual fund trading platforms that have been granted specific written authorization from the Transfer Agent with respect to Class R4 eligibility apart
from selling, servicing or similar agreements, (iv) 501(c)(3) charitable organizations, (v) 529 plans and (vi) health savings accounts
|
None | None | None |
Prospectus 2016 | 21 |
Share Class |
Eligible
Investors
(a)
;
Minimum Initial Investments (b) |
Front-End
Sales Charges (c) |
Contingent
Deferred
Sales Charges (CDSCs) (c) |
Maximum
Distribution
and/or Service Fees (d) |
Class R5 |
Eligibility:
Available only to (i) certain registered investment advisers that clear Fund share transactions for their client or customer accounts through designated selling agents and their mutual fund trading platforms that
have been granted specific written authorization from the Transfer Agent with respect to Class R5 eligibility apart from selling, servicing or similar agreements and (ii) omnibus retirement plans
(f)
|
None | None | None |
Class T |
Eligibility:
Generally closed to new investors
(f)
|
5.75% maximum, declining to 0.00% on investments of $1 million or more |
CDSC
on certain investments of between $1 million and $50 million redeemed within 18 months after purchase, charged as follows:
|
Service Fee: up to 0.50% |
Class W |
Eligibility:
Available only to investors purchasing through certain authorized investment programs managed by investment professionals, including discretionary managed account programs
|
None | None | Distribution and Service Fees: 0.25% |
Class Y |
Eligibility:
Available only to retirement plans that maintain plan-level or omnibus accounts with the Fund
(f)
|
None | None | None |
22 | Prospectus 2016 |
Share Class |
Eligible
Investors
(a)
;
Minimum Initial Investments (b) |
Front-End
Sales Charges (c) |
Contingent
Deferred
Sales Charges (CDSCs) (c) |
Maximum
Distribution
and/or Service Fees (d) |
Class Z |
Eligibility:
Available only to certain eligible investors, which are subject to different minimum investment requirements, ranging from $0 to $2,000; effective March 29, 2013, closed to (i) accounts of selling agents that clear
Fund share transactions for their client or customer accounts through designated selling agents and their mutual fund trading platforms that have been given specific written notice from the Transfer Agent of the termination of their eligibility for
new purchases of Class Z shares and (ii) omnibus retirement plans, subject to certain exceptions
(f)
|
None | None | None |
(a) | For Columbia Money Market Fund, new investments must be made in Class A, Class I, Class W or Class Z shares, subject to eligibility. Class C and Class R shares of Columbia Money Market Fund are available as a new investment only to investors in the Distributor's proprietary 401(k) products, provided that such investor is eligible to invest in the class and transact directly with the Fund or the Transfer Agent through a third party administrator or third party recordkeeper. Columbia Money Market Fund offers other classes of shares only to facilitate exchanges with other Funds offering such share classes. |
(b) | The minimum initial investment requirement is $5,000 for Columbia Floating Rate Fund and Columbia Inflation Protected Securities Fund, and $10,000 for Columbia Absolute Return Currency and Income Fund. See Buying, Selling and Exchanging Shares — Buying Shares for more details on the eligible investors and minimum initial investment requirements. Certain share classes are subject to minimum account balance requirements, as described in Buying, Selling and Exchanging Shares — Transaction Rules and Policies. |
(c) | Actual front-end sales charges and CDSCs vary among the Funds. For more information on applicable sales charges, see Choosing a Share Class — Sales Charges and Commissions and for information about certain exceptions to these sales charges, see Choosing a Share Class — Reductions/Waivers of Sales Charges. |
(d) | These are the maximum applicable distribution and/or service fees. Fee rates and fee components (i.e., the portion of a combined fee that is a distribution or service fee) may vary among Funds. Because these fees are paid out of Fund assets on an ongoing basis, over time these fees will increase the cost of your investment and may cost you more than paying other types of distribution and/or shareholder service fees. Although Class A shares of certain series of CFST I are subject to a combined distribution and service fee of up to 0.35%, these Funds currently limit the combined fee to 0.25%. Columbia Money Market Fund pays a distribution and service fee of up to 0.10% on Class A shares, up to 0.75% distribution fee and up to 0.10% service fee on Class B shares, up to 0.75% distribution fee on Class C shares, and 0.10% distribution and service fees on Class W shares. Columbia AMT-Free Intermediate Muni Bond Fund, Columbia High Yield Municipal Fund and Columbia Tax-Exempt Fund pay a service fee of up to 0.20% on Class A, Class B and Class C shares. Columbia AMT-Free Intermediate Muni Bond Fund pays a distribution fee of up to 0.65% on Class B and Class C shares. For more information on distribution and service fees, see Choosing a Share Class — Distribution and Service Fees. |
(e) | For Columbia Short Term Municipal Bond Fund, a CDSC of 0.50% is charged on certain investments of $500,000 or more redeemed within 12 months after purchase. The following Funds are not subject to a front-end sales charge or a CDSC on Class A shares: Columbia Money Market Fund, Columbia Large Cap Index Fund, Columbia Large Cap Enhanced Core Fund, Columbia Mid Cap Index Fund, Columbia Small Cap Index Fund and Columbia U.S. Treasury Index Fund. Investments in Class A shares of Tax-Exempt Funds made prior to February 19, 2015 of between $1 million and $50 million are subject to a CDSC of 1.00% if redeemed within 12 months after purchase and 0.50% if redeemed more than 12, but less than 18, months after purchase. |
(f) | These share classes are closed to new accounts, or closed to previously eligible investors, subject to certain conditions, as summarized below and described in more detail under Buying, Selling and Exchanging Shares — Buying Shares — Eligible Investors: |
Prospectus 2016 | 23 |
(g) | Timing of conversion and CDSC schedules will vary depending on the Fund and the date of your original purchase of Class B shares. For more information on the conversion of Class B shares to Class A shares, see Choosing a Share Class — Sales Charges and Commissions. Class B shares of Columbia Short Term Municipal Bond Fund do not charge a CDSC and do not convert to Class A shares. |
(h) | If you are eligible to invest in Class A shares without a front-end sales charge, you should discuss your options with your selling agent. For more information, see Choosing a Share Class – Reductions/Waivers of Sales Charges. |
24 | Prospectus 2016 |
■ | The net asset value (or NAV) per share is the price of a share calculated by the Fund every business day. |
■ | The offering price per share is the NAV per share plus any front-end sales charge that applies. |
■ | depends on the amount you're investing (generally, the larger the investment, the smaller the percentage sales charge), and |
■ | is based on the total amount of your purchase and the value of your account (and any other accounts eligible for aggregation of which you or your selling agent notifies the Fund). |
Prospectus 2016 | 25 |
Class A Shares — Front-End Sales Charge — Breakpoint Schedule* | ||||
Breakpoint Schedule For: |
Dollar
amount of
shares bought (a) |
Sales
charge as a % of the offering price (b) |
Sales
charge as a % of the net amount invested (b) |
Amount
retained by or paid to selling agents as a % of the offering price |
Columbia
Absolute Return Currency and Income Fund,
Columbia Floating Rate Fund, Columbia Inflation Protected Securities Fund, Columbia Intermediate Bond Fund, Columbia Limited Duration Credit Fund, Columbia Mortgage Opportunities Fund, Columbia U.S. Government Mortgage Fund and Columbia U.S. Social Bond Fund |
$ 0-$99,999 | 3.00% | 3.09% | 2.50% |
$100,000–$249,999 | 2.50% | 2.56% | 2.15% | |
$250,000–$499,999 | 2.00% | 2.04% | 1.75% | |
$500,000–$999,999 | 1.50% | 1.52% | 1.25% | |
$ 1,000,000 or more | 0.00% | 0.00% | 0.00% (c) | |
Columbia Short Term Bond Fund | $ 0-$99,999 | 1.00% | 1.01% | 0.75% |
$100,000–$249,999 | 0.75% | 0.76% | 0.50% | |
$250,000–$999,999 | 0.50% | 0.50% | 0.40% | |
$ 1,000,000 or more | 0.00% | 0.00% | 0.00% (c) | |
Columbia Short Term Municipal Bond Fund | $ 0-$99,999 | 1.00% | 1.01% | 0.75% |
$100,000–$249,999 | 0.75% | 0.76% | 0.50% | |
$250,000–$499,999 | 0.50% | 0.50% | 0.40% | |
$ 500,000 or more | 0.00% | 0.00% | 0.00% (c) | |
* | The following Funds are not subject to a front-end sales charge or CDSC on Class A shares: Columbia Money Market Fund, Columbia Large Cap Index Fund, Columbia Large Cap Enhanced Core Fund, Columbia Mid Cap Index Fund, Columbia Small Cap Index Fund and Columbia U.S. Treasury Index Fund. "Funds-of-Funds (equity)" includes Columbia Capital Allocation Aggressive Portfolio, Columbia Capital Allocation Moderate Aggressive Portfolio, Columbia Capital Allocation Moderate Conservative Portfolio, Columbia Capital Allocation Moderate Portfolio and Columbia Global Strategic Equity Fund . "Funds-of-Funds (fixed income)" includes Columbia Capital Allocation Conservative Portfolio and Columbia Income Builder Fund. Columbia Balanced Fund and Columbia Global Opportunities Fund are treated as equity Funds for purposes of the table. |
(a) | Purchase amounts and account values may be aggregated among all eligible Fund accounts for the purposes of this table. See Choosing a Share Class — Reductions/Waivers of Sales Charges for a discussion of account value aggregation. |
(b) | Because the offering price is calculated to two decimal places, the dollar amount of the sales charge as a percentage of the offering price and your net amount invested for any particular purchase of Fund shares may be higher or lower depending on whether downward or upward rounding was required during the calculation process. Purchase price includes the sales charge. |
(c) | For information regarding cumulative commissions paid to your selling agent when you buy Class A shares of a Fund in amounts not subject to initial sales charges, see Class A Shares — Commissions below. |
■ | If you purchased Class A shares of any Tax-Exempt Fund (other than Columbia Short Term Municipal Bond Fund) on or after February 19, 2015 without an initial sales charge because your accounts aggregated $500,000 or more at the time of purchase, you will incur a CDSC of 0.75% if you redeem those shares within 12 months after purchase. Subsequent Class A share purchases made on or after February 19, 2015 that bring your aggregate account value to $500,000 or more will also be subject to a CDSC of 0.75% if you redeem them within 12 months after purchase. |
■ | If you purchased Class A shares of Columbia Short Term Municipal Bond Fund on or after February 19, 2015 without an initial sales charge because your accounts aggregated $500,000 or more at the time of purchase, you |
26 | Prospectus 2016 |
will incur a CDSC of 0.50% if you redeem those shares within 12 months after purchase. Subsequent Class A share purchases made on or after February 19, 2015 that bring your aggregate account value to $500,000 or more will also be subject to a CDSC of 0.50% if you redeem them within 12 months after purchase. |
■ | If you purchased Class A shares of any Tax-Exempt Fund prior to February 19, 2015 without an initial sales charge because your accounts aggregated between $1 million and $50 million at the time of purchase, you will incur a CDSC if you redeem those shares within 18 months after purchase, which is charged as follows: 1.00% CDSC if shares are redeemed within 12 months after purchase; and 0.50% CDSC if shares are redeemed more than 12, but less than 18, months after purchase. Subsequent Class A share purchases made prior to February 19, 2015 that bring your aggregate account value to $1 million or more (but less than $50 million) will also be subject to a CDSC if you redeem them within 18 months after purchase as described in this paragraph. |
■ | If you purchased Class A shares of any Taxable Fund without an initial sales charge because your accounts aggregated between $1 million and $50 million at the time of purchase, you will incur a CDSC if you redeem those shares within 18 months after purchase, which is charged as follows: 1.00% CDSC if shares are redeemed within 12 months after purchase; and 0.50% CDSC if shares are redeemed more than 12, but less than 18, months after purchase. Subsequent Class A share purchases that bring your aggregate account value to $1 million or more (but less than $50 million) will also be subject to a CDSC if you redeem them within 18 months after purchase as described in this paragraph. |
Prospectus 2016 | 27 |
* | The commission level applies to the applicable asset level so, for example, for a purchase of $5 million, the Distributor would pay a commission of 0.75% on the first $4 million and 0.50% on the remaining $1 million. |
** | The commission level on purchases of Class A shares of Columbia Short Term Municipal Bond Fund is: 0.50% on purchases of $500,000 to $19,999,999 and 0.25% on purchases of $20 million or more. |
* | Not applicable to Funds that do not assess a front-end sales charge. |
** | The commission level applies to the applicable asset level so, for example, for a purchase of $5 million, the Distributor would pay a commission of 1.00% on the first $3 million and 0.50% on the remaining $2 million. |
* | Because of rounding in the calculation, the actual CDSC you pay may be more or less than the CDSC calculated using these percentages. |
Class B Shares — CDSC Schedule for Columbia AMT-Free Intermediate Muni Bond Fund, the AMT-Free State-specific Intermediate Muni Bond Funds, Columbia Intermediate Bond Fund and Columbia Short Term Bond Fund | |
Number
of Years
Class B Shares Held |
Applicable
CDSC* |
One | 3.00% |
Two | 3.00% |
Three | 2.00% |
28 | Prospectus 2016 |
Class B Shares — CDSC Schedule for Columbia AMT-Free Intermediate Muni Bond Fund, the AMT-Free State-specific Intermediate Muni Bond Funds, Columbia Intermediate Bond Fund and Columbia Short Term Bond Fund | |
Number
of Years
Class B Shares Held |
Applicable
CDSC* |
Four | 1.00% |
Five | None |
Six | None |
Seven | None |
Eight | None |
Nine | Conversion to Class A Shares |
* | Because of rounding in the calculation, the actual CDSC you pay may be more or less than the CDSC calculated using these percentages. |
Prospectus 2016 | 29 |
■ | depends on the amount you're investing (generally, the larger the investment, the smaller the percentage sales charge), and |
■ | is based on the total amount of your purchase and the value of your account (and any other accounts eligible for aggregation of which you or your selling agent notifies the Fund). |
30 | Prospectus 2016 |
Class T Shares — Front-End Sales Charge — Breakpoint Schedule | ||||
Breakpoint Schedule For: |
Dollar
amount of
shares bought (a) |
Sales
charge as a % of the offering price (b) |
Sales
charge as a % of the net amount invested (b) |
Amount
retained by or paid to selling agents as a % of the offering price |
Fixed Income Funds | $ 0–$49,999 | 4.75% | 4.99% | 4.25% |
$ 50,000–$99,999 | 4.50% | 4.71% | 3.75% | |
$100,000–$249,999 | 3.50% | 3.63% | 2.75% | |
$250,000–$499,999 | 2.50% | 2.56% | 2.00% | |
$500,000–$999,999 | 2.00% | 2.04% | 1.75% | |
$ 1,000,000 or more | 0.00% | 0.00% | 0.00% (c) | |
(a) | Purchase amounts and account values are aggregated among all eligible Fund accounts for the purposes of this table. |
(b) | Because the offering price is calculated to two decimal places, the dollar amount of the sales charge as a percentage of the offering price and your net amount invested for any particular purchase of Fund shares may be higher or lower depending on whether downward or upward rounding was required during the calculation process. |
(c) | For more information regarding cumulative commissions paid to your selling agent when you buy $1 million or more of Class T shares, see Class T Shares — Commissions below. |
■ | If you purchased Class T shares without a front-end sales charge because your accounts aggregated between $1 million and $50 million at the time of purchase, you will incur a CDSC if you redeem those shares within 18 months after purchase, which is charged as follows: 1.00% CDSC if shares are redeemed within 12 months after purchase, and 0.50% CDSC if shares are redeemed more than 12, but less than 18, months after purchase. |
■ | Subsequent Class T share purchases that bring your aggregate account value to $1 million or more (but less than $50 million) will also be subject to a CDSC if you redeem them within the time periods noted above. |
Class T Shares — Commission Schedule (Paid by the Distributor to Selling Agents) | |
Purchase
Amount |
Commission
Level
(as a % of net asset value per share) |
$1 million – $2,999,999 | 1.00% |
$3 million – $49,999,999 | 0.50% |
$50 million or more | 0.25% |
Prospectus 2016 | 31 |
32 | Prospectus 2016 |
Prospectus 2016 | 33 |
Distribution
Fee |
Service
Fee |
Combined
Total |
|
Class A | up to 0.25% | up to 0.25% | up to 0.35% (a)(b)(c) |
Class B | 0.75% (d) | 0.25% | 1.00% (b) |
Class C | 0.75% (c)(e) | 0.25% | 1.00% (b) |
Class I | None | None | None |
Class K | None | None (f) | None (f) |
Class R (series of CFST and CFST I) | 0.50% | — (g) | 0.50% |
Class R (series of CFST II) | up to 0.50% (c) | up to 0.25% | 0.50% (g) |
Class R4 | None | None | None |
Class R5 | None | None | None |
Class T | None | up to 0.50% (h) | up to 0.50% (h) |
Class W | up to 0.25% | up to 0.25% | 0.25% (c) |
Class Y | None | None | None |
Class Z | None | None | None |
(a) | The maximum distribution and service fees of Class A shares varies among the Funds, as shown in the table below: |
Funds |
Maximum
Class A Distribution Fee |
Maximum
Class A Service Fee |
Maximum
Class A Combined Total |
Series of CFST | — | — |
0.25%;
these Funds pay a
combined distribution and service fee |
Series
of CFST II (other than Columbia
Money Market Fund) |
up to 0.25% | up to 0.25% | 0.25% |
34 | Prospectus 2016 |
Funds |
Maximum
Class A Distribution Fee |
Maximum
Class A Service Fee |
Maximum
Class A Combined Total |
Columbia Money Market Fund | — | — | 0.10% |
Columbia AMT-Free Oregon Intermediate Muni Bond Fund, Columbia Balanced Fund, Columbia Contrarian Core Fund, Columbia Dividend Income Fund, Columbia Global Technology Growth Fund, Columbia Intermediate Bond Fund, Columbia Large Cap Growth Fund, Columbia Mid Cap Growth Fund, Columbia Real Estate Equity Fund, Columbia Small Cap Core Fund, Columbia Small Cap Growth Fund I | up to 0.10% | up to 0.25% |
up
to 0.35%; these Funds may
pay distribution and service fees up to a maximum of 0.35% of their average daily net assets attributable to Class A shares (comprised of up to 0.10% for distribution services and up to 0.25% for shareholder liaison services) but currently limit such fees to an aggregate fee of not more than 0.25% for Class A shares |
Columbia Adaptive Alternatives Fund, Columbia Adaptive Risk Allocation Fund, Columbia AMT-Free Connecticut Intermediate Muni Bond Fund, Columbia AMT-Free Massachusetts Intermediate Muni Bond Fund, Columbia AMT-Free New York Intermediate Muni Bond Fund, Columbia Bond Fund, Columbia California Tax-Exempt Fund, Columbia Corporate Income Fund, Columbia Diversified Absolute Return Fund, Columbia Diversified Real Return Fund, Columbia Emerging Markets Fund, Columbia Global Dividend Opportunity Fund, Columbia Global Energy and Natural Resources Fund, Columbia Global Unconstrained Bond Fund, Columbia Greater China Fund, Columbia Multi-Asset Income Fund, Columbia New York Tax-Exempt Fund, Columbia Pacific/Asia Fund, Columbia Select Large Cap Growth Fund, Columbia Small Cap Value Fund I, Columbia Strategic Income Fund, Columbia U.S. Social Bond Fund, Columbia U.S. Treasury Index Fund, Columbia Value and Restructuring Fund | — | 0.25% | 0.25% |
Columbia AMT-Free Intermediate Muni Bond Fund, Columbia High Yield Municipal Fund, Columbia Tax Exempt Fund | — | 0.20% | 0.20% |
(b) | The service fees for Class A, Class B and Class C shares of certain Funds vary. The annual service fee for Class A, Class B and Class C shares of Columbia AMT-Free Intermediate Muni Bond Fund, Columbia High Yield Municipal Fund and Columbia Tax-Exempt Fund may equal up to 0.20% of the average daily net asset value of all shares of such Fund class. The annual distribution fee for Class B and Class C shares for Columbia AMT-Free Intermediate Muni Bond Fund shall be 0.65% of the average daily net assets of the Fund's Class B and Class C shares. Fee amounts noted apply to Class B shares of the Funds other than Class B shares of Columbia Money Market Fund, which pays distribution fees of up to 0.75% and service fees of up to 0.10% for a combined total of 0.85%. The Distributor has currently agreed not to be reimbursed by the Fund for 0.10% of the 0.85% fee for Class B shares of Columbia Money Market Fund. The Distributor has voluntarily agreed to waive the service fee for Class A, Class B and Class C shares of Columbia U.S. Treasury Index Fund so that the service fee does not exceed 0.15% annually. This arrangement may be modified or terminated by the Distributor at any time. |
(c) | Fee amounts noted apply to all Funds other than Columbia Money Market Fund, which, for each of Class A and Class W shares, pays distribution and service fees of 0.10%, and for Class C shares pays distribution fees of 0.75%. The Distributor has currently agreed not to be reimbursed by the Fund for 0.25% of the 0.50% fee for Class R shares of Columbia Money Market Fund. The Distributor has voluntarily agreed to waive the 12b-1 fees it receives from Class A, Class C, Class R and Class W shares of Columbia Money Market Fund. This arrangement may be modified or terminated by the Distributor at any time. Compensation paid to broker-dealers and other selling agents may be suspended to the extent of the Distributor's waiver of the 12b-1 fees on these specific share classes of these Funds. |
(d) | The Distributor has voluntarily agreed to waive a portion of the distribution fee it receives from Class B shares of Columbia Short Term Bond Fund so that the distribution fee does not exceed 0.30% annually. This arrangement may be modified or terminated by the Distributor at any time. |
(e) | The Distributor has voluntarily agreed to waive a portion of the distribution fee for Class C shares of the following Funds so that the distribution fee does not exceed the specified percentage annually: 0.45% for Columbia AMT-Free Connecticut Intermediate Muni Bond Fund, Columbia AMT-Free Massachusetts Intermediate Muni Bond Fund, Columbia AMT-Free New York Intermediate Muni Bond Fund, Columbia AMT-Free Oregon Intermediate Muni Bond Fund, Columbia California Tax-Exempt Fund and Columbia New York Tax-Exempt Fund; 0.60% for Columbia Corporate Income Fund and Columbia Short Term Bond Fund; 0.65% for Columbia High Yield Municipal Fund and Columbia Tax-Exempt Fund; and 0.70% for Columbia U.S. Treasury Index Fund. These arrangements may be modified or terminated by the Distributor at any time. |
(f) | Under a plan administration services agreement, the Funds' Class K shares pay for plan administration services. These fees for Class K shares are not paid pursuant to a 12b-1 plan. See Class K Plan Administration Services Fee below for more information. |
(g) | Class R shares of series of CFST and CFST I pay a distribution fee pursuant to a distribution (Rule 12b-1) plan for Class R shares. The Funds do not have a shareholder service plan for Class R shares. Series of CFST II have a distribution and shareholder service plan for Class R |
Prospectus 2016 | 35 |
shares, which, prior to the close of business on September 3, 2010, were known as Class R2 shares. For Class R shares of series of CFST II, the maximum fee under the plan reimbursed for distribution expenses is equal on an annual basis to 0.50% of the average daily net assets of the Fund attributable to Class R shares. Of that amount, up to 0.25% may be reimbursed for shareholder service expenses. |
(h) | The shareholder servicing fees for Class T shares are up to 0.50% of average daily net assets attributable to Class T shares for equity Funds and 0.40% for fixed income Funds. In general, the Funds currently limit such fees to a maximum of 0.25% for equity Funds and 0.15% for fixed-income Funds. See Class T Shareholder Service Fees below for more information. |
36 | Prospectus 2016 |
Prospectus 2016 | 37 |
38 | Prospectus 2016 |
Prospectus 2016 | 39 |
40 | Prospectus 2016 |
Minimum Account Balance | |
Minimum
Account Balance |
|
For all Funds, classes and account types except those listed below |
$250
(None for accounts with
Systematic Investment Plans) |
Individual Retirement Accounts for all Funds and classes except those listed below | None |
Columbia Absolute Return Currency and Income Fund | $5,000 |
Columbia Floating Rate Fund and Columbia Inflation Protected Securities Fund | $2,500 |
Class I, Class K, Class R, Class R4, Class R5, Class W and Class Y | None |
Prospectus 2016 | 41 |
42 | Prospectus 2016 |
■ | negative impact on the Fund's performance; |
■ | potential dilution of the value of the Fund's shares; |
■ | interference with the efficient management of the Fund's portfolio, such as the need to maintain undesirably large cash positions, the need to use its line of credit or the need to buy or sell securities it otherwise would not have bought or sold; |
■ | losses on the sale of investments resulting from the need to sell securities at less favorable prices; |
■ | increased taxable gains to the Fund's remaining shareholders resulting from the need to sell securities to meet sell orders; and |
■ | increased brokerage and administrative costs. |
Prospectus 2016 | 43 |
44 | Prospectus 2016 |
Prospectus 2016 | 45 |
46 | Prospectus 2016 |
■ | Dividend and/or capital gain distributions may continue to be reinvested in Class B shares of a Fund. |
■ | Shareholders invested in Class B shares of a Fund may exchange those shares for Class B shares of other Funds offering such shares. Certain exceptions apply, including that not all Funds may permit exchanges. |
Prospectus 2016 | 47 |
48 | Prospectus 2016 |
Prospectus 2016 | 49 |
Minimum Initial Investments | ||
Minimum
Initial Investment (a) |
Minimum
Initial Investment for Accounts with Systematic Investment Plans |
|
For all Funds, classes and account types except those listed below | $2,000 | $100 (b) |
Individual Retirement Accounts for all Funds and classes except those listed below | $1,000 | $100 (c) |
Columbia Absolute Return Currency and Income Fund | $10,000 | $10,000 |
Columbia Floating Rate Fund and Columbia Inflation Protected Securities Fund | $5,000 | $5,000 |
Class I, Class K, Class R, Class R4 and Class Y | None | N/A |
Class R5 | variable (d) | N/A |
Class W | $500 | N/A |
Class Z | variable (e) | $100 (e) |
(a) | If your Class A, Class B, Class C, Class T or Class Z shares account balance falls below the minimum initial investment amount for any reason, including a market decline, you may be asked to increase it to the minimum initial investment amount or establish a monthly Systematic Investment Plan. If you do not do so, your account will be subject to a $20 annual low balance fee and/or shares may be automatically redeemed and the proceeds mailed to you if the account falls below the minimum account balance. See Buying, Selling and Exchanging Shares — Transaction Rules and Policies above. |
(b) | Columbia Money Market Fund — $2,000 |
(c) | Columbia Money Market Fund — $1,000 |
(d) | There is no minimum initial investment in Class R5 shares for omnibus retirement plans. A minimum initial investment of $100,000 applies to aggregate purchases of Class R5 shares of a Fund for combined underlying accounts of any registered investment adviser that clears Fund share transactions for their client or customer accounts through designated selling agents and their mutual fund trading platforms that have been granted specific written authorization from the Transfer Agent with respect to Class R5 eligibility apart from selling, servicing or similar agreements. |
(e) | The minimum initial investment amount for Class Z shares is $0, $1,000 or $2,000 depending upon the category of eligible investor. See — Class Z Shares Minimum Initial Investments below. The minimum initial investment amount for systematic investment plan accounts is the same as the amount set forth in the first two rows of the table, as applicable. |
■ | Any person investing all or part of the proceeds of a distribution, rollover or transfer of assets into a Columbia Management Individual Retirement Account, from any deferred compensation plan which was a shareholder of any of the Funds of Columbia Acorn Trust on September 29, 2000, in which the investor was a participant and through which the investor invested in one or more of the Funds of Columbia Acorn Trust immediately prior to the distribution, transfer or rollover. |
■ | Any health savings account sponsored by a third party platform. |
■ | Any investor participating in a wrap program sponsored by a selling agent or other entity that is paid an asset-based fee by the investor and that is not compensated by the Fund for those services, other than payments for shareholder servicing or sub-accounting performed in place of the Transfer Agent. |
50 | Prospectus 2016 |
■ | Any individual retirement plan for which a selling agent or other entity provides services and is not compensated by the Fund for those services, other than in the form of payments for shareholder servicing or sub-accounting performed in place of the Transfer Agent. |
■ | Any employee of Columbia Management Investment Advisers, LLC, the Distributor or the Transfer Agent and immediate family members of any of the foregoing who share the same address and any persons employed as of April 30, 2010 by Columbia Management Advisors, LLC, Columbia Management Distributors, Inc., or Columbia Management Services, Inc., the adviser, distributor and transfer agent of series of CFST and CFST I prior to May 1, 2010 (the Previous Service Providers) and immediate family members of any of the foregoing who share the same address are eligible to make new and subsequent purchases in Class Z shares through an individual retirement account. If you maintain your account with a selling agent, you must contact that selling agent each time you seek to purchase shares to notify them that you qualify for Class Z shares. |
■ | Any shareholder (as well as any family member of a shareholder or person listed on an account registration for any account of the shareholder) of another fund distributed by the Distributor (i) who holds Class Z shares; (ii) who held Primary A shares prior to the share class redesignation of Primary A shares as Class Z shares that occurred on August 22, 2005; (iii) who holds Class A shares that were obtained by an exchange of Class Z shares; or (iv) who bought shares of certain mutual funds that were not subject to sales charges and that merged with a series of CFST or CFST I distributed by the Distributor. |
■ | Any investor participating in an account offered by a selling agent or other entity that provides services to such an account, is paid an asset-based fee by the investor and is not compensated by the Fund for those services, other than payments for shareholder servicing or sub-accounting performed in place of the Transfer Agent (each investor buying shares through a financial intermediary must independently satisfy the minimum investment requirement noted above). |
■ | Any institutional investor who is a corporation, partnership, trust, foundation, endowment, institution, government entity, or similar organization, which meets the respective qualifications for an accredited investor, as defined under the Securities Act of 1933. |
■ | Certain financial institutions and intermediaries, such as insurance companies, trust companies, banks, endowments, investment companies or foundations, buying shares for their own account, including Ameriprise Financial and its affiliates and/or subsidiaries. |
■ | Any employee of Columbia Management Investment Advisers, LLC, the Distributor or the Transfer Agent and immediate family members of any of the foregoing who share the same address and any persons employed as of April 30, 2010 by the Previous Service Providers and any of their immediate family members who share the same address are eligible to make new and subsequent purchases in Class Z shares through a non-retirement account. If you maintain your account with a selling agent, you must contact that selling agent each time you seek to purchase shares to notify them that you qualify for Class Z shares. |
■ | Certain other investors as set forth in more detail in the SAI. |
Prospectus 2016 | 51 |
■ | Once the Transfer Agent or your selling agent receives your buy order in “good form,” your purchase will be made at the next calculated public offering price per share, which is the net asset value per share plus any sales charge that applies. |
■ | You generally buy Class A and Class T shares at the public offering price per share because purchases of these share classes are generally subject to a front-end sales charge. |
■ | You buy Class B, Class C, Class I, Class K, Class R, Class R4, Class R5, Class W, Class Y and Class Z shares at net asset value per share because no front-end sales charge applies to purchases of these share classes. |
■ | The Distributor and the Transfer Agent reserve the right to cancel your order if the Fund does not receive payment within three business days of receiving your buy order. The Fund will return any payment received for orders that have been cancelled, but no interest will be paid on that money. |
■ | Selling agents are responsible for sending your buy orders to the Transfer Agent and ensuring that we receive your money on time. |
■ | Shares purchased are recorded on the books of the Fund. The Fund does not issue certificates. |
52 | Prospectus 2016 |
■ | Once the Transfer Agent or your selling agent receives your redemption order in “good form,” your shares will be sold at the next calculated NAV per share. Any applicable CDSC will be deducted from the amount you're selling and the balance will be remitted to you. |
■ | If you sell your shares that are held directly with the Funds (through the Transfer Agent), we will normally send the redemption proceeds by mail or electronically transfer them to your bank account within three business days after the Transfer Agent or your selling agent receives your order in “good form.” |
■ | If you sell your shares through a selling agent, the Funds will normally send the redemption proceeds by Fedwire within three business days after the Transfer Agent or your selling agent receives your order in “good form.” |
■ | If you paid for your shares by check or from your bank account as an ACH transaction, the Funds will hold the redemption proceeds when you sell those shares for ten calendar days after the trade date of the purchase. |
■ | No interest will be paid on uncashed redemption checks. |
■ | The Funds can delay payment of the redemption proceeds for up to seven days and may suspend redemptions and/or further postpone payment of redemption proceeds when the NYSE is closed or trading thereon is restricted or during emergency or other circumstances, including as determined by the SEC. |
■ | Other restrictions may apply to retirement accounts. For information about these restrictions, contact your retirement plan administrator. |
■ | For broker-dealer and wrap fee accounts: The Fund reserves the right to redeem your shares if your account falls below the Fund's minimum initial investment requirement. The Fund will notify your broker-dealer prior to redeeming shares, and will provide details on how to avoid such redemption. |
■ | Also keep in mind the Funds' Small Account Policy, which is described above in Buying, Selling and Exchanging Shares — Transaction Rules and Policies. |
Prospectus 2016 | 53 |
■ | Exchanges are made at the NAV next calculated after your exchange order is received in “good form.” |
■ | Once the Fund receives your exchange request, you cannot cancel it after the market closes. |
■ | The rules for buying shares of a Fund generally apply to exchanges into that Fund, including, if your exchange creates a new Fund account, it must satisfy the minimum investment amount, unless a waiver applies. |
■ | Shares of the purchased Fund may not be used on the same day for another exchange or sale. |
■ | If you exchange shares from Class A shares of Columbia Money Market Fund to a non-money market Fund, any further exchanges must be between shares of the same class. For example, if you exchange from Class A shares of Columbia Money Market Fund into Class C shares of a non-money market Fund, you may not exchange from Class C shares of that non-money market Fund back to Class A shares of Columbia Money Market Fund. |
■ | A sales charge may apply when you exchange shares of a Fund that were not assessed a sales charge at the time of your initial purchase. For example, if your initial investment was in Columbia Money Market Fund and you exchange into a non-money market Fund, your transaction is subject to a front-end sales charge if you exchange into Class A shares and to a CDSC if you exchange into Class C shares of the Funds. |
■ | If your initial investment was in Class A shares of a non-money market Fund and you exchange shares into Columbia Money Market Fund, you may exchange that amount to another Fund, including dividends earned on that amount, without paying a sales charge. |
■ | If your shares are subject to a CDSC, you will not be charged a CDSC upon the exchange of those shares. Any CDSC will be deducted when you sell the shares you received from the exchange. The CDSC imposed at that time will be based on the period that begins when you bought shares of the original Fund and ends when you sell the shares of the Fund you received from the exchange. The applicable CDSC will be the CDSC of the original Fund. |
■ | You may make exchanges only into a Fund that is legally offered and sold in your state of residence. Contact the Transfer Agent or your selling agent for more information. |
■ | You generally may make an exchange only into a Fund that is accepting investments. |
■ | The Fund may change or cancel your right to make an exchange by giving the amount of notice required by regulatory authorities (generally 60 days for a material change or cancellation). |
■ | Unless your account is part of a tax-advantaged arrangement, an exchange for shares of another Fund is a taxable event, and you may recognize a gain or loss for tax purposes. |
■ | Changing your investment to a different Fund will be treated as a sale and purchase, and you will be subject to applicable taxes on the sale and sales charges on the purchase of the new Fund. |
54 | Prospectus 2016 |
■ | Class Z shares of a Fund may be exchanged for Class A or Class Z shares of another Fund. In certain circumstances, the front-end sales charge applicable to Class A shares may be waived on exchanges of Class Z shares for Class A shares. See Buying, Selling and Exchanging Shares — Buying Shares — Eligible Investors — Class Z Shares for details. |
■ | You may generally exchange Class T shares of a Fund for Class A shares of another Fund if the other Fund does not offer Class T shares. Class T shares exchanged into Class A shares cannot be exchanged back into Class T shares. |
■ | Class W shares originally purchased, but no longer held, in a discretionary managed account, may not be exchanged for Class W shares of another Fund. |
■ | Former CFIT Shareholders may not exchange Class Y shares of a Fund into Class Y shares of another Fund. |
■ | No sales charges or other charges will apply to any such exchange, except that when Class B shares are exchanged, any CDSC applicable to Class B shares will be applied. |
■ | Ordinarily, shareholders will not recognize a gain or loss for U.S. federal income tax purposes upon such an exchange. You should consult your tax advisor about your particular exchanges. |
Prospectus 2016 | 55 |
■ | It can earn income on its investments. Examples of fund income are interest paid on money market instruments and bonds, and dividends paid on common stocks. |
■ | A mutual fund can also have capital gains if the value of its investments increases. While a fund continues to hold an investment, any gain is generally unrealized. If the fund sells an investment, it generally will realize a capital gain if it sells that investment for a higher price than its adjusted cost basis, and will generally realize a capital loss if it sells that investment for a lower price than its adjusted cost basis. Capital gains and losses are either short-term or long-term, depending on whether the fund holds the securities for one year or less (short-term) or more than one year (long-term). |
Declaration and Distribution Schedule | |
Declarations | Annually |
Distributions | Annually |
56 | Prospectus 2016 |
■ | The Fund intends to qualify and to be eligible for treatment each year as a regulated investment company. A regulated investment company generally is not subject to tax at the fund level on income and gains from investments that are distributed to shareholders. However, the Fund's failure to qualify for treatment as a regulated investment company would result in Fund-level taxation, and consequently, a reduction in income available for distribution to you and in the net asset value of your shares. Even if the Fund qualifies for treatment as a regulated investment company, the Fund may be subject to federal excise tax on certain undistributed income or gains. |
■ | Otherwise taxable distributions generally are taxable to you when paid, whether they are paid in cash or automatically reinvested in additional Fund shares. Dividends paid in January are deemed paid on December 31 of the prior year if the dividend was declared and payable to shareholders of record in October, November, or December of such prior year. |
■ | Distributions of the Fund's ordinary income and net short-term capital gain, if any, generally are taxable to you as ordinary income. Distributions of the Fund's net long-term capital gain, if any, generally are taxable to you as long-term capital gain. Whether capital gains are long-term or short-term is determined by how long the Fund has owned the investments that generated them, rather than how long you have owned your shares. |
■ | From time to time, a distribution from the Fund could constitute a return of capital, which is not taxable to you so long as the amount of the distribution does not exceed your tax basis in your Fund shares. A return of capital reduces your tax basis in your Fund shares, with any amounts exceeding such basis generally taxable as capital gain. |
■ | If you are an individual and you meet certain holding period and other requirements for your Fund shares, a portion of your distributions may be treated as “qualified dividend income” taxable at the lower net long-term capital gain rates instead of the higher ordinary income rates. Qualified dividend income is income attributable to the Fund's dividends received from certain U.S. and foreign corporations, as long as the Fund meets certain holding period and other requirements for the stock producing such dividends. |
■ | Certain high-income individuals (as well as estates and trusts) are subject to a 3.8% tax on net investment income. For individuals, the 3.8% tax applies to the lesser of (1) the amount (if any) by which the taxpayer's modified adjusted gross income exceeds certain threshold amounts or (2) the taxpayer's “net investment income.” |
Net investment income generally includes for this purpose dividends, including any capital gain dividends, paid by the Fund, and net gains recognized on the sale, redemption or exchange of shares of the Fund. |
■ | Certain derivative instruments when held in the Fund's portfolio subject the Fund to special tax rules, the effect of which may be to, among other things, accelerate income to the Fund, defer Fund losses, cause adjustments in the holding periods of Fund portfolio securities, or convert capital gains into ordinary income, short-term capital losses into long-term capital losses or long-term capital gains into short-term capital gains. These rules could therefore affect the amount, timing and/or character of distributions to shareholders. |
■ | Certain Funds may purchase or write options, as described further in the SAI. Generally, a Fund realizes a capital gain or loss on an option when the option expires, or when it is exercised, sold or otherwise terminated. However, if an option is a “section 1256 contract,” which includes most traded options on a broad-based index, and the |
Prospectus 2016 | 57 |
Fund holds such option at the end of its taxable year, the Fund is deemed to sell such option at fair market value at such time and recognize any gain or loss thereon, which is generally deemed to be 60% long-term and 40% short-term gain or loss, as described further in the SAI. |
■ | Income and proceeds received by the Fund from sources within foreign countries may be subject to foreign taxes. If at the end of the taxable year more than 50% of the value of the Fund's assets consists of securities of foreign corporations, and the Fund makes a special election, you will generally be required to include in your income for U.S. federal income tax purposes your share of the qualifying foreign income taxes paid by the Fund in respect of its foreign portfolio securities. You may be able to claim a foreign tax credit or deduction in respect of this amount, subject to certain limitations. There is no assurance that the Fund will make this election for a taxable year, even if it is eligible to do so. |
■ | A sale, redemption or exchange of Fund shares is a taxable event. This includes redemptions where you are paid in securities. Your sales, redemptions and exchanges of Fund shares (including those paid in securities) usually will result in a taxable capital gain or loss to you, equal to the difference between the amount you receive for your shares (or are deemed to have received in the case of exchanges) and your adjusted tax basis in the shares, which is generally the amount you paid (or are deemed to have paid in the case of exchanges) for them. Any such capital gain or loss generally will be long-term capital gain or loss if you have held your Fund shares for more than one year at the time of sale or exchange. In certain circumstances, capital losses may be converted from short-term to long-term; in other circumstances, capital losses may be disallowed under the “wash sale” rules. |
■ | The Fund generally is required to report to shareholders and the Internal Revenue Service (the IRS) upon the sale, exchange or redemption of Fund shares cost basis information with respect to those shares. The Fund uses average cost basis as its default method of calculating cost basis. Please see columbiathreadneedle.com/us or contact the Fund at 800.345.6611 for more information regarding average cost basis reporting, other available cost basis methods and how to select or change a particular method or to choose specific shares to sell, redeem or exchange. If you hold Fund shares through a selling agent, you should contact your selling agent to learn about its cost basis reporting default method and the reporting elections available to your account. |
■ | The Fund is required by federal law to withhold tax on any taxable or tax-exempt distributions and redemption proceeds paid to you (including amounts paid to you in securities and amounts deemed to be paid to you upon an exchange of shares) if: you have not provided a correct TIN or have not certified to the Fund that withholding does not apply, the IRS has notified us that the TIN listed on your account is incorrect according to its records, or the IRS informs the Fund that you are otherwise subject to backup withholding. |
58 | Prospectus 2016 |
Year Ended August 31, | |||||
Class A | 2015 | 2014 | 2013 | 2012 | 2011 (a) |
Per share data | |||||
Net asset value, beginning of period | $15.94 | $14.77 | $13.00 | $11.09 | $10.00 |
Income from investment operations: | |||||
Net investment income | 0.45 (h) | 0.03 | 0.05 | 0.02 | 0.03 |
Net realized and unrealized gain (loss) | (0.50) | 2.84 | 2.45 | 1.93 | 1.10 |
Total from investment operations | (0.05) | 2.87 | 2.50 | 1.95 | 1.13 |
Less distributions to shareholders: | |||||
Net investment income | (0.05) | — | (0.18) | — | (0.04) |
Net realized gains | (1.58) | (1.70) | (0.55) | (0.04) | (0.00) (b) |
Total distributions to shareholders | (1.63) | (1.70) | (0.73) | (0.04) | (0.04) |
Net asset value, end of period | $14.26 | $15.94 | $14.77 | $13.00 | $11.09 |
Total return | (0.58%) | 20.18% | 20.17% | 17.63% | 11.29% |
Ratios to average net assets (c) | |||||
Total gross expenses | 1.28% | 1.28% | 1.36% | 1.50% (d) | 1.67% (e) |
Total net expenses (f) | 1.28% | 1.28% | 1.32% | 1.50% (d)(g) | 1.60% (e) |
Net investment income | 2.98% | 0.21% | 0.33% | 0.19% | 0.25% (e) |
Supplemental data | |||||
Net assets, end of period (in thousands) | $78,341 | $99,789 | $77,404 | $51,772 | $55,034 |
Portfolio turnover | 79% | 119% | 147% | 146% | 214% |
(a) | Based on operations from September 28, 2010 (commencement of operations) through the stated period end. |
(b) | Rounds to zero. |
(c) | In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund’s reported expense ratios. |
(d) | Ratios include line of credit interest expense which is less than 0.01%. |
(e) | Annualized. |
(f) | Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(g) | The benefits derived from expense reductions had an impact of less than 0.01%. |
(h) | Net investment income per share includes special dividends. The effect of these dividends amounted to $0.45 per share. |
Prospectus 2016 | 59 |
Year Ended August 31, | |||||
Class C | 2015 | 2014 | 2013 | 2012 | 2011 (a) |
Per share data | |||||
Net asset value, beginning of period | $15.53 | $14.53 | $12.81 | $11.01 | $10.00 |
Income from investment operations: | |||||
Net investment income (loss) | 0.34 (h) | (0.08) | (0.06) | (0.07) | (0.05) |
Net realized and unrealized gain (loss) | (0.49) | 2.78 | 2.42 | 1.91 | 1.09 |
Total from investment operations | (0.15) | 2.70 | 2.36 | 1.84 | 1.04 |
Less distributions to shareholders: | |||||
Net investment income | — | — | (0.09) | — | (0.03) |
Net realized gains | (1.58) | (1.70) | (0.55) | (0.04) | (0.00) (b) |
Total distributions to shareholders | (1.58) | (1.70) | (0.64) | (0.04) | (0.03) |
Net asset value, end of period | $13.80 | $15.53 | $14.53 | $12.81 | $11.01 |
Total return | (1.24%) | 19.28% | 19.23% | 16.76% | 10.42% |
Ratios to average net assets (c) | |||||
Total gross expenses | 2.03% | 2.03% | 2.11% | 2.26% (d) | 2.38% (e) |
Total net expenses (f) | 2.03% | 2.03% | 2.07% | 2.25% (d)(g) | 2.35% (e) |
Net investment income (loss) | 2.31% | (0.52%) | (0.42%) | (0.57%) | (0.46%) (e) |
Supplemental data | |||||
Net assets, end of period (in thousands) | $24,811 | $27,393 | $17,316 | $12,272 | $9,255 |
Portfolio turnover | 79% | 119% | 147% | 146% | 214% |
(a) | Based on operations from September 28, 2010 (commencement of operations) through the stated period end. |
(b) | Rounds to zero. |
(c) | In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund’s reported expense ratios. |
(d) | Ratios include line of credit interest expense which is less than 0.01%. |
(e) | Annualized. |
(f) | Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(g) | The benefits derived from expense reductions had an impact of less than 0.01%. |
(h) | Net investment income per share includes special dividends. The effect of these dividends amounted to $0.44 per share. |
60 | Prospectus 2016 |
Year Ended August 31, | |||||
Class I | 2015 | 2014 | 2013 | 2012 | 2011 (a) |
Per share data | |||||
Net asset value, beginning of period | $16.01 | $14.78 | $13.01 | $11.08 | $10.00 |
Income from investment operations: | |||||
Net investment income (loss) | 0.53 (g) | 0.08 | 0.10 | (0.05) | 0.05 |
Net realized and unrealized gain (loss) | (0.51) | 2.85 | 2.46 | 2.04 | 1.07 |
Total from investment operations | 0.02 | 2.93 | 2.56 | 1.99 | 1.12 |
Less distributions to shareholders: | |||||
Net investment income | (0.11) | — | (0.24) | (0.02) | (0.04) |
Net realized gains | (1.58) | (1.70) | (0.55) | (0.04) | (0.00) (b) |
Total distributions to shareholders | (1.69) | (1.70) | (0.79) | (0.06) | (0.04) |
Net asset value, end of period | $14.34 | $16.01 | $14.78 | $13.01 | $11.08 |
Total return | (0.10%) | 20.60% | 20.67% | 18.08% | 11.22% |
Ratios to average net assets (c) | |||||
Total gross expenses | 0.90% | 0.87% | 0.95% | 1.07% (d) | 2.64% (e) |
Total net expenses (f) | 0.90% | 0.87% | 0.92% | 1.07% (d) | 1.25% (e) |
Net investment income (loss) | 3.48% | 0.51% | 0.73% | (0.47%) | 0.43% (e) |
Supplemental data | |||||
Net assets, end of period (in thousands) | $2 | $3 | $3 | $3 | $5,527 |
Portfolio turnover | 79% | 119% | 147% | 146% | 214% |
(a) | Based on operations from September 28, 2010 (commencement of operations) through the stated period end. |
(b) | Rounds to zero. |
(c) | In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund’s reported expense ratios. |
(d) | Ratios include line of credit interest expense which is less than 0.01%. |
(e) | Annualized. |
(f) | Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(g) | Net investment income per share includes special dividends. The effect of these dividends amounted to $0.46 per share. |
Prospectus 2016 | 61 |
Year Ended August 31, | |||||
Class R | 2015 | 2014 | 2013 | 2012 | 2011 (a) |
Per share data | |||||
Net asset value, beginning of period | $15.71 | $14.61 | $12.93 | $11.06 | $10.00 |
Income from investment operations: | |||||
Net investment income (loss) | 0.47 (g) | (0.02) | (0.00) (b) | (0.00) (b) | (0.00) (b) |
Net realized and unrealized gain (loss) | (0.56) | 2.82 | 2.44 | 1.91 | 1.09 |
Total from investment operations | (0.09) | 2.80 | 2.44 | 1.91 | 1.09 |
Less distributions to shareholders: | |||||
Net investment income | (0.01) | — | (0.21) | — | (0.03) |
Net realized gains | (1.58) | (1.70) | (0.55) | (0.04) | (0.00) (b) |
Total distributions to shareholders | (1.59) | (1.70) | (0.76) | (0.04) | (0.03) |
Net asset value, end of period | $14.03 | $15.71 | $14.61 | $12.93 | $11.06 |
Total return | (0.84%) | 19.91% | 19.87% | 17.31% | 10.87% |
Ratios to average net assets (c) | |||||
Total gross expenses | 1.53% | 1.53% | 1.58% | 1.72% (d) | 2.89% (e) |
Total net expenses (f) | 1.53% | 1.53% | 1.56% | 1.72% (d) | 1.85% (e) |
Net investment income (loss) | 3.15% | (0.12%) | (0.02%) | (0.01%) | 0.01% (e) |
Supplemental data | |||||
Net assets, end of period (in thousands) | $766 | $658 | $608 | $229 | $10 |
Portfolio turnover | 79% | 119% | 147% | 146% | 214% |
(a) | Based on operations from September 28, 2010 (commencement of operations) through the stated period end. |
(b) | Rounds to zero. |
(c) | In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund’s reported expense ratios. |
(d) | Ratios include line of credit interest expense which is less than 0.01%. |
(e) | Annualized. |
(f) | Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(g) | Net investment income per share includes special dividends. The effect of these dividends amounted to $0.50 per share. |
62 | Prospectus 2016 |
Year Ended August 31, | ||
Class R4 | 2015 | 2014 (a) |
Per share data | ||
Net asset value, beginning of period | $15.91 | $15.46 |
Income from investment operations: | ||
Net investment income | 0.56 (e) | 0.08 |
Net realized and unrealized gain (loss) | (0.57) | 0.37 |
Total from investment operations | (0.01) | 0.45 |
Less distributions to shareholders: | ||
Net investment income | (0.08) | — |
Net realized gains | (1.58) | — |
Total distributions to shareholders | (1.66) | — |
Net asset value, end of period | $14.24 | $15.91 |
Total return | (0.28%) | 2.91% |
Ratios to average net assets (b) | ||
Total gross expenses | 1.03% | 1.13% (c) |
Total net expenses (d) | 1.03% | 1.07% (c) |
Net investment income | 3.70% | 2.92% (c) |
Supplemental data | ||
Net assets, end of period (in thousands) | $1,411 | $1,541 |
Portfolio turnover | 79% | 119% |
(a) | Based on operations from June 25, 2014 (commencement of operations) through the stated period end. |
(b) | In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund’s reported expense ratios. |
(c) | Annualized. |
(d) | Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(e) | Net investment income per share includes special dividends. The effect of these dividends amounted to $0.51 per share. |
Prospectus 2016 | 63 |
Year Ended August 31, | |||
Class R5 | 2015 | 2014 | 2013 (a) |
Per share data | |||
Net asset value, beginning of period | $16.19 | $14.93 | $13.11 |
Income from investment operations: | |||
Net investment income | 0.22 (e) | 0.09 | 0.09 |
Net realized and unrealized gain (loss) | (0.21) | 2.87 | 2.51 |
Total from investment operations | 0.01 | 2.96 | 2.60 |
Less distributions to shareholders: | |||
Net investment income | (0.10) | — | (0.23) |
Net realized gains | (1.58) | (1.70) | (0.55) |
Total distributions to shareholders | (1.68) | (1.70) | (0.78) |
Net asset value, end of period | $14.52 | $16.19 | $14.93 |
Total return | (0.15%) | 20.59% | 20.89% |
Ratios to average net assets (b) | |||
Total gross expenses | 0.91% | 0.93% | 0.90% (c) |
Total net expenses (d) | 0.91% | 0.93% | 0.90% (c) |
Net investment income | 1.39% | 0.55% | 0.76% (c) |
Supplemental data | |||
Net assets, end of period (in thousands) | $1,609 | $6,608 | $2,292 |
Portfolio turnover | 79% | 119% | 147% |
(a) | Based on operations from November 8, 2012 (commencement of operations) through the stated period end. |
(b) | In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund’s reported expense ratios. |
(c) | Annualized. |
(d) | Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(e) | Net investment income per share includes special dividends. The effect of these dividends amounted to $0.16 per share. |
64 | Prospectus 2016 |
Year Ended August 31, | |||||
Class Z | 2015 | 2014 | 2013 | 2012 | 2011 (a) |
Per share data | |||||
Net asset value, beginning of period | $16.06 | $14.84 | $13.04 | $11.12 | $10.00 |
Income from investment operations: | |||||
Net investment income | 0.51 (h) | 0.07 | 0.08 | 0.05 | 0.06 |
Net realized and unrealized gain (loss) | (0.51) | 2.85 | 2.46 | 1.92 | 1.10 |
Total from investment operations | 0.00 (b) | 2.92 | 2.54 | 1.97 | 1.16 |
Less distributions to shareholders: | |||||
Net investment income | (0.09) | — | (0.19) | (0.01) | (0.04) |
Net realized gains | (1.58) | (1.70) | (0.55) | (0.04) | (0.00) (b) |
Total distributions to shareholders | (1.67) | (1.70) | (0.74) | (0.05) | (0.04) |
Net asset value, end of period | $14.39 | $16.06 | $14.84 | $13.04 | $11.12 |
Total return | (0.26%) | 20.44% | 20.48% | 17.83% | 11.61% |
Ratios to average net assets (c) | |||||
Total gross expenses | 1.03% | 1.03% | 1.12% | 1.26% (d) | 1.32% (e) |
Total net expenses (f) | 1.03% | 1.03% | 1.08% | 1.25% (d)(g) | 1.32% (e) |
Net investment income | 3.28% | 0.44% | 0.59% | 0.40% | 0.60% (e) |
Supplemental data | |||||
Net assets, end of period (in thousands) | $61,114 | $85,780 | $76,756 | $66,930 | $91,860 |
Portfolio turnover | 79% | 119% | 147% | 146% | 214% |
(a) | Based on operations from September 28, 2010 (commencement of operations) through the stated period end. |
(b) | Rounds to zero. |
(c) | In addition to the fees and expenses that the Fund bears directly, the Fund indirectly bears a pro rata share of the fees and expenses of any other funds in which it invests. Such indirect expenses are not included in the Fund’s reported expense ratios. |
(d) | Ratios include line of credit interest expense which is less than 0.01%. |
(e) | Annualized. |
(f) | Total net expenses include the impact of certain fee waivers/expense reimbursements made by the Investment Manager and certain of its affiliates, if applicable. |
(g) | The benefits derived from expense reductions had an impact of less than 0.01%. |
(h) | Net investment income per share includes special dividends. The effect of these dividends amounted to $0.46 per share. |
Prospectus 2016 | 65 |
Columbia Select Large-Cap Value Fund | ||
Class A: SLVAX | Class B: SLVBX | Class C: SVLCX |
Class I: CLVIX | Class K: SLVTX | Class R: SLVRX |
Class R4: CSERX | Class R5: SLVIX | Class W: CSVWX |
Class Y: CSRYX | Class Z: CSVZX | |
Columbia Select Smaller-Cap Value Fund | ||
Class A: SSCVX | Class B: SSCBX | Class C: SVMCX |
Class I: CSSIX | Class K: SSLRX | Class R: SSVRX |
Class R4: CSPRX | Class R5: SSVIX | Class Y: CSSYX |
Class Z: CSSZX | ||
Columbia
Seligman Communications and
Information Fund |
||
Class A: SLMCX | Class B: SLMBX | Class C: SCICX |
Class I: CSFIX | Class K: SCIFX | Class R: SCIRX |
Class R4: SCIOX | Class R5: SCMIX | Class Z: CCIZX |
Columbia Seligman Global Technology Fund | ||
Class A: SHGTX | Class B: SHTBX | Class C: SHTCX |
Class I: CSYIX | Class K: SGTSX | Class R: SGTRX |
Class R4: CCHRX | Class R5: SGTTX | Class Z: CSGZX |
Columbia Small/Mid Cap Value Fund | ||
Class A: AMVAX | Class B: AMVBX | Class C: AMVCX |
Class I: RMCIX | Class K: RMCVX | Class R: RMVTX |
Class R4: RMCRX | Class R5: RSCMX | Class W: CVOWX |
Class Y: CPHPX | Class Z: CMOZX | |
Columbia U.S. Government Mortgage Fund | ||
Class A: AUGAX | Class B: AUGBX | Class C: AUGCX |
Class I: RVGIX | Class K: RSGYX | Class R4: CUVRX |
Class R5: CGVRX | Class W: CGMWX | Class Y: CUGYX |
Class Z: CUGZX |
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2 |
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7 |
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11 |
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21 |
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21 |
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57 |
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82 |
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82 |
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84 |
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84 |
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106 |
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110 |
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113 |
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116 |
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118 |
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123 |
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125 |
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127 |
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131 |
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131 |
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134 |
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134 |
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148 |
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153 |
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153 |
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156 |
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159 |
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165 |
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200 |
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274 |
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A-1 |
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B-1 |
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C-1 |
|
D-1 |
|
S-1 |
Statement of Additional Information – January 1, 2016 | 1 |
■ | the organization of each Trust; |
■ | the Funds' investments; |
■ | the Funds' investment adviser, investment subadviser(s) (if any) and other service providers, including roles and relationships of Ameriprise Financial and its affiliates, and conflicts of interest; |
■ | the governance of the Funds; |
■ | the Funds' brokerage practices; |
■ | the share classes offered by the Funds; |
■ | the purchase, redemption and pricing of Fund shares; and |
■ | the application of U.S. federal income tax laws. |
1933 Act | Securities Act of 1933, as amended |
1934 Act | Securities Exchange Act of 1934, as amended |
1940 Act | Investment Company Act of 1940, as amended |
Administrative Services Agreement | The Administrative Services Agreement, as amended, if applicable, between a Trust, on behalf of the Funds, and the Investment Manager |
Ameriprise Financial | Ameriprise Financial, Inc. |
BANA | Bank of America, National Association |
Bank of America | Bank of America Corporation |
BFDS/DST | Boston Financial Data Services, Inc./DST Systems, Inc. |
Barrow Hanley | Barrow, Hanley, Mewhinney & Strauss, LLC |
Board | The Trusts' Board of Trustees |
Board Services | Board Services Corporation |
Business Day | Any day on which the NYSE is open for business |
Capital Allocation Portfolios | Collectively, Columbia Capital Allocation Aggressive Portfolio, Columbia Capital Allocation Conservative Portfolio, Columbia Capital Allocation Moderate Aggressive Portfolio, Columbia Capital Allocation Moderate Conservative Portfolio and Columbia Capital Allocation Moderate Portfolio |
CEA | Commodity Exchange Act |
CFST | Columbia Funds Series Trust |
CFST I | Columbia Funds Series Trust I |
CFST II | Columbia Funds Series Trust II |
CFTC | The United States Commodities Futures Trading Commission |
CMOs | Collateralized mortgage obligations |
Code | Internal Revenue Code of 1986, as amended |
Statement of Additional Information – January 1, 2016 | 2 |
Codes of Ethics | The codes of ethics adopted by the Funds, the Investment Manager, the Distributor and/or any sub-adviser, as applicable, pursuant to Rule 17j-1 under the 1940 Act |
Columbia Funds Complex | The fund complex that is comprised of the registered investment companies advised by the Investment Manager or its affiliates |
Columbia Funds or Columbia Fund Family | The open-end investment management companies, including the Funds, advised by the Investment Manager or its affiliates or principally underwritten by the Distributor |
Columbia Management | Columbia Management Investment Advisers, LLC |
Custodian | JPMorgan Chase Bank, N.A. |
CVP – Managed Volatility Funds | Columbia Variable Portfolio – Managed Volatility Conservative Fund, Columbia Variable Portfolio – Managed Volatility Conservative Growth Fund, Columbia Variable Portfolio – Managed Volatility Growth Fund and Columbia Variable Portfolio – Managed Volatility Moderate Growth Fund |
DFA | Dimensional Fund Advisors LP |
Distribution Agreement | The Distribution Agreement between a Trust, on behalf of the Funds, and the Distributor |
Distribution Plan(s) | One or more of the plans adopted by the Board pursuant to Rule 12b-1 under the 1940 Act for the distribution of the Funds’ shares |
Distributor | Columbia Management Investment Distributors, Inc. |
Donald Smith | Donald Smith & Co., Inc. |
FDIC | Federal Deposit Insurance Corporation |
Feeder Fund | A series of CFST that had invested all of its assets in the Master Portfolio; after the close of business on December 13, 2013, the Feeder Fund, International Value Fund, converted to a stand-alone Fund and ceased being a Feeder Fund |
FHLMC | The Federal Home Loan Mortgage Corporation |
Fitch | Fitch, Inc. |
FNMA | Federal National Mortgage Association |
The Fund(s) or a Fund | One or more of the open-end management investment companies listed on the front cover of this SAI |
GNMA | Government National Mortgage Association |
Independent Trustees | The Trustees of the Board who are not “interested persons” (as defined in the 1940 Act) of the Funds |
Interested Trustees | The Trustees of the Board who are currently treated as “interested persons” (as defined in the 1940 Act) of the Funds |
Investment Management Services Agreement | The Investment Management Services Agreements, as amended, if applicable, between a Trust, on behalf of the Funds, and the Investment Manager |
Investment Manager | Columbia Management Investment Advisers, LLC |
IRS | United States Internal Revenue Service |
JPMorgan | JPMorgan Chase Bank, N.A., the Funds' custodian |
LIBOR | London Interbank Offered Rate |
Management Agreement | The Management Agreements, as amended, if applicable, between a Trust, on behalf of the Funds, and the Investment Manager |
Marsico Capital | Marsico Capital Management, LLC |
Master Portfolio | Columbia International Value Master Portfolio, a series of Columbia Funds Master Investment Trust, LLC |
MetWest Capital | Metropolitan West Capital Management, LLC |
Moody’s | Moody’s Investors Service, Inc. |
NASDAQ | National Association of Securities Dealers Automated Quotations system |
Statement of Additional Information – January 1, 2016 | 3 |
Nations Funds | The Funds within the Columbia Funds Complex that historically bore the Nations brand and includes series of CFST |
NAV | Net asset value per share of a Fund |
NRSRO | Nationally recognized statistical ratings organization (such as, for example, Moody’s, Fitch or S&P) |
NSCC | National Securities Clearing Corporation |
NYSE | New York Stock Exchange |
Previous Adviser | Columbia Management Advisors, LLC, the investment adviser of certain Columbia Funds prior to May 1, 2010 when Ameriprise Financial acquired the long-term asset management business of the Previous Adviser, which is an indirect wholly-owned subsidiary of Bank of America. |
Previous Distributor | Columbia Management Distributors, Inc., the distributor of certain Columbia Funds prior to May 1, 2010 when Ameriprise Financial acquired the long-term asset management business of the Previous Adviser, which is an indirect wholly-owned subsidiary of Bank of America. |
Previous Transfer Agent | Columbia Management Services, Inc., the transfer agent of certain Columbia Funds prior to May 1, 2010 when Ameriprise Financial acquired the long-term asset management business of the Previous Adviser, which is an indirect wholly-owned subsidiary of Bank of America. |
REIT | Real estate investment trust |
REMIC | Real estate mortgage investment conduit |
RIC | A “regulated investment company,” as such term is used in the Code |
RiverSource Funds | The Funds within the Columbia Funds Complex that historically bore the RiverSource brand and includes series of CFST II |
S&P | Standard & Poor’s, a division of The McGraw-Hill Companies, Inc. (“Standard & Poor’s” and “S&P” are trademarks of The McGraw-Hill Companies, Inc. and have been licensed for use by the Investment Manager. The Columbia Funds are not sponsored, endorsed, sold or promoted by Standard & Poor’s and Standard & Poor’s makes no representation regarding the advisability of investing in the Columbia Funds) |
SAI | This Statement of Additional Information, as amended and supplemented from time-to-time |
SBH | Segall Bryant & Hamill, LLC |
Seligman Funds | The Funds within the Columbia Fund Complex that historically bore the Seligman brand and includes series of CFST II |
SEC | United States Securities and Exchange Commission |
Selling Agent(s) | One or more of the financial intermediaries that are authorized to sell shares of the Funds, which include, broker-dealers and financial advisors as well as firms that employ such broker-dealers and financial advisors, including, for example, brokerage firms, banks, investment advisors, third party administrators and other financial intermediaries, including Ameriprise Financial and its affiliates. |
Shares | Shares of a Fund |
State Tax-Exempt Funds and State Municipal Bond Funds | Collectively, AMT-Free CA Intermediate Muni Bond Fund, AMT-Free GA Intermediate Muni Bond Fund, AMT-Free MD Intermediate Muni Bond Fund, MN Tax-Exempt Fund, AMT-Free NC Intermediate Muni Bond Fund, AMT-Free SC Intermediate Muni Bond Fund and AMT-Free VA Intermediate Muni Bond Fund |
Sub-Advisory Agreement | The Subadvisory Agreement among the Trust on behalf of the Fund(s), the Investment Manager and a Fund’s investment subadviser(s), as the context may require |
Subsidiary | One or more wholly-owned subsidiaries of a Fund |
Threadneedle | Threadneedle International Limited |
Transfer Agency Agreement | The Transfer and Dividend Disbursing Agent Agreement between the Trust, on behalf of the Funds, and the Transfer Agent |
Statement of Additional Information – January 1, 2016 | 4 |
Transfer Agent | Columbia Management Investment Services Corp. |
Trustee(s) | One or more of the Board’s Trustees |
Trusts | CFST and CFST II, the registered investment companies in the Columbia Fund Family to which this SAI relates |
Fund Name: | Referred to as: | |
Active Portfolios Multi-Manager Value Fund | AP - Multi-Manager Value Fund | |
Columbia Absolute Return Currency and Income Fund | Absolute Return Currency and Income Fund | |
Columbia AMT-Free California Intermediate Muni Bond Fund | AMT-Free CA Intermediate Muni Bond Fund | |
Columbia AMT-Free Georgia Intermediate Muni Bond Fund | AMT-Free GA Intermediate Muni Bond Fund | |
Columbia AMT-Free Maryland Intermediate Muni Bond Fund | AMT-Free MD Intermediate Muni Bond Fund | |
Columbia AMT-Free North Carolina Intermediate Muni Bond Fund | AMT-Free NC Intermediate Muni Bond Fund | |
Columbia AMT-Free South Carolina Intermediate Muni Bond Fund | AMT-Free SC Intermediate Muni Bond Fund | |
Columbia AMT-Free Tax-Exempt Bond Fund | AMT-Free Tax-Exempt Bond Fund | |
Columbia AMT-Free Virginia Intermediate Muni Bond Fund | AMT-Free VA Intermediate Muni Bond Fund | |
Columbia Asia Pacific ex-Japan Fund | Asia Pacific ex-Japan Fund | |
Columbia Capital Allocation Aggressive Portfolio | Capital Allocation Aggressive Portfolio | |
Columbia Capital Allocation Conservative Portfolio | Capital Allocation Conservative Portfolio | |
Columbia Capital Allocation Moderate Aggressive Portfolio | Capital Allocation Moderate Aggressive Portfolio | |
Columbia Capital Allocation Moderate Conservative Portfolio | Capital Allocation Moderate Conservative Portfolio | |
Columbia Capital Allocation Moderate Portfolio | Capital Allocation Moderate Portfolio | |
Columbia Commodity Strategy Fund | Commodity Strategy Fund | |
Columbia Convertible Securities Fund | Convertible Securities Fund | |
Columbia Disciplined Core Fund | Disciplined Core Fund | |
Columbia Disciplined Growth Fund | Disciplined Growth Fund | |
Columbia Disciplined Value Fund | Disciplined Value Fund | |
Columbia Diversified Equity Income Fund | Diversified Equity Income Fund | |
Columbia Dividend Opportunity Fund | Dividend Opportunity Fund | |
Columbia Emerging Markets Bond Fund | Emerging Markets Bond Fund | |
Columbia European Equity Fund | European Equity Fund | |
Columbia Flexible Capital Income Fund | Flexible Capital Income Fund | |
Columbia Floating Rate Fund | Floating Rate Fund | |
Columbia Global Bond Fund | Global Bond Fund | |
Columbia Global Equity Value Fund | Global Equity Value Fund | |
Columbia Global Infrastructure Fund | Global Infrastructure Fund | |
Columbia Global Opportunities Fund | Global Opportunities Fund | |
Columbia Global Strategic Equity Fund | Global Strategic Equity Fund | |
Columbia High Yield Bond Fund | High Yield Bond Fund | |
Columbia Income Builder Fund | Income Builder Fund | |
Columbia Income Opportunities Fund | Income Opportunities Fund | |
Columbia Inflation Protected Securities Fund | Inflation Protected Securities Fund | |
Columbia International Opportunities Fund | International Opportunities Fund | |
Columbia International Value Fund | International Value Fund | |
Columbia Large Cap Enhanced Core Fund | Large Cap Enhanced Core Fund | |
Columbia Large Cap Growth Fund II | Large Cap Growth Fund II |
Statement of Additional Information – January 1, 2016 | 5 |
Fund Name: | Referred to as: | |
Columbia Large Cap Growth Fund III | Large Cap Growth Fund III | |
Columbia Large Cap Growth Fund IV | Large Cap Growth Fund IV | |
Columbia Large Cap Growth Fund V | Large Cap Growth Fund V | |
Columbia Large Cap Index Fund | Large Cap Index Fund | |
Columbia Limited Duration Credit Fund | Limited Duration Credit Fund | |
Columbia Mid Cap Index Fund | Mid Cap Index Fund | |
Columbia Mid Cap Value Fund | Mid Cap Value Fund | |
Columbia Minnesota Tax-Exempt Fund | MN Tax-Exempt Fund | |
Columbia Money Market Fund | Money Market Fund | |
Columbia Mortgage Opportunities Fund | Mortgage Opportunities Fund | |
Columbia Multi-Advisor Small Cap Value Fund | Multi-Advisor Small Cap Value Fund | |
Columbia Overseas Value Fund | Overseas Value Fund | |
Columbia Select Global Equity Fund | Select Global Equity Fund | |
Columbia Select Global Growth Fund | Select Global Growth Fund | |
Columbia Select International Equity Fund | Select International Equity Fund | |
Columbia Select Large Cap Equity Fund | Select Large Cap Equity Fund | |
Columbia Select Large-Cap Value Fund | Select Large-Cap Value Fund | |
Columbia Select Smaller-Cap Value Fund | Select Smaller-Cap Value Fund | |
Columbia Seligman Communications and Information Fund | Seligman Communications and Information Fund | |
Columbia Seligman Global Technology Fund | Seligman Global Technology Fund | |
Columbia Short Term Bond Fund | Short Term Bond Fund | |
Columbia Short Term Municipal Bond Fund | Short Term Municipal Bond Fund | |
Columbia Small Cap Index Fund | Small Cap Index Fund | |
Columbia Small Cap Value Fund II | Small Cap Value Fund II | |
Columbia Small/Mid Cap Value Fund | Small/Mid Cap Value Fund | |
Columbia U.S. Government Mortgage Fund | U.S. Government Mortgage Fund |
Statement of Additional Information – January 1, 2016 | 6 |
Fund | Fiscal Year End | Prospectus Date |
Date
Began
Operations* |
Diversified** | Fund Investment Category*** |
Absolute Return Currency and Income Fund | October 31 | 3/1/2015 | 6/15/2006 | Yes | Alternative |
AMT-Free CA Intermediate Muni Bond Fund | April 30 | 9/1/2015 | 8/19/2002 | Yes | Tax-exempt fixed income |
AMT-Free GA Intermediate Muni Bond Fund | April 30 | 9/1/2015 | 3/1/1992 | Yes | Tax-exempt fixed income |
AMT-Free MD Intermediate Muni Bond Fund | April 30 | 9/1/2015 | 9/1/1990 | No | Tax-exempt fixed income |
AMT-Free NC Intermediate Muni Bond Fund | April 30 | 9/1/2015 | 12/11/1992 | Yes | Tax-exempt fixed income |
AMT-Free SC Intermediate Muni Bond Fund | April 30 | 9/1/2015 | 1/6/1992 | Yes | Tax-exempt fixed income |
AMT-Free Tax-Exempt Bond Fund | July 31 | 12/1/2015 | 11/24/1976 | Yes | Tax-exempt fixed income |
AMT-Free VA Intermediate Muni Bond Fund | April 30 | 9/1/2015 | 9/20/1989 | Yes | Tax-exempt fixed income |
AP - Multi-Manager Value Fund | May 31 | 10/1/2015 | 4/20/2012 | Yes | Equity |
Asia Pacific ex-Japan Fund | October 31 | 3/1/2015 | 7/15/2009 | Yes | Equity |
Capital Allocation Aggressive Portfolio | January 31 | 6/1/2015 | 3/4/2004 | Yes | Fund-of-funds – equity |
Capital Allocation Conservative Portfolio | January 31 | 6/1/2015 | 3/4/2004 | Yes | Fund-of-funds – fixed income |
Capital Allocation Moderate Aggressive Portfolio | January 31 | 6/1/2015 | 10/15/1996 | Yes | Fund-of-funds – equity |
Capital Allocation Moderate Conservative Portfolio | January 31 | 6/1/2015 | 10/15/1996 | Yes | Fund-of-funds – fixed income |
Capital Allocation Moderate Portfolio | January 31 | 6/1/2015 | 3/4/2004 | Yes | Fund-of-funds – equity |
Commodity Strategy Fund | May 31 | 10/1/2015 | 7/28/2011 | Yes | Equity |
Convertible Securities Fund | February 28/29 | 7/1/2015 | 9/25/1987 | Yes | Equity |
Disciplined Core Fund | July 31 | 12/1/2015 | 4/24/2003 | Yes | Equity |
Disciplined Growth Fund | July 31 | 12/1/2015 | 5/17/2007 | Yes | Equity |
Disciplined Value Fund | July 31 | 12/1/2015 | 8/1/2008 | Yes | Equity |
Diversified Equity Income Fund | May 31 | 10/1/2015 | 10/15/1990 | Yes | Equity |
Dividend Opportunity Fund | May 31 | 10/1/2015 | 8/1/1988 | Yes | Equity |
Emerging Markets Bond Fund | October 31 | 3/1/2015 | 2/16/2006 | No | Taxable fixed income |
European Equity Fund | October 31 | 3/1/2015 | 6/26/2000 | Yes | Equity |
Flexible Capital Income Fund | May 31 | 10/1/2015 | 7/28/2011 | Yes | Flexible |
Floating Rate Fund | July 31 | 12/1/2015 | 2/16/2006 | Yes | Taxable fixed income |
Global Bond Fund | October 31 | 3/1/2015 | 3/20/1989 | No | Taxable fixed income |
Global Equity Value Fund | February 28/29 | 7/1/2015 | 5/14/1984 | Yes | Equity |
Global Infrastructure Fund | April 30 | 9/1/2015 | 2/19/2009 | Yes | Equity |
Statement of Additional Information – January 1, 2016 | 7 |
Fund | Fiscal Year End | Prospectus Date |
Date
Began
Operations* |
Diversified** | Fund Investment Category*** |
Global Opportunities Fund | July 31 | 12/1/2015 | 1/28/1985 | Yes | Flexible |
Global Strategic Equity Fund | January 31 | 6/1/2015 | 10/15/1996 | Yes | Fund-of-funds – equity |
High Yield Bond Fund | May 31 | 10/1/2015 | 12/8/1983 | Yes | Taxable fixed income |
Income Builder Fund | January 31 | 6/1/2015 | 2/16/2006 | Yes | Fund-of-funds – fixed income |
Income Opportunities Fund | July 31 | 12/1/2015 | 6/19/2003 | Yes | Taxable fixed income |
Inflation Protected Securities Fund | July 31 | 12/1/2015 | 3/4/2004 | No | Taxable fixed income |
International Opportunities Fund | February 28/29 | 7/1/2015 | 8/1/2000 | Yes | Equity |
International Value Fund | February 28/29 | 7/1/2015 | 12/27/1995 | Yes | Equity |
Large Cap Enhanced Core Fund | February 28/29 | 7/1/2015 | 7/31/1996 | Yes | Equity |
Large Cap Growth Fund II | February 28/29 | 7/1/2015 | 4/10/2000 | Yes | Equity |
Large Cap Growth Fund III | February 28/29 | 7/1/2015 | 12/31/1997 | No | Equity |
Large Cap Growth Fund IV | August 31 | 1/1/2016 | 9/28/2010 | Yes | Equity |
Large Cap Growth Fund V | February 28/29 | 7/1/2015 | 12/31/1997 | Yes | Equity |
Large Cap Index Fund | February 28/29 | 7/1/2015 | 12/15/1993 | Yes | Equity |
Limited Duration Credit Fund | July 31 | 12/1/2015 | 6/19/2003 | Yes | Taxable fixed income |
Mid Cap Index Fund | February 28/29 | 7/1/2015 | 3/31/2000 | Yes | Equity |
Mid Cap Value Fund | February 28/29 | 7/1/2015 | 11/20/2001 | Yes | Equity |
MN Tax-Exempt Fund | July 31 | 12/1/2015 | 8/18/1986 | No | Tax-exempt fixed income |
Money Market Fund | July 31 | 12/1/2015 | 10/6/1975 | Yes | Taxable money market |
Mortgage Opportunities Fund | May 31 | 10/1/2015 | 4/30/2014 | No | Taxable fixed income |
Multi-Advisor Small Cap Value Fund | May 31 | 10/1/2015 | 6/18/2001 | Yes | Equity |
Overseas Value Fund | February 28/29 | 7/1/2015 | 3/31/2008 | Yes | Equity |
Select Global Equity Fund | October 31 | 3/1/2015 | 5/29/1990 | Yes | Equity |
Select Global Growth Fund | February 28/29 | 7/1/2015 | 4/30/2008 | Yes | Equity |
Select International Equity Fund | February 28/29 | 7/1/2015 | 12/2/1991 | Yes | Equity |
Select Large Cap Equity Fund | February 28/29 | 7/1/2015 | 10/2/1998 | Yes | Equity |
Select Large-Cap Value Fund | May 31 | 10/1/2015 | 4/25/1997 | Yes | Equity |
Select Smaller-Cap Value Fund | May 31 | 10/1/2015 | 4/25/1997 | Yes | Equity |
Seligman Communications and Information Fund | May 31 | 10/1/2015 | 6/23/1983 | No | Equity |
Seligman Global Technology Fund | October 31 | 3/1/2015 | 5/23/1994 | No | Equity |
Short Term Bond Fund | March 31 | 8/1/2015 | 9/30/1992 | Yes | Taxable fixed income |
Short Term Municipal Bond Fund | April 30 | 9/1/2015 | 10/7/1993 | Yes | Tax-exempt fixed income |
Small Cap Index Fund | February 28/29 | 7/1/2015 | 10/15/1996 | Yes | Equity |
Small Cap Value Fund II | February 28/29 | 7/1/2015 | 5/1/2002 | Yes | Equity |
Small/Mid Cap Value Fund | May 31 | 10/1/2015 | 2/14/2002 | Yes | Equity |
U.S. Government Mortgage Fund | May 31 | 10/1/2015 | 2/14/2002 | Yes | Taxable fixed income |
* | Certain Funds reorganized into series of the Trust. The date of operations for these Funds represents the date on which the predecessor funds began operation. |
** | A “diversified” Fund may not, with respect to 75% of its total assets, invest more than 5% of its total assets in securities of any one issuer or purchase more than 10% of the outstanding voting securities of any one issuer, except obligations issued or guaranteed by the U.S. |
Statement of Additional Information – January 1, 2016 | 8 |
Government, its agencies or instrumentalities and except securities of other investment companies. A “non-diversified” Fund may invest a greater percentage of its total assets in the securities of fewer issuers than a “diversified” fund, which increases the risk that a change in the value of any one investment held by the Fund could affect the overall value of the Fund more than it would affect that of a “diversified” fund holding a greater number of investments. Accordingly, a “non-diversified” Fund’s value will likely be more volatile than the value of a more diversified fund. |
*** | The Fund Investment Category is used as a convenient way to describe Funds in this SAI and should not be deemed a description of the Fund’s principal investment strategies, which are described in the Fund’s prospectus. |
Fund | Effective Date of Name Change | Previous Fund Name |
AMT-Free CA Intermediate Muni Bond Fund | July 7, 2014 | Columbia California Intermediate Municipal Bond Fund |
AMT-Free GA Intermediate Muni Bond Fund | July 7, 2014 | Columbia Georgia Intermediate Municipal Bond Fund |
AMT-Free MD Intermediate Muni Bond Fund | July 7, 2014 | Columbia Maryland Intermediate Municipal Bond Fund |
AMT-Free NC Intermediate Muni Bond Fund | July 7, 2014 | Columbia North Carolina Intermediate Municipal Bond Fund |
AMT-Free SC Intermediate Muni Bond Fund | July 7, 2014 | Columbia South Carolina Intermediate Municipal Bond Fund |
AMT-Free VA Intermediate Muni Bond Fund | July 7, 2014 | Columbia Virginia Intermediate Municipal Bond Fund |
AP - Multi-Manager Value Fund | December 11, 2013 | Columbia Active Portfolios – Diversified Equity Income Fund |
Capital Allocation Aggressive Portfolio | December 14, 2012 | Columbia Portfolio Builder Aggressive Fund |
Capital Allocation Conservative Portfolio | December 14, 2012 | Columbia Portfolio Builder Conservative Fund |
Capital Allocation Moderate Aggressive Portfolio | December 14, 2012 | Columbia LifeGoal Balanced Growth Fund |
Capital Allocation Moderate Conservative Portfolio | December 14, 2012 | Columbia LifeGoal Income and Growth Portfolio |
Capital Allocation Moderate Portfolio | December 14, 2012 | Columbia Portfolio Builder Moderate Fund |
Disciplined Core Fund | December 21, 2015 | Columbia Large Core Quantitative Fund |
Disciplined Growth Fund | December 21, 2015 | Columbia Large Growth Quantitative Fund |
Disciplined Value Fund | December 21, 2015 | Columbia Large Value Quantitative Fund |
Global Equity Value Fund | September 5, 2014 | Columbia Equity Value Fund |
Global Infrastructure Fund | December 11, 2013 | Columbia Recovery and Infrastructure Fund |
Global Opportunities Fund | December 14, 2012 | Columbia Strategic Allocation Fund |
Global Strategic Equity Fund | June 2, 2015 | Columbia LifeGoal ® Growth Portfolio |
International Opportunities Fund | May 1, 2015 | Columbia Marsico International Opportunities Fund |
Large Cap Growth Fund II | November 20, 2015 | Columbia Marsico 21st Century Fund |
Large Cap Growth Fund III | November 20, 2015 | Columbia Marsico Focused Equities Fund |
Large Cap Growth Fund IV | November 20, 2015 | Columbia Marsico Flexible Capital Fund |
Large Cap Growth Fund V | November 20, 2015 | Columbia Marsico Growth Fund |
Select Global Equity Fund | January 15, 2015 | Columbia Global Equity Fund |
Select Global Growth Fund | November 20, 2015 | Columbia Marsico Global Fund |
Select International Equity Fund | May 1, 2015 | Columbia Multi-Advisor International Equity Fund |
Select Large Cap Equity Fund | December 11, 2013 | Columbia Large Cap Core Fund |
Statement of Additional Information – January 1, 2016 | 9 |
Fund | Effective Date of Name Change | Previous Fund Name |
Small/Mid Cap Value Fund | July 7, 2014 | Columbia Mid Cap Value Opportunity |
Statement of Additional Information – January 1, 2016 | 10 |
Fund |
A
Buy or sell real estate |
B
Buy or sell commodities |
C
Issuer Diversification |
D
Concentrate in any one industry |
E
Invest 80% |
F
Act as an underwriter |
G
Lending |
H
Borrow money |
I
Issue senior securities |
J
Buy on margin/ sell short |
Absolute Return Currency and Income Fund | A1 | B1 | C5 | D13 | — | F1 | G1 | H1 | I1 | — |
AMT-Free CA Intermediate Muni Bond Fund | A5 | B6 | C2 | D6 | E3 | F3 | G3 | H2 | I3 | — |
AMT-Free GA Intermediate Muni Bond Fund | A5 | B6 | C2 | D6 | E3 | F3 | G3 | H2 | I3 | — |
AMT-Free MD Intermediate Muni Bond Fund | A5 | B6 | — | D6 | E3 | F3 | G3 | H2 | I3 | — |
AMT-Free NC Intermediate Muni Bond Fund | A5 | B6 | C2 | D6 | E3 | F3 | G3 | H2 | I3 | — |
AMT-Free SC Intermediate Muni Bond Fund | A5 | B6 | C2 | D6 | E3 | F3 | G3 | H2 | I3 | — |
AMT-Free Tax-Exempt Bond Fund | A1 | B1 | C1 | D7 | E2 (a) | F1 | G1 | H1 | I1 | — |
AMT-Free VA Intermediate Muni Bond Fund | A5 | B6 | C2 | D6 | E3 | F3 | G3 | H2 | I3 | — |
AP - Multi-Manager Value Fund | A1 | B8 | C5 | D13 | — | F1 | G1 | H1 | I1 | — |
Asia Pacific ex-Japan Fund | A1 | B2 | C5 | D1 | — | F1 | G1 | H1 | I1 | — |
Capital Allocation Aggressive Portfolio | A1 | B1 | C5 | D2 | — | F1 | G1 | H1 | I1 | — |
Capital Allocation Conservative Portfolio | A1 | B1 | C5 | D2 | — | F1 | G1 | H1 | I1 | — |
Capital Allocation Moderate Aggressive Portfolio | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Capital Allocation Moderate Conservative Portfolio | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Capital Allocation Moderate Portfolio | A1 | B1 | C5 | D2 | — | F1 | G1 | H1 | I1 | — |
Commodity Strategy Fund | A1 | B9 | C5 | D5 | — | F1 | G1 | H1 | I1 | — |
Convertible Securities Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Statement of Additional Information – January 1, 2016 | 11 |
Fund |
A
Buy or sell real estate |
B
Buy or sell commodities |
C
Issuer Diversification |
D
Concentrate in any one industry |
E
Invest 80% |
F
Act as an underwriter |
G
Lending |
H
Borrow money |
I
Issue senior securities |
J
Buy on margin/ sell short |
Disciplined Core Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Disciplined Growth Fund | A1 | B2 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Disciplined Value Fund | A1 | B2 | C5 | D1 | — | F1 | G1 | H1 | I1 | — |
Diversified Equity Income Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Dividend Opportunity Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Emerging Markets Bond Fund | A1 | B3 | — | D3 | — | F1 | G1 | H1 | I1 | — |
European Equity Fund | A1 | B1 | — | D1 | — | F1 | G1 | H1 | I1 | — |
Flexible Capital Income Fund | A1 | B9 | C5 | D5 | — | F1 | G1 | H1 | I1 | — |
Floating Rate Fund | A1 | B3 | C1 | D4 | — | F1 | G1 | H1 | I1 | — |
Global Bond Fund | A1 | B1 | C6 | D1 | — | F1 | G1 | H1 | I1 | — |
Global Equity Value Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Global Infrastructure Fund | A1 | B3 | C5 | D1 | — | F1 | G1 | H1 | I1 | — |
Global Opportunities Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Global Strategic Equity Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
High Yield Bond Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Income Builder Fund | A1 | B3 | C5 | D2 | — | F1 | G1 | H1 | I1 | — |
Income Opportunities Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Inflation Protected Securities Fund | A1 | B1 | — | D1 | — | F1 | G1 | H1 | I1 | — |
International Opportunities Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
International Value Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Large Cap Enhanced Core Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Large Cap Growth Fund II | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Large Cap Growth Fund III | A5 | B6 | — | D6 | — | F3 | G3 | H2 | I3 | — |
Large Cap Growth Fund IV | A4 | B3 | C5 | D10 | — | F1 | G1 | H1 | I1 | — |
Large Cap Growth Fund V | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Large Cap Index Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Limited Duration Credit Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Mid Cap Index Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Mid Cap Value Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
MN Tax-Exempt Fund | A1 | B1 | — | D7 | E1 | F1 | G1 | H1 | I1 | — |
Money Market Fund | A2 | A2 | C1 | — | — | F1 | G1 | H1 | I1 | J1 |
Mortgage Opportunities Fund | A1 | B1 | — | D12 | — | F1 | G1 | H1 | I1 | — |
Multi-Advisor Small Cap Value Fund | A1 | B2 | — | D1 | — | F1 | G1 | H1 | I1 | — |
Overseas Value Fund | A6 | B7 | C4 | D13 | — | F4 | G4 | H3 | I4 | — |
Select Global Equity Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
Select Global Growth Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Select International Equity Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Select Large Cap Equity Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Select Large-Cap Value Fund | A3 | B5 | C3 | D11 | — | F2 | G2 | I2 | I2 | J2 |
Select Smaller-Cap Value Fund | A3 | B5 | C3 | D11 | — | F2 | G2 | I2 | I2 | J2 |
Seligman Communications and Information Fund | A3 | B5 | — | D9 | — | F2 | G2 | I2 | I2 | J2 |
Seligman Global Technology Fund | A3 | B5 | — | D8 | — | F2 | G2 | I2 | I2 | J2 |
Statement of Additional Information – January 1, 2016 | 12 |
Fund |
A
Buy or sell real estate |
B
Buy or sell commodities |
C
Issuer Diversification |
D
Concentrate in any one industry |
E
Invest 80% |
F
Act as an underwriter |
G
Lending |
H
Borrow money |
I
Issue senior securities |
J
Buy on margin/ sell short |
Short Term Bond Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Short Term Municipal Bond Fund | A5 | B6 | C2 | D6 | E4 | F3 | G3 | H2 | I3 | — |
Small Cap Index Fund | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Small Cap Value Fund II | A5 | B6 | C2 | D6 | — | F3 | G3 | H2 | I3 | — |
Small/Mid Cap Value Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
U.S. Government Mortgage Fund | A1 | B1 | C1 | D1 | — | F1 | G1 | H1 | I1 | — |
(a) | The Fund does not intend to purchase bonds or other debt securities, the interest from which is subject to the alternative minimum tax. |
A. | Buy or sell real estate |
A1 – | The Fund will not buy or sell real estate, unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the Fund from investing in securities or other instruments backed by real estate or securities of companies engaged in the real estate business or real estate investment trusts. For purposes of this policy, real estate includes real estate limited partnerships. |
A2 – | The Fund will not buy or sell real estate, commodities or commodity contracts. For purposes of this policy, real estate includes real estate limited partnerships. |
A3 – | The Fund will not purchase or hold any real estate, except that a Fund may invest in securities secured by real estate or interests therein or issued by persons (other than real estate investment trusts) which deal in real estate or interests therein. |
A4 – | The Fund will not buy or sell real estate, unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the Fund from investing in securities or other instruments backed by real estate or securities of companies engaged in the real estate business, real estate investment trusts (REITs) or entities similar to REITs formed under the laws of non-U.S. companies. For purposes of this policy, real estate includes real estate limited partnerships. |
A5 – | The Fund may not purchase or sell real estate, except the Fund may purchase securities of issuers which deal or invest in real estate and may purchase securities which are secured by real estate or interests in real estate. |
A6 – | The Fund may not purchase or sell real estate, except the Fund may: (i) purchase securities of issuers which deal or invest in real estate, (ii) purchase securities which are secured by real estate or interests in real estate and (iii) hold and dispose of real estate or interests in real estate acquired through the exercise of its rights as a holder of securities which are secured by real estate or interests therein. |
B1 – | The Fund will not buy or sell physical commodities unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the Fund from buying or selling options and futures contracts (and, in the case of Mortgage Opportunities Fund, swaps) or from investing in securities or other instruments backed by, or whose value is derived from, physical commodities. |
B2 – | The Fund will not buy or sell physical commodities unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the Fund from buying or selling options, futures contracts and foreign currency or from investing in securities or other instruments backed by, or whose value is derived from, physical commodities. |
B3 – | The Fund will not buy or sell physical commodities unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the Fund from buying or selling options, futures contracts and foreign currency (and, in the case of Large Cap Growth Fund IV, swaps) or from entering into forward currency contracts or from investing in securities or other instruments backed by, or whose value is derived from, physical commodities. |
B4 – | The Fund will not buy or sell commodities, except that the Fund may to the extent consistent with its investment objective(s), invest in securities of companies that purchase or sell commodities or which invest in such programs, and purchase and sell options, forward contracts, futures contracts, and options on futures contracts and enter into swap contracts and other financial transactions relating to commodities. This restriction does not apply to foreign currency transactions including without limitation forward currency contracts. |
Statement of Additional Information – January 1, 2016 | 13 |
B5 – | The Fund will not purchase or sell commodities or commodity contracts, except to the extent permissible under applicable law and interpretations, as they may be amended from time to time. |
B6 – | The Fund may not purchase or sell commodities, except that the Fund may, to the extent consistent with its investment objective, invest in securities of companies that purchase or sell commodities or which invest in such programs, and purchase and sell options, forward contracts, futures contracts, and options on futures contracts. This limitation does not apply to foreign currency transactions, including, without limitation, forward currency contracts. |
B7 – | The Fund may not purchase or sell commodities, except that the Fund may to the extent consistent with its investment objective: (i) invest in securities of companies that purchase or sell commodities or which invest in such programs, (ii) purchase and sell options, forward contracts, futures contracts, and options on futures contracts and (iii) enter into swap contracts and other financial transactions relating to commodities. This limitation does not apply to foreign currency transactions including without limitation forward currency contracts. |
B8 – | The Fund will not buy or sell commodities unless acquired as a result of ownership of securities or other instruments, except this shall not prevent the Fund from transacting in derivative instruments relating to commodities, including but not limited to, buying or selling options, swap contracts or futures contracts, or from investing in securities or other instruments backed by, or whose value is derived from, commodities. |
B9 – | The Fund will not buy or sell physical commodities, except that the Fund may to the extent consistent with its investment objective(s), invest in securities of companies that purchase or sell commodities or commodities contracts or which invest in such programs, and the Fund may, without limitation by this restriction, purchase and sell options, forward contracts, commodities futures contracts, commodity-linked notes, and options on futures contracts and enter into swap contracts and other financial transactions relating to, or that are secured by, physical commodities or commodity indices. This restriction does not apply to foreign currency transactions including without limitation forward currency contracts. This restriction also does not prevent Columbia Commodity Strategy Fund from investing up to 25% of its total assets in one or more wholly-owned subsidiaries (as described further herein and referred to herein collectively as the “Subsidiary”), thereby gaining exposure to the investment returns of commodities markets within the limitations of the federal tax requirements. |
* | For purposes of the fundamental investment policy on buying and selling physical commodities above, at the time of the establishment of the restriction for certain Funds, swap contracts on financial instruments or rates were not within the understanding of the term “commodities.” Notwithstanding any federal legislation or regulatory action by the CFTC that subjects such swaps to regulation by the CFTC, these Funds will not consider such instruments to be commodities for purposes of this restriction. |
C. | Issuer Diversification* |
C1 – | The Fund will not purchase more than 10% of the outstanding voting securities of an issuer, except that up to 25% of the Fund’s assets may be invested without regard to this 10% limitation. For tax-exempt Funds, for purposes of this policy, the terms of a municipal security determine the issuer. The Fund will not invest more than 5% of its total assets in securities of any company, government, or political subdivision thereof, except the limitation will not apply to investments in securities issued or guaranteed by the U.S. government, its agencies, or instrumentalities, or other investment companies, and except that up to 25% of the Fund’s total assets may be invested without regard to this 5% limitation. For tax-exempt Funds, for purposes of this policy, the terms of a municipal security determine the issuer. |
C2 – | The Fund may not purchase securities (except securities issued or guaranteed by the U.S. Government, its agencies or instrumentalities) of any one issuer if, as a result, more than 5% of its total assets will be invested in the securities of such issuer or it would own more than 10% of the voting securities of such issuer, except that: (i) up to 25% of its total assets may be invested without regard to these limitations; and (ii) a Fund’s assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder, and any exemptive relief obtained by the Fund. |
C3 – | The Fund will not make any investment inconsistent with its classification as a diversified company under the 1940 Act. |
C4 – | The Fund may not purchase securities (except securities issued or guaranteed by the U.S. Government, its agencies or instrumentalities) of any one issuer if, as a result, more than 5% of its total assets will be invested in the securities of such issuer or it would own more than 10% of the voting securities of such issuer, except that: (a) up to 25% of its total assets may be invested without regard to these limitations; and (b) the Fund’s assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder, or any applicable exemptive relief obtained by the Fund. |
C5 – | The Fund will not purchase securities (except securities issued or guaranteed by the U.S. Government, its agencies or instrumentalities) of any one issuer if, as a result, more than 5% of its total assets will be invested in the securities of |
Statement of Additional Information – January 1, 2016 | 14 |
such issuer or it would own more than 10% of the voting securities of such issuer, except that: (a) up to 25% of its total assets may be invested without regard to these limitations; and (b) a Fund’s assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder, or any applicable exemptive relief. | |
C6 – | The Fund will not purchase more than 10% of the outstanding voting securities of an issuer, except that up to 25% of the Fund’s assets may be invested without regard to this 10% limitation. For tax-exempt Funds, for purposes of this policy, the terms of a municipal security determine the issuer. |
* | For purposes of applying the limitation set forth in its issuer diversification policy above, a Fund does not consider futures or swaps central counterparties, where the Fund has exposure to such central counterparties in the course of making investments in futures and securities, to be issuers. |
D. | Concentration* |
D1 – | The Fund will not concentrate in any one industry. According to the present interpretation by the SEC, this means that up to 25% of the Fund’s total assets, based on current market value at time of purchase, can be invested in any one industry. |
D2 – | The Fund will not concentrate in any one industry. According to the present interpretation by the SEC, this means that up to 25% of the Fund’s total assets, based on current market value at time of purchase, can be invested in any one industry. The Fund itself does not intend to concentrate, however, the aggregation of holdings of the underlying funds may result in the Fund indirectly investing more than 25% of its assets in a particular industry. The Fund does not control the investments of the underlying funds and any indirect concentration will occur only as a result of the Fund following its investment objectives by investing in the underlying funds. |
D3 – | While the Fund may invest 25% or more of its total assets in the securities of foreign governmental and corporate entities located in the same country, it will not invest 25% or more of its total assets in any single foreign governmental issuer. |
D4 – | The Fund will not concentrate in any one industry. According to the present interpretation by the SEC, this means that up to 25% of the Fund’s total assets, based on current market value at time of purchase, can be invested in any one industry. For purposes of this restriction, loans will be considered investments in the industry of the underlying borrower, rather than that of the seller of the loan. |
D5 – | The Fund will not invest 25% or more of its total assets in securities of corporate issuers engaged in any one industry. The foregoing restriction does not apply to securities issued or guaranteed by the U.S. Government or any of its agencies or instrumentalities, or repurchase agreements secured by them. In addition, the foregoing restriction shall not apply to or limit, Commodity Strategy Fund’s counterparties in commodities-related transactions. |
D6 – | The Fund may not purchase any securities which would cause 25% or more of the value of its total assets at the time of purchase to be invested in the securities of one or more issuers conducting their principal business activities in the same industry, provided that: a) there is no limitation with respect to obligations issued or guaranteed by the U.S. Government, any state or territory of the United States, or any of their agencies, instrumentalities or political subdivisions; and b) notwithstanding this limitation or any other fundamental investment limitation, assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder and any exemptive relief obtained by the Fund. |
D7 – | The Fund will not invest more than 25% of total assets, at market value, in any one industry; except that municipal securities and securities of the U.S. Government, its agencies and instrumentalities are not considered an industry for purposes of this limitation. |
D8 – | The Fund will, under normal market conditions, invest at least 25% of the value of its total assets at the time of purchase in the securities of issuers conducting their principal business activities in the technology and related group of industries, provided that: (i) there is no limitation with respect to obligations issued or guaranteed by the U.S. Government, any state or territory of the United States or any of their agencies, instrumentalities or political subdivisions; and (ii) notwithstanding this limitation or any other fundamental investment limitation, assets may be invested in the securities of one or more management investment companies or subsidiaries to the extent permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
D9 – | The Fund will not invest 25% or more of its total assets, at market value, in the securities of issuers in any particular industry, except that the Fund will invest at least 25% of the value of its total assets in securities of companies principally engaged in the communications, information and related industries and provided that this limitation shall exclude securities issued or guaranteed by the U.S. Government or any of its agencies or instrumentalities. |
Statement of Additional Information – January 1, 2016 | 15 |
D10 – | The Fund will not concentrate in any one industry (other than U.S. Government securities, provided that this limitation shall exclude securities issued or guaranteed by the U.S. Government or any of its agencies or instrumentalities). According to the present interpretation by the SEC, this means that up to 25% of the Fund’s total assets, based on current market value at time of purchase, can be invested in any one industry. |
D11 – | The Fund will not invest 25% or more of its total assets, at market value, in the securities of issuers in any particular industry, provided that this limitation shall exclude securities issued or guaranteed by the U.S. Government or any of its agencies or instrumentalities. |
D12 – | The Fund will not purchase any securities which would cause 25% or more of the value of its total assets at the time of purchase to be invested in the securities of one or more issuers conducting their principal business activities in the same industry, provided that: i) there is no limitation with respect to obligations issued or guaranteed by the U.S. Government, any state, municipality or territory of the United States, or any of their agencies, instrumentalities or political subdivisions; and ii) notwithstanding this limitation or any other fundamental investment limitation, assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief obtained by the Fund. Consistent with the Fund’s investment objective and strategies, the Fund may invest 25% or more of its total assets in securities issued by sovereign and quasi-sovereign ( e.g. , government agencies or instrumentalities) foreign governmental issuers or obligors, including in emerging market countries, but it will not invest 25% or more of its total assets in any single foreign governmental issuer. |
D13 – | The Fund will not purchase any securities which would cause 25% or more of the value of its total assets at the time of purchase to be invested in the securities of one or more issuers conducting their principal business activities in the same industry, provided that: (i) there is no limitation with respect to obligations issued or guaranteed by the U.S. Government, any state or territory of the United States, or any of their agencies, instrumentalities or political subdivisions; and (ii) notwithstanding this limitation or any other fundamental investment limitation, assets may be invested in the securities of one or more management investment companies to the extent permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
* | For purposes of applying the limitation set forth in its concentration policy, above, a Fund will generally use the industry classifications provided by the Global Industry Classification System (GICS) for classification of issuers of equity securities and the classifications provided by the Barclays Capital Aggregate Bond Index for classification of issues of fixed-income securities. The Fund does not consider futures or swaps clearinghouses or securities clearinghouses, where the Fund has exposure to such clearinghouses in the course of making investments in futures and securities, to be part of any industry. |
E. | Invest 80% |
E1 – | The Fund will not under normal market conditions, invest less than 80% of its net assets in municipal obligations that are generally exempt from federal income tax as well as respective state and local income tax. |
E2 – | The Fund will not under normal market conditions, invest less than 80% of its net assets in bonds and other debt securities issued by or on behalf of state or local governmental units whose interest, in the opinion of counsel for the issuer, is exempt from federal income tax. |
E3 – | The Fund will invest at least 80% of its net assets in securities that pay interest exempt from federal income tax, other than the federal alternative minimum tax, and state individual income tax. |
E4 – | The Fund will invest at least 80% of its net assets in securities that pay interest exempt from federal income tax, other than the federal alternative minimum tax |
F. | Act as an underwriter |
F1 – | The Fund will not act as an underwriter (sell securities for others). However, under the securities laws, the Fund may be deemed to be an underwriter when it purchases securities directly from the issuer and later resells them. |
F2 – | The Fund will not underwrite the securities of other issuers, except insofar as the Fund may be deemed an underwriter under the 1933 Act in disposing of a portfolio security or in connection with investments in other investment companies. |
F3 – | The Fund may not underwrite any issue of securities within the meaning of the 1933 Act except when it might technically be deemed to be an underwriter either: (i) in connection with the disposition of a portfolio security; or (ii) in connection with the purchase of securities directly from the issuer thereof in accordance with its investment objective. This restriction shall not limit the Fund’s ability to invest in securities issued by other registered management investment companies. |
F4 – | The Fund may not underwrite any issue of securities issued by other persons within the meaning of the 1933 Act except when it might be deemed to be an underwriter either: (i) in connection with the disposition of a portfolio |
Statement of Additional Information – January 1, 2016 | 16 |
security; or (ii) in connection with the purchase of securities directly from the issuer thereof in accordance with its investment objective. This restriction shall not limit the Fund’s ability to invest in securities issued by other registered investment companies. |
G. | Lending |
G1 – | The Fund will not lend securities or participate in an interfund lending program if the total of all such loans would exceed 33 1 ⁄ 3 % of the Fund’s total assets except this fundamental investment policy shall not prohibit the Fund from purchasing money market securities, loans, loan participation or other debt securities, or from entering into repurchase agreements. For funds-of-funds – equity, under current Board policy, the Fund has no current intention to borrow to a material extent. |
G2 – | The Fund will not make loans, except as permitted by the 1940 Act or any rule thereunder, any SEC or SEC staff interpretations thereof or any exemptions therefrom which may be granted by the SEC. |
G3 – | The Fund may not make loans, except to the extent permitted by the 1940 Act, the rules and regulations thereunder and any exemptive relief obtained by the Fund. |
G4 – | The Fund may not make loans, except to the extent permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
H. | Borrowing* |
H1 – | The Fund will not borrow money, except for temporary purposes (not for leveraging or investment) in an amount not exceeding 33 1 ⁄ 3 % of its total assets (including the amount borrowed) less liabilities (other than borrowings) immediately after the borrowings. For funds-of-funds – equity, under current Board policy, the Fund has no current intention to borrow to a material extent. |
H2 – | The Fund may not borrow money except to the extent permitted by the 1940 Act, the rules and regulations thereunder and any exemptive relief obtained by the Fund. |
H3 – | The Fund may not borrow money except to the extent permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
* | For purposes of the policies described herein, this restriction shall not prevent the Funds from engaging in derivatives, short sales or other portfolio transactions that create leverage, as allowed by each Fund’s investment policies. |
I. | Issue senior securities |
I1 – | The Fund will not issue senior securities, except as permitted under the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
I2 – | The Fund will not issue senior securities or borrow money, except as permitted by the 1940 Act or any rule thereunder, any SEC or SEC staff interpretations thereof or any exemptions therefrom which may be granted by the SEC. |
I3 – | The Fund may not issue senior securities except to the extent permitted by the 1940 Act, the rules and regulations thereunder and any exemptive relief obtained by the Fund. |
I4 – | The Fund may not issue senior securities except to the extent permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
J. | Buy on margin/sell short |
J1 – | The Fund will not buy on margin or sell short or deal in options to buy or sell securities. |
J2 – | The Fund will not purchase securities on margin except as permitted by the 1940 Act or any rule thereunder, any SEC or SEC staff interpretations thereof or any exemptions therefrom which may be granted by the SEC. |
■ | Purchase common stocks, preferred stocks, warrants, other equity securities, corporate bonds or debentures, state bonds, municipal bonds, or industrial revenue bonds. |
■ | Purchase or hold the securities of any issuer, if to its knowledge, directors or officers of the Fund and, only in the case of Seligman Global Technology Fund, the directors and officers of the Fund’s Investment Manager, individually owning beneficially more than 0.5% of the outstanding securities of that issuer own in the aggregate more than 5% of such securities. |
Statement of Additional Information – January 1, 2016 | 17 |
■ | Enter into repurchase agreements of more than one week’s duration if more than 10% of the Fund’s net assets would be so invested. |
■ | Up to 25% of the Fund’s net assets may be invested in foreign investments. |
■ | Up to 15% of its total assets may be invested in Eurodollar convertible securities and up to an additional 20% of its total assets in foreign securities. |
■ | Up to 35% of the Fund’s total assets may be invested in U.S. dollar-denominated foreign investments. |
■ | Up to 20% of the Fund’s total assets may be invested in foreign securities. |
■ | Up to 20% of the Fund’s net assets may be invested in foreign investments. |
■ | Under normal circumstances, the Fund invests at least 80% of its net assets in equity securities. |
■ | The Funds may not sell securities short, except as permitted by the 1940 Act, the rules and regulations thereunder and any applicable exemptive relief. |
■ | The Fund may not purchase securities of any one issuer (other than U.S. Government Obligations and securities of other investment companies) if, immediately after such purchase, more than 25% of the value of the Fund’s total assets would be invested in the securities of one issuer, and with respect to 50% of the Fund’s total assets, more than 5% of its assets would be invested in the securities of one issuer. |
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Type of Investment | Alternative |
Equity
and Flexible |
Funds-of-Funds
– Equity and Fixed Income |
Taxable
Fixed Income |
Taxable
Money Market Fund |
Tax-Exempt
Fixed Income |
Asset-Backed Securities | • | • | • | • | • | • |
Bank Obligations (Domestic and Foreign) | • | • | • | • | • | • |
Collateralized Bond Obligations | • | •A | • | • | • | • |
Statement of Additional Information – January 1, 2016 | 21 |
Type of Investment | Alternative |
Equity
and Flexible |
Funds-of-Funds
– Equity and Fixed Income |
Taxable
Fixed Income |
Taxable
Money Market Fund |
Tax-Exempt
Fixed Income |
Commercial Paper | • | • | • | • | • | • |
Common Stock | • | • | • | •B | — | — |
Convertible Securities | • | •C | • | •D | — | • |
Corporate Debt Securities | • | • | • | • | •E | • |
Custody Receipts and Trust Certificates | • | •F | • | •F | • | •F |
Debt Obligations | • | • | • | • | • | • |
Depositary Receipts | • | • | • | • | — | — |
Derivatives | • | • | • | • | — | • |
Dollar Rolls | • | •G | • | • | — | • |
Foreign Currency Transactions | • | • | • | • | — | •H |
Foreign Securities | • | • | • | • | • | • |
Guaranteed Investment Contracts (Funding Agreements) | • | • | • | • | — | • |
High-Yield Securities | • | • | • | • | — | • |
Illiquid Securities | • | • | • | • | • | • |
Inflation Protected Securities | • | • | • | • | — | • |
Initial Public Offerings | • | • | • | • | • | • |
Inverse Floaters | • | •I | • | • | — | • |
Investments in Other Investment Companies (Including ETFs) | • | • | • | • | • | • |
Listed Private Equity Funds | • | • | • | • | • | • |
Money Market Instruments | • | • | • | • | • | • |
Mortgage-Backed Securities | • | • | • | • | • | • |
Municipal Securities | • | • | • | • | — | • |
Participation Interests | • | • | • | • | — | • |
Partnership Securities | • | • | • | • | • | • |
Preferred Stock | • | • | • | •J | — | •J |
Private Placement and Other Restricted Securities | • | • | • | • | • | • |
Real Estate Investment Trusts | • | • | • | • | — | • |
Repurchase Agreements | • | • | • | • | • | • |
Reverse Repurchase Agreements | • | • | • | • | • | • |
Short Sales | •K | •K | •K | •K | — | •K |
Sovereign Debt | • | • | • | • | • | • |
Standby Commitments | • | • | • | • | • | • |
U.S. Government and Related Obligations | • | • | • | • | • | • |
Variable and Floating Rate Obligations | • | •L | • | • | •L | •L |
A. | The following Fund is not authorized to invest in collateralized bond obligations: Multi-Advisor Small Cap Value Fund. |
B. | The following Fund is not authorized to invest in common stock: U.S. Government Mortgage Fund. |
C. | The following Fund is not authorized to invest in convertible securities: Commodity Strategy Fund. |
D. | The following Fund is not authorized to invest in convertible securities: U.S. Government Mortgage Fund. |
E. | While the Fund is prohibited from investing in corporate bonds, it may invest in securities classified as corporate bonds if they meet the requirements of Rule 2a-7 of the 1940 Act. |
F. | The following equity, flexible, taxable fixed income and tax-exempt fixed income Funds are not authorized to invest in Custody Receipts and Trust Certificates: each series of CFST. |
G. | The following Funds are authorized to invest in Dollar Rolls: AP - Multi-Manager Value Fund, Commodity Strategy Fund, Flexible Capital Income Fund, Global Opportunities Fund and each series of CFST. |
H. | The following Funds are not authorized to invest in Foreign Currency Transactions: State Tax-Exempt and State Municipal Bond Funds. |
Statement of Additional Information – January 1, 2016 | 22 |
I. | The following Funds are authorized to invest in inverse floaters: AP - Multi-Manager Value Fund, Commodity Strategy Fund, Flexible Capital Income Fund, Global Opportunities Fund and each series of CFST. |
J. | The following taxable fixed income and tax-exempt fixed income Funds are not authorized to invest in preferred stock: AMT-Free Tax-Exempt Bond Fund and U.S. Government Mortgage Fund. |
K. | The Funds are not prohibited from engaging in short sales, subject to any Fundamental or Non-Fundamental Investment policy, however, each Fund will seek Board approval prior to utilizing short sales as an active part of its investment strategy. |
L. | The following equity, flexible, taxable money market and tax-exempt fixed income Funds are authorized to invest in Floating Rate Loans: AP - Multi-Manager Value Fund, Commodity Strategy Fund, Flexible Capital Income Fund, Global Opportunities Fund and each series of CFST. |
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Fund |
Assets
(millions) |
Annual
rate at
each asset level |
Management
Services Fee
Effective Date |
AMT-Free CA Intermediate Muni Bond Fund | $0-$250 | 0.470% | 9/1/2015 |
AMT-Free GA Intermediate Muni Bond Fund | >$250-$500 | 0.465% | 9/1/2015 |
AMT-Free MD Intermediate Muni Bond Fund | >$500-$1,000 | 0.415% | 9/1/2015 |
AMT-Free NC Intermediate Muni Bond Fund | >$1,000-$1,500 | 0.380% | 9/1/2015 |
AMT-Free SC Intermediate Muni Bond Fund | >$1,500-$3,000 | 0.350% | 9/1/2015 |
AMT-Free VA Intermediate Muni Bond Fund | >$3,000-$6,000 | 0.330% | 9/1/2015 |
>$6,000-$12,000 | 0.320% | ||
>$12,000 | 0.310% | ||
AMT-Free Tax-Exempt Bond Fund | $0-$500 | 0.480% | 12/1/2015 |
>$500-$1,000 | 0.475% | ||
>$1,000-$2,000 | 0.445% | ||
>$2,000-$3,000 | 0.420% | ||
>$3,000-$6,000 | 0.385% | ||
>$6,000-$7,500 | 0.360% | ||
>$7,500-$10,000 | 0.350% | ||
>$10,000-$12,000 | 0.340% | ||
>$12,000-$15,000 | 0.330% | ||
>$15,000-$24,000 | 0.320% | ||
>$24,000-$50,000 | 0.300% | ||
>$50,000 | 0.290% | ||
AP - Multi-Manager Value Fund | $0-$500 | 0.720% | 10/1/2015 |
Diversified Equity Income Fund | >$500-$1,000 | 0.670% | 10/1/2015 |
Dividend Opportunity Fund | >$1,000-$1,500 | 0.620% | 10/1/2015 |
Global Equity Value Fund | >$1,500-$3,000 | 0.570% | 7/1/2015 |
Global Opportunities Fund (b) | >$3,000-$6,000 | 0.550% | 12/1/2015 |
>$6,000-$12,000 | 0.530% | ||
>$12,000 | 0.520% | ||
Commodity Strategy Fund | $0-$500 | 0.630% | 10/1/2015 |
>$500-$1,000 | 0.580% | ||
>$1,000-$3,000 | 0.550% | ||
>$3,000-$6,000 | 0.520% | ||
>$6,000-$12,000 | 0.500% | ||
>$12,000 | 0.490% | ||
Convertible Securities Fund | $0-$500 | 0.820% | 7/1/2015 |
>$500-$1,000 | 0.770% | ||
>$1,000-$1,500 | 0.720% | ||
>$1,500 | 0.670% | ||
Disciplined Core Fund | $0-$500 | 0.750% | 12/1/2015 |
Disciplined Growth Fund | >$500-$1,000 | 0.700% | 12/1/2015 |
Disciplined Value Fund | >$1,000-$1,500 | 0.650% | 12/1/2015 |
Large Cap Enhanced Core Fund | >$1,500-$3,000 | 0.600% | 7/1/2015 |
>$3,000-$6,000 | 0.580% | ||
>$6,000-$12,000 | 0.560% | ||
>$12,000 | 0.550% | ||
Flexible Capital Income Fund | $0-$500 | 0.650% | 10/1/2015 |
>$500-$1,000 | 0.630% | ||
>$1,000-$3,000 | 0.610% | ||
>$3,000-$6,000 | 0.570% | ||
>$6,000 | 0.540% |
Statement of Additional Information – January 1, 2016 | 85 |
Fund |
Assets
(millions) |
Annual
rate at
each asset level |
Management
Services Fee
Effective Date |
Floating Rate Fund | $0-$250 | 0.660% | 12/1/2015 |
High Yield Bond Fund | >$250-$500 | 0.645% | 10/1/2015 |
Income Opportunities Fund | >$500-$750 | 0.635% | 12/1/2015 |
>$750-$1,000 | 0.625% | ||
>$1,000-$2,000 | 0.610% | ||
>$2,000-$3,000 | 0.600% | ||
>$3,000-$6,000 | 0.565% | ||
>$6,000-$7,500 | 0.540% | ||
>$7,500-$9,000 | 0.525% | ||
>$9,000-$10,000 | 0.500% | ||
>$10,000-$12,000 | 0.485% | ||
>$12,000-$15,000 | 0.475% | ||
>$15,000-$20,000 | 0.465% | ||
>$20,000-$24,000 | 0.440% | ||
>$24,000-$50,000 | 0.425% | ||
>$50,000 | 0.400% | ||
Global Infrastructure Fund | $0-$500 | 0.710% | 9/1/2015 |
>$500-$1,000 | 0.705% | ||
>$1,000-$2,000 | 0.650% | ||
>$2,000-$3,000 | 0.600% | ||
>$3,000-$6,000 | 0.590% | ||
>$6,000-$12,000 | 0.540% | ||
>$12,000 | 0.530% | ||
Inflation Protected Securities Fund | $0-$500 | 0.510% | 12/1/2015 |
>$500-$1,000 | 0.505% | ||
>$1,000-$2,000 | 0.475% | ||
>$2,000-$3,000 | 0.450% | ||
>$3,000-$6,000 | 0.415% | ||
>$6,000-$7,500 | 0.390% | ||
>$7,500-$9,000 | 0.375% | ||
>$9,000-$10,000 | 0.370% | ||
>$10,000-$12,000 | 0.360% | ||
>$12,000-$15,000 | 0.350% | ||
>$15,000-$20,000 | 0.340% | ||
>$20,000-$24,000 | 0.330% | ||
>$24,000-$50,000 | 0.310% | ||
>$50,000 | 0.290% | ||
International Opportunities Fund | $0-$500 | 0.870% | 7/1/2015 |
International Value Fund | >$500-$1,000 | 0.820% | 7/1/2015 |
Overseas Value Fund | >$1,000-$1,500 | 0.770% | 7/1/2015 |
Select Global Growth Fund | >$1,500-$3,000 | 0.720% | 7/1/2015 |
Select International Equity Fund | >$3,000-$6,000 | 0.700% | 7/1/2015 |
>$6,000-$12,000 | 0.680% | ||
>$12,000 | 0.670% | ||
Large Cap Growth Fund II | $0-$500 | 0.770% | 7/1/2015 |
Large Cap Growth Fund III | >$500-$1,000 | 0.720% | 7/1/2015 |
Large Cap Growth Fund IV | >$1,000-$1,500 | 0.670% | 1/1/2016 |
Large Cap Growth Fund V | >$1,500-$3,000 | 0.620% | 7/1/2015 |
Select Large Cap Equity Fund | >$3,000-$6,000 | 0.600% | 7/1/2015 |
>$6,000-$12,000 | 0.580% | ||
>$12,000 | 0.570% | ||
Large
Cap Index Fund
(a)
Mid Cap Index Fund Small Cap Index Fund (a) |
All
assets
|
0.200%
|
7/1/2015
7/1/2015 7/1/2015 |
Statement of Additional Information – January 1, 2016 | 86 |
Fund |
Assets
(millions) |
Annual
rate at
each asset level |
Management
Services Fee
Effective Date |
Limited Duration Credit Fund | $0-$500 | 0.430% | 12/1/2015 |
Short Term Bond Fund | >$500-$1,000 | 0.425% | 8/1/2015 |
Short Term Municipal Bond Fund | >$1,000-$2,000 | 0.415% | 9/1/2015 |
>$2,000-$3,000 | 0.410% | ||
>$3,000-$6,000 | 0.395% | ||
>$6,000-$7,500 | 0.380% | ||
>$7,500-$9,000 | 0.365% | ||
>$9,000-$10,000 | 0.360% | ||
>$10,000-$12,000 | 0.350% | ||
>$12,000-$15,000 | 0.340% | ||
>$15,000-$20,000 | 0.330% | ||
>$20,000-$24,000 | 0.320% | ||
>$24,000-$50,000 | 0.300% | ||
>$50,000 | 0.280% | ||
Mid Cap Value Fund | $0-$500 | 0.820% | 7/1/2015 |
Small/Mid Cap Value Fund | >$500-$1,000 | 0.770% | 10/1/2015 |
>$1,000-$1,500 | 0.720% | ||
>$1,500-$3,000 | 0.670% | ||
>$3,000-$12,000 | 0.660% | ||
>$12,000 | 0.650% | ||
MN Tax-Exempt Fund | $0-$250 | 0.470% | 12/1/2015 |
>$250-$500 | 0.465% | ||
>$500-$1,000 | 0.415% | ||
>$1,000-$3,000 | 0.380% | ||
>$3,000-$6,000 | 0.340% | ||
>$6,000-$7,500 | 0.330% | ||
>$7,500-$12,000 | 0.320% | ||
>$12,000 | 0.310% | ||
Money Market Fund | $0-$500 | 0.390% | 12/1/2015 |
>$500-$1,000 | 0.385% | ||
>$1,000-$1,500 | 0.363% | ||
>$1,500-$2,000 | 0.345% | ||
>$2,000-$2,500 | 0.328% | ||
>$2,500-$3,000 | 0.310% | ||
>$3,000-$5,000 | 0.300% | ||
>$5,000-$6,000 | 0.280% | ||
>$6,000-$7,500 | 0.260% | ||
>$7,500-$9,000 | 0.255% | ||
>$9,000-$10,000 | 0.230% | ||
>$10,000-$12,000 | 0.220% | ||
>$12,000-$15,000 | 0.210% | ||
>$15,000-$20,000 | 0.200% | ||
>$20,000-$24,000 | 0.190% | ||
>$24,000 | 0.180% | ||
Mortgage Opportunities Fund | $0-$500 | 0.650% | 10/1/2015 |
>$500-$1,000 | 0.645% | ||
>$1,000-$2,000 | 0.630% | ||
>$2,000-$3,000 | 0.620% | ||
>$3,000-$6,000 | 0.595% | ||
>$6,000-$7,500 | 0.580% | ||
>$7,500-$9,000 | 0.565% | ||
>$9,000-$10,000 | 0.555% | ||
>$10,000-$12,000 | 0.545% | ||
>$12,000 | 0.535% | ||
Multi-Advisor Small Cap Value Fund | $0-$250 | 1.050% | 10/1/2015 |
>$250-$500 | 1.025% | ||
>$500-$750 | 0.995% | ||
>$750-$1,000 | 0.970% | ||
>$1,000-$3,000 | 0.940% | ||
>$3,000-$12,000 | 0.930% | ||
>$12,000 | 0.920% |
Statement of Additional Information – January 1, 2016 | 87 |
Fund |
Assets
(millions) |
Annual
rate at
each asset level |
Management
Services Fee
Effective Date |
Select Large-Cap Value Fund | $0-$500 | 0.770% | 10/1/2015 |
>$500-$1,000 | 0.715% | ||
>$1,000-$3,000 | 0.615% | ||
>$3,000-$6,000 | 0.600% | ||
>$6,000-$12,000 | 0.580% | ||
>$12,000 | 0.570% | ||
Select Smaller-Cap Value Fund | $0-$500 | 0.870% | 10/1/2015 |
Small Cap Value Fund II | >$500-$1,000 | 0.820% | 7/1/2015 |
>$1,000-$3,000 | 0.770% | ||
>$3,000-$12,000 | 0.760% | ||
>$12,000 | 0.750% | ||
Seligman Communications and Information Fund | $0-$500 | 0.915% | 10/1/2015 |
>$500-$1,000 | 0.910% | ||
>$1,000-$3,000 | 0.905% | ||
>$3,000-$4,000 | 0.865% | ||
>$4,000-$6,000 | 0.815% | ||
>$6,000-$12,000 | 0.765% | ||
>$12,000 | 0.755% | ||
U.S. Government Mortgage Fund | $0-$500 | 0.500% | 10/1/2015 |
>$500-$1,000 | 0.495% | ||
>$1,000-$2,000 | 0.480% | ||
>$2,000-$3,000 | 0.460% | ||
>$3,000-$6,000 | 0.450% | ||
>$6,000-$7,500 | 0.430% | ||
>$7,500-$9,000 | 0.415% | ||
>$9,000-$12,000 | 0.410% | ||
>$12,000-$20,000 | 0.390% | ||
>$20,000-$24,000 | 0.380% | ||
>$24,000-$50,000 | 0.360% | ||
>$50,000 | 0.340% |
(a) | The Investment Manager, from the management services fee it receives from the Fund, pays all operating expenses of the Fund, with the exception of brokerage fees and commissions, taxes, interest, fees and expenses of Trustees who are not officers, directors or employees of the Investment Manager or its affiliates, distribution (Rule 12b-1) and/or shareholder servicing fees and any extraordinary non-recurring expenses that may arise, including litigation expenses. |
(b) | This fee applies to assets invested in securities, other than underlying funds (including any exchange-traded funds (ETFs)) that pay an investment advisory services fee to Columbia Management, including other funds advised by the Investment Manager that do not pay an investment advisory services fee, derivatives and individual securities. The Fund does not pay an investment advisory services fee on assets that are invested in underlying funds, including any ETFs, that pay an investment advisory services fee to Columbia Management. |
Statement of Additional Information – January 1, 2016 | 88 |
Fund |
Assets
(billions) |
Annual
rate at
each asset level |
Absolute Return Currency and Income Fund | First $1.0 | 0.890% |
Next $1.0 | 0.865% | |
Next $1.0 | 0.840% | |
Next $3.0 | 0.815% | |
Next $1.5 | 0.790% | |
Next $1.5 | 0.775% | |
Next $1.0 | 0.770% | |
Next $5.0 | 0.760% | |
Next $5.0 | 0.750% | |
Next $4.0 | 0.740% | |
Next $26.0 | 0.720% | |
Over $50.0 | 0.700% | |
Asia Pacific ex-Japan Fund | First $0.25 | 0.800% |
Next $0.25 | 0.775% | |
Next $0.25 | 0.750% | |
Next $0.25 | 0.725% | |
Next $0.5 | 0.700% | |
Next $1.5 | 0.650% | |
Next $3.0 | 0.640% | |
Next $14.0 | 0.620% | |
Next $4.0 | 0.610% | |
Next $26.0 | 0.600% | |
Over $50.0 | 0.570% |
Statement of Additional Information – January 1, 2016 | 89 |
Fund |
Assets
(billions) |
Annual
rate at
each asset level |
Emerging Markets Bond Fund | First $0.5 | 0.530% |
Next $0.5 | 0.525% | |
Next $1.0 | 0.515% | |
Next $1.0 | 0.495% | |
Next $3.0 | 0.480% | |
Next $1.5 | 0.455% | |
Next $1.5 | 0.440% | |
Next $1.0 | 0.431% | |
Next $5.0 | 0.419% | |
Next $5.0 | 0.409% | |
Next $4.0 | 0.393% | |
Next $26.0 | 0.374% | |
Over $50.0 | 0.353% | |
European Equity Fund | First $0.25 | 0.800% |
Next $0.25 | 0.775% | |
Next $0.25 | 0.750% | |
Next $0.25 | 0.725% | |
Next $0.5 | 0.700% | |
Next $1.5 | 0.650% | |
Next $3.0 | 0.640% | |
Next $14.0 | 0.620% | |
Next $4.0 | 0.610% | |
Next $26.0 | 0.600% | |
Over $50.0 | 0.570% | |
Global Bond Fund | First $1.0 | 0.570% |
Next $1.0 | 0.525% | |
Next $1.0 | 0.520% | |
Next $3.0 | 0.515% | |
Next $1.5 | 0.510% | |
Next $4.5 | 0.500% | |
Next $8.0 | 0.490% | |
Next $30.0 | 0.480% | |
Over $50.0 | 0.470% | |
Select Global Equity Fund | First $0.25 | 0.800% |
Next $0.25 | 0.775% | |
Next $0.25 | 0.750% | |
Next $0.25 | 0.725% | |
Next $0.5 | 0.700% | |
Next $1.5 | 0.650% | |
Next $3.0 | 0.640% | |
Next $14.0 | 0.620% | |
Next $4.0 | 0.610% | |
Next $26.0 | 0.600% | |
Over $50.0 | 0.570% | |
Seligman Global Technology Fund (a) | First $3.0 | 0.855% |
Next $1.0 | 0.825% | |
Next $2.0 | 0.775% | |
Over $6.0 | 0.725% |
(a) | Effective June 1, 2013, the investment advisory services fee schedule changed resulting in a fee rate decrease for certain asset levels. |
Statement of Additional Information – January 1, 2016 | 90 |
Investment Advisory Services Fees | |||
2015 | 2014 | 2013 | |
For Funds with fiscal period ending January 31 | |||
Capital Allocation Aggressive Portfolio | $426,438 | $140,922 (a) | $0 |
Capital Allocation Conservative Portfolio | 196,172 | 90,965 (a) | 0 |
Capital Allocation Moderate Aggressive Portfolio | 1,471,771 | 635,791 | 363,620 |
Capital Allocation Moderate Conservative Portfolio | 367,285 | 143,455 | 72,183 |
Capital Allocation Moderate Portfolio | 843,399 | 262,273 (a) | 0 |
Global Strategic Equity Fund | 1,655 | 930 | 976 |
For Funds with fiscal period ending February 28/29 | |||
Convertible Securities Fund | 8,505,776 | 4,920,665 | 4,029,231 |
Global Equity Value Fund | 6,781,114 | 7,096,328 | 3,883,146 |
International Opportunities Fund | 1,047,963 | 1,990,750 | 3,412,658 |
International Value Fund (b) | 1,809,257 | 463,672 | 9,074,397 |
Large Cap Enhanced Core Fund | 2,073,563 | 1,486,208 | 1,466,253 |
Large Cap Growth Fund II | 7,141,978 | 7,285,317 | 9,238,502 |
Large Cap Growth Fund III | 7,353,958 | 8,815,272 | 12,456,659 |
Large Cap Growth Fund V | 12,189,153 | 13,233,867 | 17,356,927 |
Large Cap Index Fund | 3,376,904 | 2,824,934 | 2,516,462 |
Mid Cap Index Fund | 3,796,538 | 3,214,924 | 2,425,603 |
Mid Cap Value Fund | 25,209,623 | 25,236,516 | 24,254,448 |
Overseas Value Fund | 5,794,788 | 2,394,086 | 230,197 |
Select Global Growth Fund | 386,626 | 252,327 | 98,982 |
Select International Equity Fund | 4,803,237 | 6,937,792 | 8,742,256 |
Select Large Cap Equity Fund | 3,624,989 | 4,073,334 | 5,618,096 |
Small Cap Index Fund | 2,955,890 | 2,436,410 | 1,875,113 |
Small Cap Value Fund II | 13,008,314 | 12,247,710 | 11,200,318 |
For Funds with fiscal period ending March 31 | |||
Short Term Bond Fund | 8,903,586 | 9,710,525 | 9,818,536 |
For Funds with fiscal period ending April 30 | |||
AMT-Free CA Intermediate Muni Bond Fund | 1,351,276 | 1,163,315 | 1,185,451 |
AMT-Free GA Intermediate Muni Bond Fund | 312,006 | 337,994 | 414,216 |
AMT-Free MD Intermediate Muni Bond Fund | 356,411 | 423,881 | 567,167 |
AMT-Free NC Intermediate Muni Bond Fund | 712,383 | 705,293 | 878,335 |
AMT-Free SC Intermediate Muni Bond Fund | 499,365 | 527,856 | 673,220 |
AMT-Free VA Intermediate Muni Bond Fund | 906,282 | 1,104,819 | 1,426,979 |
Statement of Additional Information – January 1, 2016 | 91 |
Investment Advisory Services Fees | |||
2015 | 2014 | 2013 | |
Global Infrastructure Fund | $2,846,913 | $3,794,627 | $4,323,624 |
Short Term Municipal Bond Fund | 7,245,916 | 7,085,231 | 7,690,029 |
For Funds with fiscal period ending May 31 | |||
AP – Multi-Manager Value Fund | 10,689,157 | 7,259,435 | 4,305,942 |
Commodity Strategy Fund | 212,324 | 329,377 | 327,809 |
Diversified Equity Income Fund | 15,589,838 | 16,132,596 | 16,946,253 |
Dividend Opportunity Fund | 33,119,141 | 32,346,334 | 26,498,467 |
Flexible Capital Income Fund | 3,544,285 | 1,167,007 | 599,809 |
High Yield Bond Fund | 11,242,538 | 10,875,206 | 9,967,625 |
Mortgage Opportunities Fund | 924,415 | 43,165 (c) | N/A |
Multi-Advisor Small Cap Value Fund | 3,577,199 | 3,651,282 | 3,169,653 |
Select Large-Cap Value Fund | 6,698,053 | 4,879,253 | 3,455,207 |
Select Smaller-Cap Value Fund | 3,800,160 | 3,684,668 | 2,970,310 |
Seligman Communications and Information Fund | 31,947,356 | 28,396,766 | 29,194,759 |
Small/Mid Cap Value Fund | 9,292,293 | 11,588,133 | 11,261,420 |
U.S. Government Mortgage Fund | 7,898,784 | 8,269,387 | 10,141,134 |
For Funds with fiscal period ending July 31 | |||
AMT-Free Tax-Exempt Bond Fund | 2,435,643 | 2,283,062 | 2,651,030 |
Disciplined Core Fund | 24,409,533 | 22,537,250 | 20,595,326 |
Disciplined Growth Fund | 4,427,170 | 3,631,799 | 3,701,363 |
Disciplined Value Fund | 6,327,050 | 4,021,684 | 1,941,728 |
Floating Rate Fund | 5,574,076 | 6,369,286 | 3,709,607 |
Global Opportunities Fund | 4,648,782 | 5,142,134 | 5,239,774 |
Income Opportunities Fund | 17,817,834 | 17,488,842 | 16,225,334 |
Inflation Protected Securities Fund | 1,038,993 | 1,192,132 | 1,657,541 |
Limited Duration Credit Fund | 4,186,864 | 3,924,329 | 3,918,794 |
MN Tax-Exempt Fund | 1,815,243 | 1,690,284 | 1,873,492 |
Money Market Fund | 5,435,872 | 5,912,176 | 6,082,604 |
For Funds with fiscal period ending August 31 | |||
Large Cap Growth Fund IV | 1,460,273 | 1,484,023 | 1,115,261 |
2014 | 2013 | 2012 | |
For Funds with fiscal period ending October 31 | |||
Absolute Return Currency and Income Fund | 481,124 | 836,749 | 989,546 |
Asia Pacific ex-Japan Fund | 5,197,521 | 3,835,643 | 3,339,296 |
Emerging Markets Bond Fund | 4,022,583 | 4,260,710 | 2,907,586 |
European Equity Fund | 4,572,257 | 3,078,576 | 2,713,806 |
Global Bond Fund | 843,306 | 1,206,698 | 1,518,028 |
Select Global Equity Fund | 3,159,681 | 2,996,496 | 3,158,337 |
Seligman Global Technology Fund | 4,017,147 | 3,556,109 | 4,028,897 |
(a) | The Fund began paying an advisory fee effective March 1, 2013. |
(b) | The Fund's advisory fees were paid at the Master Portfolio level until December 14, 2013, at which time International Value Fund pays the Fees; amounts shown for the fiscal year ended 2013 and the fiscal period from March 1, 2013 to December 14, 2013, are for the Master Portfolio, which included one additional feeder fund. |
(c) | For the period from April 30, 2014 (commencement of operations) to May 31, 2014. |
Statement of Additional Information – January 1, 2016 | 92 |
Fund | Subadviser |
Parent
Company/Other Information |
Fee Schedule |
For Funds with fiscal period ending February 28/29 | |||
Select International Equity Fund |
Threadneedle
(effective April 11, 2011) |
A | 0.35% on the first $150 million declining to 0.20% as assets increase |
Statement of Additional Information – January 1, 2016 | 93 |
Fund | Subadviser |
Parent
Company/Other Information |
Fee Schedule |
For Funds with fiscal period ending May 31 | |||
AP - Multi-Manager Value Fund |
DFA
(effective December 11, 2013) |
E | 0.20% on the first $100 million, reducing to 0.10% as assets increase |
Commodity Strategy Fund |
Threadneedle
(effective July 28, 2011) |
A | 0.25% on all assets |
Multi-Advisor Small Cap Value Fund |
Barrow
Hanley
(effective March 12, 2004) |
B | 1.00% on the first $10 million, reducing to 0.30% as assets increase (a) |
Donald
Smith
(effective March 12, 2004) |
C | 0.60% on the first $175 million, reducing to 0.55% as assets increase (a) | |
MetWest
Capital
(effective April 24, 2006) |
D | 0.50% on all assets | |
SBH
(effective August 20, 2014) |
F | 0.55% on the first $10 million, reducing to 0.40% as assets increase. | |
For Funds with fiscal period ending October 31 | |||
Asia Pacific ex-Japan Fund |
Threadneedle
(effective July 15, 2009) |
A | 0.45% on all assets |
European Equity Fund |
Threadneedle
(effective July 9, 2004) |
A | 0.35% on all assets |
Select Global Equity Fund |
Threadneedle
(effective July 9, 2004) |
A | 0.35% on all as assets |
(a) | The fee is calculated based on the combined net assets of Columbia Funds subject to the subadviser’s investment management. |
Statement of Additional Information – January 1, 2016 | 94 |
(a) | Because this Fund's subadvisory fees were paid at the Master Portfolio's level, amounts shown are for the Master Portfolio. |
(b) | For the period from March 1, 2013 to May 31, 2013. |
(c) | For the period from March 1, 2013 to May 20, 2013. |
(d) | For the period from December 11, 2013 to May 31, 2014. |
(e) | For the period from June 1, 2014 to August 19, 2014. |
(f) | For the period from August 20, 2014 to May 31, 2015. |
Statement of Additional Information – January 1, 2016 | 95 |
Statement of Additional Information – January 1, 2016 | 96 |
Other Accounts Managed (excluding the Fund) |
Ownership
of Fund Shares |
Potential
Conflicts of Interest |
Structure
of Compensation |
||||
Fund | Portfolio Manager |
Number
and Type of Account * |
Approximate
Total Net Assets |
Performance-
Based Accounts ** |
|||
Capital
Allocation
Moderate Aggressive Portfolio |
Jeffrey Knight |
24
RICs
1 PIV 3 other accounts |
$64.42
billion
$10.51 million $1.72 million |
None | None | (1) | (10) |
Anwiti Bahuguna |
9
RICs
21 PIVs 18 other accounts |
$4.96
billion
$1.97 billion $131.57 million |
None | None | |||
Marie Schofield |
6
RICs
4 other accounts |
$4.22
billion
$0.22 million |
None | None | |||
Beth Vanney |
7
RICs
1 PIV 4 other accounts |
$4.47
billion
$10.51 million $0.45 million |
None | None | |||
Toby Nangle |
6
RICs
5 PIVs 1 other account |
$4.32
billion
$201.91 million $363.50 million |
3
PIVs
($85.4 M) |
None (c) | (8) | (11) | |
Capital
Allocation
Moderate Conservative Portfolio |
Jeffrey Knight |
24
RICs
1 PIV 3 other accounts |
$66.06
billion
$10.51 million $1.72 million |
None | None | (1) | (10) |
Anwiti Bahuguna |
9
RICs
21 PIVs 18 other accounts |
$6.60
billion
$1.97 billion $131.57 million |
None |
$1-
$10,000 (b) |
|||
Marie Schofield |
6
RICs
4 other accounts |
$5.86
billion
$0.22 million |
None |
$10,001-
$50,000 (b) |
|||
Beth Vanney |
7
RICs
1 PIV 4 other accounts |
$6.11
billion
$10.51 million $0.45 million |
None | None | |||
Toby Nangle |
6
RICs
5 PIVs 1 other account |
$5.96
billion
$201.91 million $363.50 million |
3
PIVs
($85.4 M) |
None (c) | (8) | (11) | |
Global Strategic Equity Fund |
Robert
McConnaughey |
2
RICs
6 other accounts |
$36.70
million
$3.40 million |
None |
$50,001-
$100,000 (b) |
(1) | (10) |
Mark Burgess |
3
PIVs
12 other accounts |
$3.02
billion
$28,079.30 |
None | None (c) | (8) | (11) | |
Income Builder Fund | Colin Lundgren |
2
RICs
53 other accounts |
$2.94
billion
$25.54 million |
None |
Over
$1,000,000
(a)
$100,001- $500,000 (b) |
(4) | (10) |
Gene Tannuzzo |
5
RICs
63 other accounts |
$3.82
billion
$1.31 billion |
None |
$100,001-
$500,000 (a) $10,001- $50,000 (b) |
|||
For Funds with fiscal period ending February 28/29 | |||||||
Convertible
Securities
Fund |
David L. King |
6
RICs
6 other accounts |
$2.32
billion
$19.62 million |
None |
Over
$1,000,000 (a) $50,001- $100,000 (b) |
(2) | (10) |
Yan Jin |
6
RICs
4 other accounts |
$2.32
billion
$1.56 million |
None |
$10,001-
$50,000 (b) $50,001-$100,000 (a) |
Statement of Additional Information – January 1, 2016 | 97 |
Other Accounts Managed (excluding the Fund) |
Ownership
of Fund Shares |
Potential
Conflicts of Interest |
Structure
of Compensation |
||||
Fund | Portfolio Manager |
Number
and Type of Account * |
Approximate
Total Net Assets |
Performance-
Based Accounts ** |
|||
Global
Equity
Value Fund |
Steven Schroll |
4
RICs
1 PIV 344 other accounts |
$11.66
billion
$7.99 million $136.50 million |
None |
$50,001-
$100,000 (b) $50,001- $100,000 (a) |
(2) | (10) |
Paul Stocking |
4
RICs
1 PIV 349 other accounts |
$11.66
billion
$7.99 million $148.36 million |
None |
$100,001-
$500,000 (a) |
|||
Dean Ramos |
4
RICs
1 PIV 344 other accounts |
$11.66
billion
$7.99 million $134.72 million |
None | None | |||
International
Opportunities Fund |
Simon Haines |
1
RIC
1 other account |
$365.01
million
$340.00 million |
None | None (c) | (8) | (11) |
William Davies |
1
RIC
1 PIV 2 other accounts |
$365.01
million
$1.30 billion $699.41 million |
None | ||||
David Dudding |
1
RIC
3 PIVs 1 other account |
$41.50
million
$3.57 billion $1.05 billion |
2 PIVs ($48 M) | ||||
International
Value
Fund |
Daisuke Nomoto |
3
RICs
1 PIV 3 other accounts |
$1.12
billion
$146.39 million $0.68 million |
None | None | (2) | (10) |
Fred Copper |
4
RICs
1 PIV 7 other accounts |
$2.16
billion
$146.39 million $51.31 million |
None | None | |||
Large
Cap
Enhanced Core Fund |
Brian M. Condon |
13
RICs
2 PIVs 24 other accounts |
$10.83
billion
$146.82 million $5.17 billion |
None |
$100,001-
$500,000 (a) $50,001- $100,000 (b) |
(2) | (10) |
Peter Albanese |
6
RICs
2 PIVs 18 other accounts |
$10.73
billion
$146.82 million $5.02 billion |
None |
$1-
$10,000 (b) |
|||
Large Cap Growth Fund II | Peter Deininger (i) |
3 RICs 8 other accounts |
$5.16 billion $156.56 million |
None | None | (2) | (10) |
John Wilson (i) |
3
RICs
8 other accounts |
$5.16
billion
$168.73 million |
None | None | |||
Tchintcia S. Barros (i) |
3
RICs
8 other accounts |
$5.16
billion
$156.40 million |
None | None | |||
Large Cap Growth Fund III | Peter Deininger (i) |
3 RICs 8 other accounts |
$5.16 billion $156.56 million |
None | None | (2) | (10) |
John Wilson (i) |
3
RICs
8 other accounts |
$5.16
billion
$168.73 million |
None | None | |||
Tchintcia S. Barros (i) |
3
RICs
8 other accounts |
$5.16
billion
$156.40 million |
None | None | |||
Large Cap Growth Fund V | Peter Deininger (i) |
3 RICs 8 other accounts |
$5.16 billion $156.56 million |
None | None | (2) | (10) |
John Wilson (i) |
3
RICs
8 other accounts |
$5.16
billion
$168.73 million |
None | None | |||
Tchintcia S. Barros (i) |
3
RICs
8 other accounts |
$5.16
billion
$156.40 million |
None | None |
Statement of Additional Information – January 1, 2016 | 98 |
Other Accounts Managed (excluding the Fund) |
Ownership
of Fund Shares |
Potential
Conflicts of Interest |
Structure
of Compensation |
||||
Fund | Portfolio Manager |
Number
and Type of Account * |
Approximate
Total Net Assets |
Performance-
Based Accounts ** |
|||
Large
Cap
Index Fund |
Christopher Lo |
3
RICs
1 PIV 160 other accounts |
$7.52
billion
$226.76 million $1.35 billion |
None |
$100,001-
$500,000 (a) $50,001- $100,000 (b) |
(2) | (10) |
Vadim Shteyn |
3
RICs
1 PIV 7 other accounts |
$7.52
billion
$226.76 million $685.27 million |
None |
$1-
$10,000 (a) |
|||
Mid
Cap Index
Fund |
Christopher Lo |
3
RICs
1 PIV 160 other accounts |
$7.24
billion
$226.76 million $1.35 billion |
None |
$1-
$10,000 (b) |
(2) | (10) |
Vadim Shteyn |
3
RICs
1 PIV 7 other accounts |
$7.24
billion
$226.76 million $685.27 million |
None | None | |||
Mid
Cap Value
Fund |
David Hoffman |
3
RICs
1 PIV 7 other accounts |
$1.70
billion
$310.91 million $61.57 million |
None |
$100,001-
$500,000 (a) |
(2) | (10) |
Jonas Patrikson |
1
RIC
1 PIV 8 other accounts |
$501.89
million
$310.91 million $13.70 million |
None |
$50,001-
$100,000 (b) |
|||
Diane Sobin |
2
RICs
8 PIVs 13 other accounts |
$527.88
million
$6.40 billion $5.00 billion |
2
PIVs
($178 M) 2 other accounts ($494.5 M) |
None (c) | (8) | (11) | |
Nicolas Janvier (i) | None | None | None | None (c) | |||
Overseas
Value
Fund |
Fred Copper |
4
RICs
1 PIV 7 other accounts |
$1.65
billion
$146.39 million $51.31 million |
None |
$50,001-
$100,000 (b) |
(2) | (10) |
Daisuke Nomoto |
3
RICs
1 PIV 3 other accounts |
$610.87
million
$146.39 million $0.68 million |
None | None | |||
Select Global Growth Fund | Thomas Galvin (j) |
7
RICs
1 PIV 2,718 other accounts |
$8.76
billion
$46.91 million $5.17 billion |
None | None | (2) | (10) |
Richard Carter (j) |
7
RICs
1 PIV 2,717 other accounts |
$8.76
billion
$46.91 million $5.15 billion |
3
other accounts
($1.1 B) |
None | |||
Todd Herget (j) |
7
RICs
1 PIV 2,722 other accounts |
$8.76
billion
$46.91 million $5.15 billion |
None | None | |||
Select
International Equity Fund |
Threadneedle:
Simon Haines |
1 RIC 1 other account |
$365.01 million $340.00 million |
None | None (c) | (8) | (11) |
William Davies |
1
RIC
1 PIV 2 other accounts |
$365.01
million
$1.30 billion $699.41 million |
None | ||||
David Dudding |
1
RIC
3 PIVs 1 other account |
$41.5
million
$3.57 billion $1.05 billion |
2 PIVs ($48 M) |
Statement of Additional Information – January 1, 2016 | 99 |
Other Accounts Managed (excluding the Fund) |
Ownership
of Fund Shares |
Potential
Conflicts of Interest |
Structure
of Compensation |
||||
Fund | Portfolio Manager |
Number
and Type of Account * |
Approximate
Total Net Assets |
Performance-
Based Accounts ** |
|||
Select
Large
Cap Equity Fund |
Peter Santoro |
8
RICs
1 PIV 76 other accounts |
$9.93
billion
$982.33 million $1.60 billion |
None |
$10,001-
$50,000 (b) $100,001- $500,000 (a) |
(2) | (10) |
Melda Mergen |
4
RICs
7 other accounts |
$17.79
billion
$261.94 million |
None |
$1-
$10,000 (a) |
|||
Small
Cap
Index Fund |
Christopher Lo |
3
RICs
1 PIV 160 other accounts |
$8.01
billion
$226.76 million $1.35 billion |
None | None | (2) | (10) |
Vadim Shteyn |
3
RICs
1 PIV 7 other accounts |
$8.01
billion
$226.76 million $685.27 million |
None | None | |||
Small
Cap
Value Fund II |
Christian
K.
Stadlinger |
3
RICs
14 other accounts |
$1.59
billion
$52.07 million |
None |
$500,001-
$1,000,000 (a) |
(2) | (10) |
Jarl Ginsberg |
3
RICs
13 other accounts |
$1.59
billion
$46.86 million |
None |
$100,001-
$500,000 (a) |
|||
For funds with fiscal period ending March 31 | |||||||
Short
Term
Bond Fund |
Leonard Aplet |
6
RICs
15 PIVs 71 other accounts |
$15.12
billion
$2.48 billion $7.45 billion |
None |
Over
$1,000,000 (a) $100,001- $500,000 (b) |
(2) | (10) |
Gregory Liechty |
2
RICs
15 PIVs 50 other accounts |
$1.13
billion
$4.13 billion $6.18 billion |
None |
$10,001-
$50,000 (b) |
|||
Ronald Stahl |
2
RICs
15 PIVs 52 other accounts |
$1.32
billion
$2.48 billion $6.36 billion |
None |
$1-
$10,000 (b) |
|||
For Funds with fiscal period ending April 30 | |||||||
AMT-Free
CA
Intermediate Muni Bond Fund |
Brian McGreevy |
11
RICs
6 other accounts |
$4.09
billion
$352.40 million |
None | None | (2) | (10) |
Paul Fuchs |
4
RICs
3 PIVs 4 other accounts |
$2.76
billion
$833.61 million $0.52 million |
None | None | |||
AMT-Free
GA
Intermediate Muni Bond Fund |
Brian McGreevy |
11
RICs
6 other accounts |
$4.40
billion
$352.40 million |
None | None | (2) | (10) |
AMT-Free
MD
Intermediate Muni Bond Fund |
Brian McGreevy |
11
RICs
6 other accounts |
$4.39
billion
$352.40 million |
None | None | (2) | (10) |
AMT-Free
NC
Intermediate Muni Bond Fund |
Brian McGreevy |
11
RICs
6 other accounts |
$4.30
billion
$352.40 million |
None | None | (2) | (10) |
AMT-Free
SC
Intermediate Muni Bond Fund |
Brian McGreevy |
11
RICs
6 other accounts |
$4.35
billion
$352.40 million |
None | None | (2) | (10) |
AMT-Free
VA
Intermediate Muni Bond Fund |
Brian McGreevy |
11
RICs
6 other accounts |
$4.26
billion
$352.40 million |
None | None | (2) | (10) |
Statement of Additional Information – January 1, 2016 | 100 |
Statement of Additional Information – January 1, 2016 | 101 |
Statement of Additional Information – January 1, 2016 | 102 |
Other Accounts Managed (excluding the Fund) |
Ownership
of Fund Shares |
Potential
Conflicts of Interest |
Structure
of Compensation |
||||
Fund | Portfolio Manager |
Number
and Type of Account * |
Approximate
Total Net Assets |
Performance-
Based Accounts ** |
|||
Select
Large-Cap
Value Fund |
Richard Rosen |
4
RICs
1 PIV 809 other accounts |
$1.65
billion
$51.51 million $2.67 billion |
None |
$50,001-
$100,000 (b) |
(2) | (10) |
Kari Montanus |
4
RICs
1 PIV 802 other accounts |
$1.65
billion
$51.51 million $2.66 billion |
None |
$10,001-
$50,000 (b) |
|||
Select
Smaller-Cap
Value Fund |
Richard Rosen |
4
RICs
1 PIV 809 other accounts |
$2.17
billion
$51.51 million $2.67 billion |
None |
$50,001-
$100,000 (b) |
(2) | (10) |
Kari Montanus |
4
RICs
1 PIV 802 other accounts |
$2.17
billion
$51.51 million $2.66 billion |
None |
$1
–
$10,000 (b) |
|||
Seligman
Communications
and Information Fund |
Paul Wick |
4
RICs
2 PIVs 3 other accounts |
$1.09
billion
$406.14 million $6.69 million |
None |
Over
$1,000,000 (a) |
(2) | (17) |
Sanjay Devgan |
3
RICs
1 PIV 2 other accounts |
$801.51
million
$29.86 million $0.39 million |
None | None | |||
Shekhar
Pramanick |
3
RICs
1 PIV 5 other accounts |
$801.51
million
$29.86 million $2.35 million |
None |
$100,001
–
$500,000 (a) |
|||
Clark
Westmont |
3 other accounts | $4.37 million | None | None | |||
Jeetil
Patel |
4 other accounts | $1.11 million | None | None | |||
Small/Mid
Cap
Value Fund |
Jarl Ginsberg |
4
RICs
14 other accounts |
$2.17
billion
$48.19 million |
None |
$50,001-
$100,000 (b) |
(2) | (10) |
Christian
Stadlinger |
4
RICs
11 other accounts |
$2.17
billion
$52.20 million |
None | None | |||
David Hoffman |
3
RICs
2 PIVs 9 other accounts |
$4.08
billion
$304.96 million $62.82 million |
None |
$50,001-
$100,000 (b) |
|||
U.S.
Government
Mortgage Fund |
Jason J. Callan |
3
RICs
6 PIVs 4 other accounts |
$1.85
billion
$15.56 billion $1.62 million |
None |
$50,001-
$100,000 (b) |
(2) | (10) |
Tom Heuer |
3
RICs
4 other accounts |
$1.85
billion
$1.57 million |
None |
$10,001
–
$50,000 (b) $10,001 – $50,000 (a) |
|||
For Funds with fiscal period ending July 31 | |||||||
AMT-Free
Tax-Exempt
Bond Fund |
Catherine
Stienstra |
4
RICs
3 PIVs 4 other accounts |
$3.01
billion
$1.68 billion $14.84 million |
None |
$100,001
–
$500,000 (b) |
(2) | (10) |
Disciplined Core Fund | Brian M. Condon |
21
RICs
2 PIVs 22 other accounts |
$9.90
billion
$145.95 million $5.11 billion |
None |
$100,001
–
$500,000 (b) |
(2) | (10) |
Peter Albanese |
6
RICs
2 PIVs 17 other accounts |
$8.29
billion
$145.95 million $4.96 billion |
None |
$1
–
$10,000 (b) |
Statement of Additional Information – January 1, 2016 | 103 |
Other Accounts Managed (excluding the Fund) |
Ownership
of Fund Shares |
Potential
Conflicts of Interest |
Structure
of Compensation |
||||
Fund | Portfolio Manager |
Number
and Type of Account * |
Approximate
Total Net Assets |
Performance-
Based Accounts ** |
|||
Disciplined Growth Fund | Brian M. Condon |
21
RICs
2 PIVs 22 other accounts |
$13.53
billion
$145.95 million $5.11 billion |
None |
$50,001
–
$100,000 (b) |
(2) | (10) |
Peter Albanese |
6
RICs
2 PIVs 17 other accounts |
$11.92
billion
$145.95 million $4.96 billion |
None |
$1
–
$10,000 (b) |
|||
Disciplined Value Fund | Brian M. Condon |
21
RICs
2 PIVs 22 other accounts |
$13.17
billion
$145.95 million $5.11 billion |
None |
$1
–
$10,000 (a) $100,001 – $500,000 (b) |
(2) | (10) |
Peter Albanese |
6
RICs
2 PIVs 17 other accounts |
$11.56
billion
$145.95 million $4.96 billion |
None |
$1
–
$10,000 (b) |
|||
Floating
Rate
Fund |
Lynn Hopton |
18
PIVs
12 other accounts |
$19.95
billion
$2.03 billion |
None | None | (2) | (18) |
Yvonne Stevens |
18
PIVs
16 other accounts |
$19.95
billion
$2.04 billion |
None | None | |||
Steve Staver | 2 other accounts | $1.03 million | None | None | |||
Ronald
Launsbach |
7 other accounts | $2.02 million | None | None | |||
Global
Opportunities
Fund |
Anwiti Bahuguna |
18
RICs
21 PIVs 17 other accounts |
$66.76
billion
$2.14 billion $128.22 million |
None |
$1
–
$10,000 (b) |
(2) | (10) |
Fred Copper |
2
RICs
1 PIV 7 other accounts |
$883.46
million
$145.99 million $52.17 million |
None |
$10,001
–
$50,000 (b) |
|||
Jeffrey Knight |
24
RICs
1 PIV 6 other accounts |
$67.90
billion
$12.50 million $12.05 million |
None |
$100,001
–
$500,000 (b) Over $1,000,000 (a) |
|||
Orhan Imer |
17
RICs
2 PIVs 10 other accounts |
$1.15
billion
$16.02 million $6.11 million |
None |
$10,001
–
$50,000 (b) |
|||
Toby Nangle |
7
RICs
5 PIVs 1 other account |
$6.18
billion
$191.50 million $5.11 million |
3 PIVs ($50 M) | None (c) | (8) | (11) | |
Income Opportunities Fund | Brian Lavin |
13
RICs
2 PIVs 5 other accounts |
$17.52
billion
$121.38 million $3.86 million |
None |
$100,001
–
$500,000 (a) $100,001 – $500,000 (b) |
(2) | (10) |
Inflation
Protected
Securities Fund |
Orhan Imer |
17
RICs
2 PIVs 10 other accounts |
$1.67
billion
$16.02 million $6.11 million |
None | None | (2) | (10) |
David Kennedy (h) | 18 other accounts | $227.57 million | None | None | |||
Limited
Duration
Credit Fund |
Tom Murphy |
12
RICs
28 PIVs 39 other accounts |
$2.66
billion
$34.43 billion $5.29 billion |
None |
Over
$1,000,000 (a) $500,001 – $1,000,000 (b) |
(2) | (10) |
Timothy J. Doubek |
10
RICs
35 other accounts |
$2.64
billion
$3.82 billion |
None |
$10,001
–
$50,000 (b) |
|||
Royce Wilson |
1
RIC
2 other accounts |
$950.32
million
$525,423 |
None |
$10,001
–
$50,000 (a) $50,001 – $100,000 (b) |
Statement of Additional Information – January 1, 2016 | 104 |
Statement of Additional Information – January 1, 2016 | 105 |
Other Accounts Managed (excluding the Fund) |
Ownership
of Fund Shares |
Potential
Conflicts of Interest |
Structure
of Compensation |
||||
Fund | Portfolio Manager |
Number
and Type of Account * |
Approximate
Total Net Assets |
Performance-
Based Accounts ** |
|||
Seligman
Global
Technology Fund |
Paul Wick |
4
RICs
2 PIVs 4 other accounts |
$4.08
billion
$158.22 million $5.64 million |
None | None | (2) | (17) |
Clark
Westmont (g) |
3 other accounts | $4.37 million | None | ||||
Shekhar
Pramanick |
3
RICs
1 PIV 5 other accounts |
$3.81
billion
$22.59 million $2.33 million |
None | ||||
Sanjay Devgan |
3
RICs
1 PIV 2 other accounts |
$3.81
billion
$22.59 million $357,495 |
None | ||||
Jeetil
Patel (g) |
4 other accounts | $1.11 million | None | ||||
Rahul Narang |
4
RICs
8 other accounts |
$1.26
billion
$64.54 million |
None | (2) | (10) |
* | RIC refers to a Registered Investment Company; PIV refers to a Pooled Investment Vehicle. |
** | Number and type of accounts for which the advisory fee paid is based in part or wholly on performance and the aggregate net assets in those accounts. |
(a) | Excludes any notional investments. |
(b) | Notional investments through a deferred compensation account. |
(c) | The Fund is available for sale only in the U.S. The portfolio managers do not reside in the U.S. and therefore do not hold any shares of the Fund. |
(d) | The ‘other account’ is a wrap fee platform which includes approximately 180 underlying clients for total assets of approximately $63 million. |
(e) | One of the ‘other accounts’ is a wrap fee platform which includes approximately 2,121 underlying clients for total assets of approximately $818 million and two of the ‘other accounts’ represent model portfolios for total assets of approximately $1.18 billion, which also have a number of underlying client accounts. |
(f) | The portfolio manager began managing the Fund after its last fiscal year end; reporting information is provided as of November 30, 2014. |
(g) | The portfolio manager began managing the Fund after its last fiscal year end; reporting information is provided as of May 31, 2015. |
(h) | The portfolio manager began managing the Fund after its last fiscal year end; reporting information is provided as of August 31, 2015. |
(i) | The portfolio manager began managing the Fund after its last fiscal year end; reporting information is provided as of July 31, 2015. |
(j) | The portfolio manager began managing the Fund after its last fiscal year end; reporting information is provided as of September 30, 2015. |
(1) | Columbia Management: Management of funds-of-funds differs from that of the other Funds. The portfolio management process is set forth generally below and in more detail in the Funds’ prospectus. |
Portfolio managers of the fund-of-funds may be involved in determining each funds-of-fund’s allocation among the three main asset classes (equity, fixed income and cash) and the allocation among investment categories within each asset class, as well as each funds-of-fund’s allocation among the underlying funds. |
■ | Because of the structure of the funds-of-funds, the potential conflicts of interest for the portfolio managers may be different than the potential conflicts of interest for portfolio managers who manage other Funds. |
■ | The Investment Manager and its affiliates may receive higher compensation as a result of allocations to underlying funds with higher fees. |
Statement of Additional Information – January 1, 2016 | 106 |
(2) | Columbia Management: Like other investment professionals with multiple clients, a Fund’s portfolio manager(s) may face certain potential conflicts of interest in connection with managing both the Fund and other accounts at the same time. The Investment Manager and the Funds have adopted compliance policies and procedures that attempt to address certain of the potential conflicts that portfolio managers face in this regard. Certain of these conflicts of interest are summarized below. |
The management of accounts with different advisory fee rates and/or fee structures, including accounts that pay advisory fees based on account performance (performance fee accounts), may raise potential conflicts of interest for a portfolio manager by creating an incentive to favor higher fee accounts. | |
Potential conflicts of interest also may arise when a portfolio manager has personal investments in other accounts that may create an incentive to favor those accounts. As a general matter and subject to the Investment Manager’s Code of Ethics and certain limited exceptions, the Investment Manager’s investment professionals do not have the opportunity to invest in client accounts, other than the funds. | |
A portfolio manager who is responsible for managing multiple funds and/or accounts may devote unequal time and attention to the management of those Funds and/or accounts. The effects of this potential conflict may be more pronounced where Funds and/or accounts managed by a particular portfolio manager have different investment strategies. | |
A portfolio manager may be able to select or influence the selection of the broker/dealers that are used to execute securities transactions for the Funds. A portfolio manager’s decision as to the selection of broker/dealers could produce disproportionate costs and benefits among the Funds and the other accounts the portfolio manager manages. | |
A potential conflict of interest may arise when a portfolio manager buys or sells the same securities for a Fund and other accounts. On occasions when a portfolio manager considers the purchase or sale of a security to be in the best interests of a Fund as well as other accounts, the Investment Manager’s trading desk may, to the extent consistent with applicable laws and regulations, aggregate the securities to be sold or bought in order to obtain the best execution and lower brokerage commissions, if any. Aggregation of trades may create the potential for unfairness to a Fund or another account if a portfolio manager favors one account over another in allocating the securities bought or sold. In addition, although the Investment Manager has entered into a personnel sharing arrangement with Threadneedle, the Investment Manager and Threadneedle maintain separate trading operations for their clients. By maintaining separate trading operations in this manner, the Funds may forego certain opportunities including the aggregation of trades across certain accounts managed by Threadneedle. This could result in the Funds competing in the market with one or more accounts managed by Threadneedle for similar trades. In addition, it is possible that the separate trading desks of the Investment Manager and Threadneedle may be on opposite sides of a trade execution for a Fund at the same time. | |
“Cross trades,” in which a portfolio manager sells a particular security held by a Fund to another account (potentially saving transaction costs for both accounts), could involve a potential conflict of interest if, for example, a portfolio manager is permitted to sell a security from one account to another account at a higher price than an independent third party would pay. The Investment Manager and the Funds have adopted compliance procedures that provide that any transactions between a Fund and another account managed by the Investment Manager are to be made at a current market price, consistent with applicable laws and regulations. | |
Another potential conflict of interest may arise based on the different investment objectives and strategies of a Fund and other accounts managed by its portfolio manager(s). Depending on another account’s objectives and other factors, a portfolio manager may give advice to and make decisions for a Fund that may differ from advice given, or the timing or nature of decisions made, with respect to another account. A portfolio manager’s investment decisions are the product of many factors in addition to basic suitability for the particular account involved. Thus, a portfolio manager may buy or sell a particular security for certain accounts, and not for a Fund, even though it could have been bought or sold for the Fund at the same time. A portfolio manager also may buy a particular security for one or more accounts when one or more other accounts are selling the security (including short sales). There may be circumstances when a portfolio manager’s purchases or sales of portfolio securities for one or more accounts may have an adverse effect on other accounts, including the Funds. | |
To the extent a Fund invests in underlying Funds, a portfolio manager will be subject to the potential conflicts of interest described in (1) above. |
Statement of Additional Information – January 1, 2016 | 107 |
A Fund’s portfolio manager(s) also may have other potential conflicts of interest in managing the Fund, and the description above is not a complete description of every conflict that could exist in managing the Fund and other accounts. Many of the potential conflicts of interest to which the Investment Manager’s portfolio managers are subject are essentially the same or similar to the potential conflicts of interest related to the Investment Management activities of the Investment Manager and its affiliates. |
(3) | SBH: The Code of Ethics and the Compliance Manual detail the requirements that each employee must disclose all potential conflicts of interest to the Chief Compliance Officer. Where warranted issuers (securities) may be placed on a watchlist to prevent any real or perceived conflict. |
(4) | Columbia Management: Management of the Income Builder Fund-of-Funds differs from that of the other funds. The portfolio management process is set forth generally below and in more detail in the Fund’s prospectus. |
The Investment Manager uses quantitative models combined with qualitative factors to determine the Funds’ allocations to the underlying funds. Using these methodologies, a group of the Investment Manager’s investment professionals allocates the Fund’s assets within and across different asset classes in an effort to achieve the Fund’s objective of providing a high level of current income and growth of capital. The Fund will typically be rebalanced monthly in an effort to maximize the level of income and capital growth, incorporating various measures of relative value subject to constraints that set minimum or maximum exposure within asset classes, as set forth in the prospectus. Within the equity and fixed income asset classes, the Investment Manager establishes allocations for the Funds, seeking to achieve each Fund’s objective by investing in defined investment categories. The target allocation range constraints are intended, in part, to promote diversification within the asset classes. | |
Because of the structure of funds-of-funds, the potential conflicts of interest for the portfolio managers may be different than the potential conflicts of interest for portfolio managers who manage other funds. These potential conflicts of interest include: |
■ | In certain cases, the portfolio managers of the underlying funds are the same as the portfolio managers of the Income Builder Fund-of-Funds, and could influence the allocation of fund-of-funds assets to or away from the underlying funds that they manage. |
■ | The Investment Manager and its affiliates may receive higher compensation as a result of allocations to underlying funds with higher fees. |
(5) | Donald Smith: Donald Smith & Co., Inc. is very sensitive to conflicts of interest that could possibly arise in its capacity of serving as an investment adviser. It remains committed to resolving any and all conflicts in the best interest of its clients. |
Donald Smith & Co., Inc. is an independent investment advisor with no parent or subsidiary organizations. Additionally, it has no brokerage or investment banking activities. | |
Clients include mutual funds, public and corporate pension plans, endowments and foundations, and other separate accounts. Donald Smith & Co., Inc. has put in place systems, policies and procedures, which have been designed to maintain fairness in portfolio management across all clients. Potential conflicts between funds or with other types of accounts are managed via allocation policies and procedures, internal review processes, and direct oversight by Donald G. Smith, President. |
(6) | Barrow Hanley: Actual or potential conflicts of interest may arise when a portfolio manager has management responsibilities to more than one account (including the Fund). Barrow Hanley manages potential conflicts between funds or with other types of accounts through allocation policies and procedures, internal review processes and oversight by directors and independent third parties to ensure that no client, regardless of type or fee structure, is intentionally favored at the expense of another. Allocation policies are designed to address potential conflicts in situations where two or more funds or accounts participate in investment decisions involving the same securities. |
Statement of Additional Information – January 1, 2016 | 108 |
(7) | MetWest Capital: MetWest Capital portfolio managers face inherent conflicts of interest in their day-to-day management of funds and other accounts because the funds may have different investment objectives, strategies and risk profiles than the other accounts managed by the portfolio managers. For instance, to the extent that the portfolio managers manage accounts with different investment strategies than the funds, they may from time to time be inclined to purchase securities, including initial public offerings, for one account but not for a fund. Additionally, some of the accounts managed by the portfolio managers may have different fee structures, including performance fees, which are or have the potential to be higher or lower, in some cases significantly higher or lower, than the fees paid by the funds. The differences in fee structures may provide an incentive to the portfolio managers to allocate more favorable trades to the higher-paying accounts. |
To minimize the effects of these inherent conflicts of interest, MetWest Capital has adopted and implemented policies and procedures, including brokerage and trade allocation policies and procedures, that it believes address the potential conflicts associated with managing portfolios for multiple clients and ensure that all clients are treated fairly and equitably. Additionally, MetWest Capital minimizes inherent conflicts of interest by assigning the portfolio managers to accounts having similar objectives. Accordingly, security block purchases are allocated to all accounts with similar objectives in proportionate weightings. Furthermore, MetWest Capital has adopted a Code of Ethics under Rule 17j-1 of the Investment Company Act and Rule 204A-1 under the Investment Advisers Act of 1940 to address potential conflicts associated with managing the funds and any personal accounts the portfolio managers may maintain. | |
The portfolio managers often provide investment management for separate accounts advised in the same or similar investment style as that provided to mutual funds. While management of multiple accounts could potentially lead to conflicts of interest over various issues such as trade allocation, fee disparities and research acquisition, MetWest Capital has implemented policies and procedures for the express purpose of ensuring that clients are treated fairly and that potential conflicts of interest are minimized. |
(8) | Threadneedle: Threadneedle portfolio managers may manage one or more mutual funds as well as other types of accounts, including proprietary accounts, separate accounts for institutions, and other pooled investment vehicles. Portfolio managers make investment decisions for an account or portfolio based on its investment objectives and policies, and other relevant investment considerations. A portfolio manager may manage a separate account or other pooled investment vehicle whose fees may be materially greater than the management fees paid by the Fund and may include a performance-based fee. Management of multiple funds and accounts may create potential conflicts of interest relating to the allocation of investment opportunities, and the aggregation and allocation of trades. In addition, a portfolio manager’s responsibilities at Threadneedle include working as a securities analyst. This dual role may give rise to conflicts with respect to making investment decisions for accounts that he/she manages versus communicating his/her analyses to other portfolio managers concerning securities that he/she follows as an analyst. |
Threadneedle has a fiduciary responsibility to all of the clients for which it manages accounts. Threadneedle seeks to provide best execution of all securities transactions and to aggregate securities transactions and then allocate securities to client accounts in a fair and timely manner. Threadneedle has developed policies and procedures, including brokerage and trade allocation policies and procedures, designed to mitigate and manage the potential conflicts of interest that may arise from the management of multiple types of accounts for multiple clients. |
(9) | DFA: Actual or apparent conflicts of interest may arise when a portfolio manager has the primary day-to-day responsibilities with respect to a mutual fund, such as the Variable Portfolio – DFA International Value Fund (“Fund”), and other accounts. Other accounts include registered mutual funds (including proprietary mutual funds advised by DFA or its affiliates), other unregistered pooled investment vehicles, and other accounts managed for organizations and individuals (“Accounts”). An Account may have similar investment objectives to the Fund, or may purchase, sell or hold securities that are eligible to be purchased, sold or held by a fund. Actual or apparent conflicts of interest include: |
■ | Time Management. The management of the Fund and other Accounts may result in a portfolio manager devoting unequal time and attention to the management of the fund and/or Accounts. DFA seeks to manage such competing interests for the time and attention of portfolio managers by having portfolio managers focus on a particular investment discipline. Most Accounts managed by a portfolio manager within an investment discipline are managed using the same investment approach. |
■ | Investment Opportunities. It is possible that at times identical securities will be held by the Fund and one or more Accounts. However, positions in the same security may vary and the length of time that the Fund may hold investments in the same security may likewise vary. If a portfolio manager identifies a limited investment opportunity that may be suitable for the Fund and one or more Accounts, the Fund may not be able to take full advantage of that opportunity due to an allocation of filled purchase or sale orders across all eligible Accounts. To address these situations, DFA has adopted procedures for allocating portfolio transactions across multiple Accounts. |
Statement of Additional Information – January 1, 2016 | 109 |
■ | Broker Selection. With respect to securities transactions for the Fund, DFA determines which broker to use to execute each order, consistent with its duty to seek best execution of the transaction. However, with respect to certain Accounts (such as separate accounts), DFA may be limited by the client with respect to the selection of brokers or may be instructed to direct trades through a particular broker. In these cases, DFA or its affiliates may place separate, non-simultaneous, transactions for the Fund and another Account that may temporarily affect the market price of the security or the execution of the transaction, or both, to the detriment of the Fund or the Account. |
■ | Performance-Based Fees. For some Accounts, DFA may be compensated based on the profitability of the Account, such as by a performance-based management fee. These incentive compensation structures may create a conflict of interest for DFA with regard to Accounts where DFA is paid based on a percentage of assets because the portfolio manager may have an incentive to allocate securities preferentially to the Accounts where DFA might share in investment gains. |
■ | Investment in an Account. A portfolio manager or his/her relatives may invest in an Account that he or she manages and a conflict may arise where he or she may therefore have an incentive to treat the Account in which the portfolio manager or his/her relatives invest preferentially as compared to other Accounts for which he or she has portfolio management responsibilities. |
(10) | Columbia Management: Direct compensation is typically comprised of a base salary, and an annual incentive award that is paid either in the form of a cash bonus if the size of the award is under a specified threshold, or, if the size of the award is over a specified threshold, the award is paid in a combination of a cash bonus, an equity incentive award, and deferred compensation. Equity incentive awards are made in the form of Ameriprise Financial restricted stock, or for more senior employees both Ameriprise Financial restricted stock and stock options. The investment return credited on deferred compensation is based on the performance of specified Columbia Funds, in most cases including the Columbia Funds the portfolio manager manages. |
Base salary is typically determined based on market data relevant to the employee’s position, as well as other factors including internal equity. Base salaries are reviewed annually, and increases are typically given as promotional increases, internal equity adjustments, or market adjustments. | |
Annual incentive awards are variable and are based on (1) an evaluation of the employee’s investment performance and (2) the results of a peer and/or management review of the employee, which takes into account skills and attributes such as team participation, investment process, communication, and professionalism. Scorecards are used to measure performance of Columbia Funds and other accounts managed by the employee versus benchmarks and peer groups. Performance versus benchmark and peer group is generally weighted for the rolling one, three, and five year periods. One year performance is weighted 10%, three year performance is weighted 60%, and five year performance is weighted 30%. Relative asset size is a key determinant for fund weighting on a scorecard. Typically, weighting would be proportional to actual assets. Consideration may also be given to performance in managing client assets in sectors and industries assigned to the employee as part of his/her investment team responsibilities, where applicable. For leaders who also have group management responsibilities, another factor in their evaluation is an assessment of the group’s overall investment performance. | |
Equity incentive awards are designed to align participants’ interests with those of the shareholders of Ameriprise Financial. Equity incentive awards vest over multiple years, so they help retain employees. | |
Deferred compensation awards are designed to align participants’ interests with the investors in the Columbia Funds and other accounts they manage. The value of the deferral account is based on the performance of Columbia Funds. Employees have the option of selecting from various Columbia Funds for their deferral account, however portfolio managers must allocate a minimum of 25% of their incentive awarded through the deferral program to the Columbia Fund(s) they manage. Deferrals vest over multiple years, so they help retain employees. | |
In addition to the annual incentive award described above, top performing portfolio managers may also receive additional equity awards with extended vesting terms. | |
Exceptions to this general approach to bonuses exist for certain teams and individuals. Funding for the bonus pool is determined by management and depends on, among other factors, the levels of compensation generally in the investment management industry taking into account investment performance (based on market compensation data) and both Ameriprise Financial and Columbia Management profitability for the year, which is largely determined by assets under management. |
Statement of Additional Information – January 1, 2016 | 110 |
For all employees the benefit programs generally are the same, and are competitive within the Financial Services Industry. Employees participate in a wide variety of plans, including options in Medical, Dental, Vision, Health Care and Dependent Spending Accounts, Life Insurance, Long Term Disability Insurance, 401(k), and a cash balance pension plan. |
(11) | Threadneedle: To align the interests of its investment staff with those of Threadneedle’s clients, the remuneration plan for senior individuals comprises basic salary and an annual profit share scheme (linked to individual performance and the profitability of the company) delivered partly as a cash incentive, and partly as a deferred long-term incentive which Threadneedle believes encourages longevity of service, split equally between Restricted Stock Units in Ameriprise Financial and reinvestment into a suite of Threadneedle’s own funds. Investment performance is a major factor within that performance appraisal, judged relative to each fund’s targets on a 1- and 3-year basis, with a bias towards 3-year performance in order to incentivize delivery of longer-term performance. Threadneedle Fund Deferral program, through which the deferral is notionally invested in a number of Threadneedle funds, vesting in three equal parts over three years, provides a strong tie for Threadneedle’s investment professionals to client interests. |
The split between each component within the remuneration package varies between investment professionals and will be dependent upon performance and the type of funds they manage. | |
Incentives are devised to reward: |
■ | investment performance and Threadneedle client requirements, in particular the alignment with Threadneedle clients through a mandatory deferral into Threadneedle’s own products; and |
■ | team cooperation and values. |
■ | performance of the individual’s own funds and research recommendations; |
■ | performance of all portfolios in the individual’s team; |
■ | overall contribution to the wider thinking and success of the investment team, for example, idea generation, interaction with colleagues and commitment to assist with the sales effort; and |
■ | Threadneedle performance. |
■ | inter-team discussions, including asset allocation, global sector themes and weekly investment meetings; |
■ | intra-team discussions, stock research and investment insights; and |
■ | a fund manager’s demonstration of Threadneedle values, as part of Threadneedle’s team-based investment philosophy. |
(12) | DFA: Portfolio managers receive a base salary and bonus. Compensation of a portfolio manager is determined at the discretion of DFA and is based on a portfolio manager’s experience, responsibilities, the perception of the quality of his or her work efforts and other subjective factors. The compensation of portfolio managers is not directly based upon the performance of the mutual funds or other accounts that the portfolio managers manage. DFA reviews the compensation of each portfolio manager annually and may make modifications in compensation as it deems necessary to reflect changes in the market. Each portfolio manager’s compensation consists of the following: |
■ | Base salary. Each portfolio manager is paid a base salary. DFA considers the factors described above to determine each portfolio manager’s base salary. |
■ | Semi-Annual Bonus. Each portfolio manager may receive a semi-annual bonus. The amount of the bonus paid to each portfolio manager is based upon the factors described above. |
Statement of Additional Information – January 1, 2016 | 111 |
(13) | Donald Smith: All employees at Donald Smith & Co., Inc. are compensated on incentive plans. The compensation for portfolio managers, analysts and traders at Donald Smith consists of a base salary, a partnership interest in the firm’s profits, and possibly an additional, discretionary bonus. This discretionary bonus can exceed 100% of the base salary if performance for clients exceeds established benchmarks. The current benchmark utilized is the Russell 2000 Value Index. Additional distribution of firm ownership is a strong motivation for continued employment at Donald Smith & Co., Inc. Administrative personnel are also given a bonus as a function of their contribution and the profitability of the firm. |
(14) | Barrow Hanley: In addition to base salary, all portfolio managers and analysts at Barrow Hanley share in a bonus pool that is distributed semi-annually. Portfolio managers and analysts are rated on their value added to the team-oriented investment process. Overall compensation applies with respect to all accounts managed and compensation does not differ with respect to distinct accounts managed by a portfolio manager. Compensation is not tied to a published or private benchmark. It is important to understand that contributions to the overall investment process may include not recommending securities in an analyst’s sector if there are no compelling opportunities in the industries covered by that analyst. |
The compensation of portfolio managers is not directly tied to fund performance or growth in assets for any fund or other account managed by a portfolio manager and portfolio managers are not compensated for bringing in new business. Of course, growth in assets from the appreciation of existing assets and/or growth in new assets will increase revenues and profit. The consistent, long-term growth in assets at any investment firm is to a great extent, dependent upon the success of the portfolio management team. The compensation of the portfolio management team at Barrow Hanley will increase over time, if and when assets continue to grow through competitive performance. Lastly, many of our key investment personnel have a longer-term incentive compensation plan in the form of an equity interest in Barrow, Hanley, Mewhinney & Strauss, LLC. |
(15) | MetWest Capital: Compensation for investment professionals consists of a base salary and revenue-sharing bonus. A material portion of each professional’s annual compensation is in the form of a bonus tied to MetWest Capital’s Pelican Value Equity team revenues, results relative to clients’ benchmarks, overall client satisfaction and individual contribution. |
MetWest Capital’s compensation system is not determined on an account-specific basis. Rather, bonuses are tied to overall MetWest Capital’s Pelican Value Equity team revenues and composite performance relative to the benchmark. To reinforce long-term focus, performance is measured over longer time periods (typically three to five years). Portfolio Managers and Analysts are encouraged to maintain a long-term focus and are not compensated for the number of their recommendations that are purchased in the portfolio. Rather, their bonuses are tied to overall strategy performance. | |
Long-term retention agreements have been put in place for eligible members of MetWest Capital’s investment team. These agreements augment those incentive opportunities already in place. |
(16) | SBH: Members of the Small Cap team are paid a salary that is competitive with industry standards and an incentive bonus based on a combination of individual and strategy performance. Marketers and client service personnel receive base salary and commission. |
(17) | Columbia Management: Portfolio manager compensation is typically comprised of (i) a base salary and (ii) an annual cash bonus. The annual cash bonus, and in some instances the base salary, are paid from a team bonus pool that is based on fees and performance of the accounts managed by the portfolio management team, which might include mutual funds, wrap accounts, institutional portfolios and hedge funds. |
The percentage of management fees on mutual funds and long-only institutional portfolios that fund the bonus pool is based on the short term (typically one-year) and long-term (typically three-year and five-year) performance of those accounts in relation to the relevant peer group universe. | |
A fixed percentage of management fees on hedge funds and separately managed accounts that follow a hedge fund mandate fund the bonus pool. | |
The percentage of performance fees on hedge funds and separately managed accounts that follow a hedge fund mandate that fund the bonus pool is based on the absolute level of each hedge fund’s current year investment return. |
Statement of Additional Information – January 1, 2016 | 112 |
For all employees the benefit programs generally are the same, and are competitive within the Financial Services Industry. Employees participate in a wide variety of plans, including options in Medical, Dental, Vision, Health Care and Dependent Spending Accounts, Life Insurance, Long Term Disability Insurance, 401(k), and a cash balance pension plan. |
(18) | Columbia Management: Portfolio manager compensation is typically comprised of (i) a base salary, and (ii) an annual cash bonus. The annual cash bonus is paid from team bonus pools. Funding for two of the bonus pools is based upon a percentage of profits or revenue generated by the institutional portfolios they manage. The portfolio managers may also be paid from a separate bonus pool based upon the performance of the mutual fund(s) they manage. Funding for this bonus pool is determined by a percentage of the aggregate assets under management in the mutual fund(s) they manage, and by the one, three and five year performance of the mutual fund(s) in relation to the relevant peer group universe. |
Senior management of Columbia Management has the discretion to increase or decrease the size of the bonus pool related to mutual funds and to determine the exact amount of each portfolio manager’s bonus paid from this portion of the bonus pool based on his/her performance as an employee. Senior management of Columbia Management does not have discretion over the size of the bonus pool related to institutional portfolios. | |
For all employees the benefit programs generally are the same, and are competitive within the Financial Services Industry. Employees participate in a wide variety of plans, including options in Medical, Dental, Vision, Health Care and Dependent Spending Accounts, Life Insurance, Long Term Disability Insurance, 401(k), and a cash balance pension plan. |
Funds |
Asset
Levels
(in Millions) |
Applicable
Fee Rate |
Absolute Return Currency and Income Fund; Asia Pacific ex-Japan Fund; European Equity Fund; Global Bond Fund; Select Global Equity Fund | $0-$500 | 0.080% |
>$500-$1,000 | 0.075% | |
>$1,000-$3,000 | 0.070% | |
>$3,000-$12,000 | 0.060% | |
>$12,000 | 0.050% |
Statement of Additional Information – January 1, 2016 | 113 |
Funds |
Asset
Levels
(in Millions) |
Applicable
Fee Rate |
Emerging Markets Bond Fund | $0-$500 | 0.070% |
>$500-$1,000 | 0.065% | |
>$1,000-$3,000 | 0.060% | |
>$3,000-$12,000 | 0.050% | |
>$12,000 | 0.040% | |
Capital Allocation Portfolios; Income Builder Fund; Global Strategic Equity Fund | All Assets | 0.020% |
Seligman Global Technology Fund | $0-$500 | 0.060% |
>$500-$1,000 | 0.055% | |
>$1,000-$3,000 | 0.050% | |
>$3,000-$12,000 | 0.040% | |
>$12,000 | 0.030% |
Administrative Services Fees | |||
2015 | 2014 | 2013 | |
For Funds with fiscal period ending January 31 | |||
Capital Allocation Aggressive Portfolio | $133,066 | $121,626 | $111,051 |
Capital Allocation Conservative Portfolio | 62,651 | 69,740 | 65,589 |
Capital Allocation Moderate Aggressive Portfolio | 473,854 | 433,518 | 213,998 |
Capital Allocation Moderate Conservative Portfolio | 138,522 | 128,628 | 25,851 |
Capital Allocation Moderate Portfolio | 338,662 | 324,687 | 298,998 |
Global Strategic Equity Fund | 165,097 | 157,611 | 150,091 |
Income Builder Fund | 266,133 | 222,085 | 172,633 |
For Funds with fiscal period ending February 28/29 | |||
Convertible Securities Fund | 659,319 | 386,205 | 317,615 |
Global Equity Value Fund | 610,580 | 637,659 | 352,140 |
International Opportunities Fund | 106,123 | 201,595 | 885,760 |
International Value Fund (a) | 183,216 | 358,512 | 1,734,302 |
Large Cap Enhanced Core Fund | 198,742 | 155,643 | 168,003 |
Large Cap Growth Fund II | 596,455 | 608,088 | 2,715,082 |
Large Cap Growth Fund III | 613,569 | 733,158 | 3,771,874 |
Large Cap Growth Fund V | 1,019,361 | 1,110,866 | 5,475,810 |
Large Cap Index Fund | 3,376,904 | 2,824,934 | 2,516,462 |
Mid Cap Index Fund | 3,796,538 | 3,214,924 | 2,425,603 |
Mid Cap Value Fund | 1,908,716 | 1,911,227 | 1,847,219 |
Overseas Value Fund | 585,710 | 242,402 | 23,311 |
Select Global Growth Fund | 39,152 | 25,552 | 24,657 |
Select International Equity Fund | 485,890 | 700,784 | 882,560 |
Select Large Cap Equity Fund | 306,109 | 343,281 | 470,848 |
Small Cap Index Fund | 2,955,890 | 2,436,410 | 1,875,113 |
Small Cap Value Fund II | 1,308,311 | 1,232,271 | 1,127,515 |
For Funds with fiscal period ending March 31 | |||
Short Term Bond Fund | 1,575,615 | 1,714,352 | 1,732,091 |
For Funds with fiscal period ending April 30 | |||
AMT-Free CA Intermediate Muni Bond Fund | 232,082 | 201,539 | 205,113 |
Statement of Additional Information – January 1, 2016 | 114 |
Administrative Services Fees | |||
2015 | 2014 | 2013 | |
AMT-Free GA Intermediate Muni Bond Fund | $54,601 | $59,149 | $72,488 |
AMT-Free MD Intermediate Muni Bond Fund | 62,372 | 74,179 | 99,254 |
AMT-Free NC Intermediate Muni Bond Fund | 124,667 | 123,426 | 153,709 |
AMT-Free SC Intermediate Muni Bond Fund | 87,389 | 92,375 | 117,813 |
AMT-Free VA Intermediate Muni Bond Fund | 158,599 | 191,743 | 244,361 |
Global Infrastructure Fund | 262,792 | 345,541 | 390,799 |
Short Term Municipal Bond Fund | 1,291,573 | 1,264,155 | 1,367,486 |
For Funds with fiscal period ending May 31 | |||
AP – Multi-Manager Value Fund | 965,954 | 654,474 | 389,955 |
Commodity Strategy Fund | 30,884 | 47,910 | 47,681 |
Diversified Equity Income Fund | 1,437,174 | 1,488,857 | 1,565,210 |
Dividend Opportunity Fund | 2,839,743 | 2,777,270 | 2,317,635 |
Flexible Capital Income Fund | 356,044 | 118,679 | 60,988 |
High Yield Bond Fund | 1,275,724 | 1,235,345 | 1,136,506 |
Mortgage Opportunities Fund | 129,742 | 6,058 (b) | N/A |
Multi-Advisor Small Cap Value Fund | 297,555 | 303,827 | 263,048 |
Select Large-Cap Value Fund | 562,728 | 410,760 | 291,937 |
Select Smaller-Cap Value Fund | 384,818 | 373,131 | 300,791 |
Seligman Communications and Information Fund | 1,879,754 | 1,707,269 | 1,746,336 |
Small/Mid Cap Value Fund | 718,042 | 894,822 | 868,332 |
U.S. Government Mortgage Fund | 1,188,946 | 1,243,886 | 1,521,599 |
For Funds with fiscal period ending July 31 | |||
AMT-Free Tax-Exempt Bond Fund | 411,139 | 386,949 | 445,257 |
Disciplined Core Fund | 2,055,336 | 1,916,648 | 1,772,519 |
Disciplined Growth Fund | 383,325 | 315,368 | 321,329 |
Disciplined Value Fund | 545,298 | 348,109 | 168,846 |
Floating Rate Fund | 655,573 | 743,819 | 441,027 |
Global Opportunities Fund | 420,623 | 464,744 | 473,470 |
Income Opportunities Fund | 1,989,596 | 1,957,561 | 1,820,985 |
Inflation Protected Securities Fund | 165,294 | 189,657 | 263,695 |
Limited Duration Credit Fund | 774,188 | 729,816 | 728,804 |
MN Tax-Exempt Fund | 307,477 | 287,171 | 316,928 |
Money Market Fund | 921,758 | 1,002,488 | 1,031,373 |
For Funds with fiscal period ending August 31 | |||
Large Cap Growth Fund IV | 123,403 | 125,410 | 86,382 |
2014 | 2013 | 2012 | |
For Funds with fiscal period ending October 31 | |||
Absolute Return Currency and Income Fund | 43,247 | 75,213 | 88,948 |
Asia Pacific ex-Japan Fund | 526,126 | 388,921 | 338,241 |
Emerging Markets Bond Fund | 519,939 | 549,411 | 381,281 |
European Equity Fund | 463,460 | 311,340 | 273,680 |
Global Bond Fund | 118,359 | 169,361 | 213,057 |
Select Global Equity Fund | 319,709 | 302,867 | 319,567 |
Statement of Additional Information – January 1, 2016 | 115 |
Administrative Services Fees | |||
2014 | 2013 | 2012 | |
Seligman Global Technology Fund | $281,879 | $249,552 | $282,500 |
(a) | The administrative services fees were paid prior to December 14, 2013 at both the Master Portfolio-and Feeder Fund-levels; amounts shown above for the fiscal year ended 2013 and the fiscal period from March 1, 2013 to December 14, 2013, include only the portion paid at the Feeder Fund-level. |
(b) | For the period from April 30, 2014 (commencement of operations) to May 31, 2014. |
Statement of Additional Information – January 1, 2016 | 116 |
Statement of Additional Information – January 1, 2016 | 117 |
(a) | For the period from April 30, 2014 (commencement of operations) to May 31, 2014. |
Distribution Fee | Service Fee | Combined Total | |
Class A (Series of CFST) | — | — | 0.25% (a) |
Class A (Series of CFST II) | up to 0.25% | up to 0.25% | 0.25% (b) |
Class B | 0.75% (c) | 0.25% | 1.00% (d) |
Class C | 0.75% (c) | 0.25% | 1.00% (b) |
Class I | None | None | None |
Class K | None | None (e) | None |
Class R (Series of CFST) | 0.50% | — (f) | 0.50% |
Class R (Series of CFST II) | up to 0.50% (b) | up to 0.25% | 0.50% (f) |
Statement of Additional Information – January 1, 2016 | 118 |
(a) | Series of CFST pay a combined distribution and service fee pursuant to their combined shareholder servicing and distribution plan for Class A shares. |
(b) | Fee amounts noted apply to all Funds other than Money Market Fund, which, for each of Class A and Class W shares, pays distribution and service fees of 0.10%, and for Class C shares pays distribution fees of 0.75%. The Distributor has currently agreed not to be reimbursed by the Fund for 0.25% of the 0.50% fee for Class R shares of Columbia Money Market Fund. The Distributor has voluntarily agreed to waive the 12b-1 fees it receives from Class A, Class C, Class R and Class W shares of Money Market Fund. Compensation paid to selling agents may be suspended to the extent of the Distributor’s waiver of the 12b-1 fees on these specific share classes of these Funds. |
(c) | For Short Term Bond Fund, the Distributor has voluntarily agreed to waive a portion of the distribution fee for Class B and Class C shares so that the distribution fee does not exceed 0.30% and 0.60%, respectively, annually. |
(d) | Fee amounts noted apply to all Funds other than Money Market Fund, which pays distribution fees of up to 0.75% and service fees of up to 0.10% for a combined total of 0.85%. The Distributor has currently agreed not to be reimbursed by the Fund for 0.10% of the 0.85% fee for Class B shares of Money Market Fund. Class B shares are closed to new and existing investors. |
(e) | Under a Plan Administration Services Agreement, the Funds’ Class K shares pay for plan administration services, including services such as implementation and conversion services, account set-up and maintenance, reconciliation and account recordkeeping, education services and administration to various plan types, including 529 plans, retirement plans and health savings accounts. Shareholder services fees for Class K shares are not paid pursuant to a Rule 12b-1 plan. |
(f) | Class R shares of series of CFST pay a distribution fee pursuant to a Fund’s distribution (Rule 12b-1) plan for Class R shares and do not have a shareholder service plan for Class R shares. Series of CFST II have a distribution and shareholder service plan for Class R shares pursuant to which the maximum fee under the plan reimbursed for distribution expenses is equal on an annual basis to 0.50% of the average daily net assets attributable to Class R shares of the Funds, of which amount, up to 0.25% may be reimbursed for shareholder service expense. |
(g) | The shareholder servicing fees for Class T shares are up to 0.50% of average daily net assets attributable to Class T shares for equity Funds and 0.40% for fixed income Funds. In general, the Funds currently limit such fees to a maximum of 0.25% for equity Funds and 0.15% for fixed income Funds. See Class T Shares Shareholder Service Fees below for more information. |
Statement of Additional Information – January 1, 2016 | 119 |
Statement of Additional Information – January 1, 2016 | 120 |
Statement of Additional Information – January 1, 2016 | 121 |
(a) | For the period from June 25, 2014 (commencement of operations) to January 31, 2015. |
Fund | Class B |
Percentage
of Class B net assets |
Class C |
Percentage
of Class C net assets |
Absolute Return Currency and Income Fund | $32,000 | 58.22% | $20,000 | 0.94% |
AMT-Free Tax-Exempt Bond Fund | 243,000 | 52.54% | 93,000 | 0.54% |
Asia Pacific ex-Japan Fund | N/A | N/A | 2,000 | 0.66% |
Capital Allocation Aggressive Portfolio | 1,360,000 | 9.48% | 299,000 | 0.45% |
Capital Allocation Conservative Portfolio | 1,594,000 | 34.38% | 246,000 | 0.54% |
Capital Allocation Moderate Portfolio | 5,109,000 | 17.16% | 1,594,000 | 0.89% |
Commodity Strategy Fund | N/A | N/A | 2,000 | 0.89% |
Disciplined Core Fund | 5,764,000 | 15.34% | 1,320,000 | 2.64% |
Disciplined Growth Fund | 108,000 | 25.14% | 71,000 | 0.62% |
Statement of Additional Information – January 1, 2016 | 122 |
Fund | Class B |
Percentage
of Class B net assets |
Class C |
Percentage
of Class C net assets |
Disciplined Value Fund | $55,000 | 18.52% | $66,000 | 0.43% |
Diversified Equity Income Fund | 7,651,000 | 25.64% | 643,000 | 1.02% |
Dividend Opportunity Fund | 3,116,000 | 20.23% | 980,000 | 0.25% |
Emerging Markets Bond Fund | 119,000 | 20.77% | 278,000 | 0.86% |
European Equity Fund | 242,000 | 23.83% | 251,000 | 0.92% |
Flexible Capital Income Fund | N/A | N/A | 633,000 | 0.44% |
Floating Rate Fund | 1,114,000 | 51.58% | 670,000 | 0.68% |
Global Bond Fund | 532,000 | 62.18% | 54,000 | 1.77% |
Global Equity Value Fund | 1,520,000 | 27.17% | 39,000 | 0.17% |
Global Infrastructure Fund | 0 | 0.00% | 29,000 | 0.10% |
Global Opportunities Fund | 3,220,000 | 32.00% | 346,000 | 1.27% |
High Yield Bond Fund | 2,465,000 | 38.50% | 6,869,000 | 9.23% |
Income Builder Fund | 4,447,000 | 55.98% | 1,071,000 | 0.46% |
Income Opportunities Fund | 1,788,000 | 30.14% | 1,241,000 | 1.27% |
Inflation Protected Securities Fund | 417,000 | 128.62% | 133,000 | 1.43% |
Large Cap Growth Fund IV | N/A | N/A | 38,000 | 0.16% |
Limited Duration Credit Fund | 579,000 | 59.44% | 528,000 | 0.84% |
MN Tax-Exempt Fund | 106,000 | 27.72% | 331,000 | 0.64% |
Money Market Fund | 3,341,000 | 138.60% | 995,000 | 3.49% |
Multi-Advisor Small Cap Value Fund | 911,000 | 28.47% | 106,000 | 1.22% |
Select Global Equity Fund | 715,000 | 23.51% | 1,330,000 | 9.19% |
Select Large-Cap Value Fund | 36,000 | 3.15% | 2,781,000 | 3.64% |
Select Smaller-Cap Value Fund | 604,000 | 21.23% | 2,464,000 | 6.54% |
Seligman Communications and Information Fund | 0 | 0.00% | 18,040,000 | 2.57% |
Seligman Global Technology Fund | 145,000 | 4.96% | 4,291,000 | 5.17% |
Small/Mid Cap Value Fund | 1,605,000 | 18.18% | 315,000 | 1.03% |
U.S. Government Mortgage Fund | 715,000 | 50.30% | 203,000 | 0.53% |
Statement of Additional Information – January 1, 2016 | 123 |
Statement of Additional Information – January 1, 2016 | 124 |
Amounts Reimbursed | |||
2015 | 2014 | 2013 | |
For Funds with fiscal period ending January 31 | |||
Capital Allocation Aggressive Portfolio | $0 | $2 | $42,247 |
Capital Allocation Conservative Portfolio | 0 | 0 | 0 |
Capital Allocation Moderate Aggressive Portfolio | 0 | 0 | 0 |
Capital Allocation Moderate Conservative Portfolio | 0 | 0 | 172,293 |
Capital Allocation Moderate Portfolio | 0 | 0 | 0 |
Global Strategic Equity Fund | 0 | 0 | 376,520 |
Income Builder Fund | 0 | 0 | 17,281 |
For Funds with fiscal period ending February 28/29 | |||
Convertible Securities Fund | 2,214,261 | 1,386,820 | 1,123,957 |
Global Equity Value Fund | 0 | 46,438 | 586,764 |
International Opportunities Fund | 23,439 | 0 | 0 |
International Value Fund (a) | 89,781 | 274,239 | 1,437,231 |
Large Cap Enhanced Core Fund | 995,829 | 639,263 | 620,644 |
Large Cap Growth Fund II | 0 | 0 | 131,463 |
Large Cap Growth Fund III | 53,706 | 0 | 1,025,662 |
Large Cap Growth Fund V | 0 | 0 | 2,313,639 |
Large Cap Index Fund | 77,734 | 90,356 | 345,458 |
Mid Cap Index Fund | 7,188,619 | 6,337,793 | 5,049,926 |
Mid Cap Value Fund | 0 | 0 | 4 |
Overseas Value Fund | 0 | 783,102 | 76,755 |
Select Global Growth Fund | 101,593 | 90,302 | 78,204 |
Select International Equity Fund | 69,562 | 0 | 68,963 |
Select Large Cap Equity Fund | 279,840 | 278,009 | 284,624 |
Small Cap Index Fund | 70,146 | 80,248 | 67,196 |
Small Cap Value Fund II | 0 | 0 | 355,517 |
For Funds with fiscal period ending March 31 | |||
Short Term Bond Fund | 1,925,395 | 2,030,139 | 2,911,218 |
For Funds with fiscal period ending April 30 | |||
AMT-Free CA Intermediate Muni Bond Fund | 711,618 | 651,807 | 683,493 |
AMT-Free GA Intermediate Muni Bond Fund | 196,116 | 221,483 | 226,902 |
Statement of Additional Information – January 1, 2016 | 125 |
Amounts Reimbursed | |||
2015 | 2014 | 2013 | |
AMT-Free MD Intermediate Muni Bond Fund | $207,608 | $244,382 | $282,544 |
AMT-Free NC Intermediate Muni Bond Fund | 308,313 | 321,351 | 370,983 |
AMT-Free SC Intermediate Muni Bond Fund | 239,755 | 265,033 | 283,518 |
AMT-Free VA Intermediate Muni Bond Fund | 355,377 | 431,935 | 523,516 |
Global Infrastructure Fund | 0 | 0 | 0 |
Short Term Municipal Bond Fund | 3,264,887 | 3,155,193 | 3,478,062 |
For Funds with fiscal period ending May 31 | |||
AP – Multi-Manager Value Fund | 293,476 | 1,386,107 | 1,092,172 |
Commodity Strategy Fund | 85,471 | 104,298 | 149,155 |
Diversified Equity Income Fund | 1 | 156,136 | 1,515,231 |
Dividend Opportunity Fund | 0 | 0 | 0 |
Flexible Capital Income Fund | 80,230 | 227,197 | 209,792 |
High Yield Bond Fund | 147,188 | 0 | 115,435 |
Mortgage Opportunities Fund | 348,741 | 42,035 (b) | N/A |
Multi-Advisor Small Cap Value Fund | 770,888 | 842,083 | 896,928 |
Select Large-Cap Value Fund | 189,566 | 402,411 | 369,622 |
Select Smaller-Cap Value Fund | 0 | 52,609 | 428,854 |
Seligman Communications and Information Fund | 0 | 0 | 0 |
Small/Mid Cap Value Fund | 0 | 59,768 | 990,435 |
U.S. Government Mortgage Fund | 1,130,943 | 1,244,781 | 1,366,274 |
For Funds with fiscal period ending July 31 | |||
AMT-Free Tax-Exempt Bond Fund | 207,506 | 191,952 | 195,063 |
Disciplined Core Fund | 0 | 0 | 640,310 |
Disciplined Growth Fund | 0 | 1,070 | 137,896 |
Disciplined Value Fund | 65,160 | 146,833 | 410,400 |
Floating Rate Fund | 162,326 | 97,497 | 72,956 |
Global Opportunities Fund | 0 | 0 | 385,551 |
Income Opportunities Fund | 1,138,782 | 1,157,436 | 695,144 |
Inflation Protected Securities Fund | 799,875 | 729,928 | 755,565 |
Limited Duration Credit Fund | 295,544 | 288,780 | 90,524 |
MN Tax-Exempt Fund | 0 | 0 | 52,762 |
Money Market Fund | 10,270,185 | 12,790,488 | 12,993,538 |
For Funds with fiscal period ending August 31 | |||
Large Cap Growth Fund IV | 0 | 113 | 56,396 |
2014 | 2013 | 2012 | |
For Funds with fiscal period ending October 31 | |||
Absolute Return Currency and Income Fund | 42,771 | 135,327 | 253,058 |
Asia Pacific ex-Japan Fund | 0 | 0 | 0 |
Emerging Markets Bond Fund | 0 | 0 | 0 |
European Equity Fund | 0 | 0 | 25,194 |
Global Bond Fund | 412,555 | 497,635 | 483,448 |
Select Global Equity Fund | 1 | 240,279 | 578,988 |
Seligman Global Technology Fund | 0 | 210,904 | 442,372 |
Statement of Additional Information – January 1, 2016 | 126 |
(a) | The expenses were reimbursed prior to December 14, 2013 at both the Master Portfolio- and Feeder Fund-levels; amounts shown above for the fiscal year ended 2013 and the fiscal period from March 1, 2013 to December 14, 2013, only include the portion paid at the Feeder Fund-level. |
(b) | For the period from April 30, 2014 (commencement of operations) to May 31, 2014. |
Statement of Additional Information – January 1, 2016 | 127 |
Statement of Additional Information – January 1, 2016 | 128 |
Statement of Additional Information – January 1, 2016 | 129 |
Statement of Additional Information – January 1, 2016 | 130 |
Statement of Additional Information – January 1, 2016 | 131 |
Name, address, year of birth |
Position
held with Subsidiary
and length of service |
Principal occupation during past five years |
Anthony
P. Haugen
807 Ameriprise Financial Center, Minneapolis, MN 55474-2405 Born 1964 |
Director
since
November 2013 |
Vice
President – Finance, Ameriprise Financial, Inc.
since June 2004 |
Amy
K. Johnson
5228 Ameriprise Financial Center Minneapolis, MN 55474-2405 Born 1965 |
Director
since
November 2013 |
See Fund Governance – Fund Officers . |
Christopher
O. Petersen
5228 Ameriprise Financial Center Minneapolis, MN 55474-2405 Born 1970 |
Director
since
January 2015 |
See Fund Governance – Fund Officers . |
Statement of Additional Information – January 1, 2016 | 132 |
Statement of Additional Information – January 1, 2016 | 133 |
Statement of Additional Information – January 1, 2016 | 134 |
Statement of Additional Information – January 1, 2016 | 135 |
Statement of Additional Information – January 1, 2016 | 136 |
Name,
address,
year of birth |
Position
held
with Funds and length of service |
Principal
occupation(s)
during past five years and other relevant professional experience |
Number
of funds in the Fund Family overseen by Board member |
Other
present or past
directorships/trusteeships (within past 5 years) |
Committee
memberships |
Minor
M. Shaw
901 S. Marquette Ave. Minneapolis, MN 55402 1947 |
Board member since 6/11 for RiverSource Funds and since 2003 for Nations Funds | President, Micco LLC (private investments) since 2011; President, Micco Corp. (family investment business), 1998-2011 | 125 | Director, Piedmont Natural Gas; Director, BlueCross BlueShield of South Carolina since April 2008; Chair of the Duke Endowment; Director, National Association of Corporate Directors, Carolinas Chapter, since 2013; Chair of Greenville – Spartanburg Airport Commission; former Trustee, BofA Funds Series Trust (11 funds), 2003-2011 | Board Governance, Contracts, Investment Review |
Alison
Taunton-Rigby
901 S. Marquette Ave. Minneapolis, MN 55402 1944 |
Board member since 11/02 for RiverSource Funds and since 6/11 for Nations Funds | Managing Director, Forester Biotech (consulting), 2001 - 2003; Chief Executive Officer and Director, RiboNovix, Inc., (biotechnology), 2003-2010; President and Chief Executive Officer of CMT Inc., 2001-2003; Aquila Biopharmaceuticals Inc., 1996-2000; Cambridge Biotech Corporation, 1995-1996, Mitotix Inc., 1993-1994 | 127 | Director, Healthways, Inc. (health and well-being solutions) since 2005; Director, ICI Mutual Insurance Company, since 2011; Director, Abt Associates (government contractor) since 2001; Director, Boston Children’s Hospital since 2002 | Board Governance, Audit, Investment Review |
Name,
address,
year of birth |
Position
held
with funds and length of service |
Principal
occupation(s)
during past five years and other relevant professional experience |
Number
of
funds in the Fund Family overseen by Board member |
Other
present or past
directorships/trusteeships (within past 5 years) |
Committee
memberships |
Anthony
M. Santomero
901 S. Marquette Ave. Minneapolis, MN 55402 1946 |
Board member since 6/11 for RiverSource Funds and since 1/08 for Nations Funds | Richard K. Mellon Professor Emeritus of Finance, The Wharton School, University of Pennsylvania, since 2002; Senior Advisor, McKinsey & Company (consulting), 2006-2008; President, Federal Reserve Bank of Philadelphia, 2000-2006, Professor of Finance, The Wharton School, University of Pennsylvania, 1972-2002 | 125 | Director, Renaissance Reinsurance Ltd. since May 2008; Trustee, Penn Mutual Life Insurance Company since March 2008; Director, Citigroup Inc. since 2009; Director, Citibank, N.A. since 2009; former Trustee, BofA Funds Series Trust (11 funds), 2008-2011 | Compliance, Executive, Investment Review |
* | Dr. Santomero is not an affiliated person of the Investment Manager or Ameriprise Financial. However, he is currently deemed by the Funds to be an “interested person” (as defined in the 1940 Act) of the Funds because he serves as a Director of Citigroup Inc. and Citibank, N.A., companies that may directly or through subsidiaries and affiliates engage from time-to-time in brokerage execution, principal transactions and lending relationships with the Funds or accounts advised/managed by the Investment Manager. |
Statement of Additional Information – January 1, 2016 | 137 |
* | Interested person (as defined under the 1940 Act) by reason of being an officer, director, security holder and/or employee of the Investment Manager or Ameriprise Financial. |
Statement of Additional Information – January 1, 2016 | 138 |
Statement of Additional Information – January 1, 2016 | 139 |
Statement of Additional Information – January 1, 2016 | 140 |
Statement of Additional Information – January 1, 2016 | 141 |
Statement of Additional Information – January 1, 2016 | 142 |
Fiscal Period |
Audit
Committee |
Compliance
Committee |
Contracts
Committee |
Executive
Committee |
Governance
Committee |
Investment
Review Committee |
For
Funds with fiscal period
ending January 31 |
5 | 5 | 6 | 0 | 6 | 6 |
For
Funds with fiscal period
ending February 28/29 |
5 | 5 | 6 | 0 | 6 | 6 |
For
Funds with fiscal period
ending March 31 |
5 | 5 | 5 | 0 | 6 | 6 |
For
Funds with fiscal period
ending April 30 |
5 | 5 | 6 | 0 | 6 | 6 |
For
Funds with fiscal period
ending May 31 |
5 | 5 | 6 | 0 | 6 | 6 |
For
Funds with fiscal period
ending July 31 |
5 | 5 | 6 | 0 | 6 | 6 |
For
Funds with fiscal period
ending August 31 |
5 | 5 | 6 | 0 | 6 | 6 |
For
Funds with fiscal period
ending October 31 |
5 | 5 | 6 | 1 | 5 | 6 |
Statement of Additional Information – January 1, 2016 | 143 |
Statement of Additional Information – January 1, 2016 | 144 |
Blatz | Boudreau | Carlton | Carmichael | Flynn | Hawkins | Hilliard | Paglia | Richie | Shaw |
Taunton-
Rigby |
|
Absolute Return Currency and Income Fund | A | A | A | E (a) | A | A | A | A | A | A | A |
AMT-Free CA Intermediate Muni Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
AMT-Free GA Intermediate Muni Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
AMT-Free MD Intermediate Muni Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
AMT-Free NC Intermediate Muni Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
AMT-Free SC Intermediate Muni Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
AMT-Free Tax-Exempt Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
AMT-Free VA Intermediate Muni Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
AP - Multi-Manager Value Fund | A | A | A | A | A | A | A | A | A | A | A |
Asia Pacific ex-Japan Fund | A | A | A | A | A | A | A | A | A | A | A |
Capital Allocation Aggressive Portfolio | A | C (a) | A | A | A | A | A | A | A | A | A |
Capital Allocation Conservative Portfolio | A | A | A | A | A | A | A | A | A | A | A |
Capital Allocation Moderate Aggressive Portfolio | A | C | A | A | A | A | A | A | A | A | A |
Capital Allocation Moderate Conservative Portfolio | A | E (a) | A | A | A | A | A | A | A | A | A |
Capital Allocation Moderate Portfolio | A | D (a) | A | A | A | A | A | A | A | A | A |
Commodity Strategy Fund | A | A | A | A | A | A | A | A | A | A | A |
Convertible Securities Fund | A | C (a) | B | A | A | A | A | A | A | C (b) | A |
Disciplined Core Fund | A | A | E (a) | A | A | A | A | A | A | A | A |
Disciplined Growth Fund | A | A | A | A | A | A | A | A | A | A | A |
Disciplined Value Fund | A | A | A | A | A | A | A | A | A | A | A |
Diversified Equity Income Fund | A | A | A | A | A | C | A | A | A | A | A |
Dividend Opportunity Fund | E | A | C | A | A | A | A | A | A | E (a) | E |
Emerging Markets Bond Fund | A | A | A | A | A | A | A | A | A | C (b) | A |
European Equity Fund | A | A | C (a) | A | A | A | A | A | A | D (b) | A |
Flexible Capital Income Fund | A | A | A | E (a) | A | A | A | E (a) | A | A | A |
Floating Rate Fund | A | A | A | A | E (a) | A | A | A | A | A | A |
Global Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
Global Equity Value Fund | A | A | A | A | A | A | A | A | A | A | A |
Global Infrastructure Fund | C | A | A | A | A | A | A | A | A | A | A |
Global Opportunities Fund | A | A | C (a) | E (a) | C | A | A | A | A | A | A |
Global Strategic Equity Fund | A | A | A | A | A | A | A | A | A | A | A |
High Yield Bond Fund | A | A | C | A | A | A | A | A | A | A | A |
Income Builder Fund | A | A | A | A | A | A | A | A | A | A | E |
Income Opportunities Fund | A | A | C | A | A | C | A | A | A | C (b) | A |
Inflation Protected Securities Fund | A | A | A | A | A | A | A | A | A | A | A |
International Opportunities Fund | A | A | A | A | A | A | A | A | A | A | A |
Statement of Additional Information – January 1, 2016 | 145 |
Blatz | Boudreau | Carlton | Carmichael | Flynn | Hawkins | Hilliard | Paglia | Richie | Shaw |
Taunton-
Rigby |
|
International Value Fund | A | A | A | E | A | E (a) | A | A | A | A | A |
Large Cap Enhanced Core Fund | A | C (a) | D | A | E (a) | A | A | A | A | A | A |
Large Cap Growth Fund II | A | A | A | A | A | A | A | A | A | A | A |
Large Cap Growth Fund III | A | A | A | A | A | A | E (a) | A | A | E (a) | A |
Large Cap Growth Fund IV | A | A | A | A | A | A | A | A | A | A | A |
Large Cap Growth Fund V | A | A | A | A | A | A | A | A | A | A | A |
Large Cap Index Fund | A | A | A | A | E (a) | A | A | A | E | C (b) | E (a) |
Limited Duration Credit Fund | A | A | A | A | A | A | A | A | A | A | A |
Mid Cap Index Fund | A | A | A | E (a) | A | E (a) | A | A | A | E (a) | E (a) |
Mid Cap Value Fund | A | A | C | A | A | A | A | A | A | A | A |
MN Tax-Exempt Fund | A | A | A | A | A | A | A | A | A | A | A |
Money Market Fund | A | B (a) | C (a) | B (a) | C (a) | B (a) | B (a) | C (a) | A | C (a) | C (a) |
Multi-Advisor Small Cap Value Fund | A | A | A | A | A | A | A | A | A | A | D |
Overseas Value Fund | A | A | C (a) | A | A | A | A | A | A | A | A |
Select Global Equity Fund | E | A | C (a) | A | A | A | D (a) | A | A | A | A |
Select Global Growth Fund | A | A | A | A | A | A | A | A | A | A | A |
Select International Equity Fund | E | A | C (a) | A | C (a) | A | A | A | A | A | A |
Select Large Cap Equity Fund | A | D (a) | A | A | A | A | A | A | A | A | A |
Select Large-Cap Value Fund | A | A | E (a) | A | A | A | A | A | A | A | A |
Select Smaller-Cap Value Fund | A | A | A | A | E (a) | A | A | E (a) | A | A | A |
Seligman Communications and Information Fund | D | A | A | A | D (a) | A | A | A | A | A | A |
Seligman Global Technology Fund | B | C | A | A | A | A | A | A | A | A | A |
Short Term Bond Fund | A | E (a) | A | A | A | A | A | A | A | A | A |
Short Term Municipal Bond Fund | A | A | A | A | A | A | A | A | A | A | A |
Small Cap Index Fund | A | A | A | E (a) | E (a) | A | A | A | A | E (a) | E (a) |
Small Cap Value Fund II | A | A | A | A | A | A | A | A | A | A | A |
Small/Mid Cap Value Fund | A | A | A | A | A | A | A | A | A | A | E |
U.S. Government Mortgage Fund | C | A | A | A | A | A | A | A | A | C (b) | A |
Aggregate Dollar Range of Equity Securities in all Funds in the Columbia Funds Complex Overseen by the Trustee | E | E (a) | E (a) | E (a) | E (a) | E (a) | E (a) | E (a) | E | E (a) | E (a) |
(a) | Includes the value of compensation payable under a Deferred Compensation Plan that is determined as if the amounts deferred had been invested, as of the date of deferral, in shares of one or more funds in the Columbia Funds Family overseen by the Trustee as specified by the Trustee. |
(b) | Ms. Shaw invests in a Section 529 Plan managed by the Investment Manager that allocates assets to various mutual funds, including Columbia Funds. The amount shown in the table includes the value of her interest in this plan determined as if her investment in the plan were invested directly in the Columbia Fund pursuant to the plan’s target allocations. |
Statement of Additional Information – January 1, 2016 | 146 |
Santomero | Truscott | |
Absolute Return Currency and Income Fund | A | A |
AMT-Free CA Intermediate Muni Bond Fund | A | A |
AMT-Free GA Intermediate Muni Bond Fund | A | A |
AMT-Free MD Intermediate Muni Bond Fund | A | A |
AMT-Free NC Intermediate Muni Bond Fund | A | A |
AMT-Free SC Intermediate Muni Bond Fund | A | A |
AMT-Free Tax-Exempt Bond Fund | A | A |
AMT-Free VA Intermediate Muni Bond Fund | A | A |
AP - Multi-Manager Value Fund | A | A |
Asia Pacific ex-Japan Fund | A | E (b) |
Capital Allocation Aggressive Portfolio | A | A |
Capital Allocation Conservative Portfolio | A | A |
Capital Allocation Moderate Aggressive Portfolio | A | A |
Capital Allocation Moderate Conservative Portfolio | A | A |
Capital Allocation Moderate Portfolio | A | A |
Commodity Strategy Fund | A | E |
Convertible Securities Fund | A | E |
Disciplined Core Fund | A | D |
Disciplined Growth Fund | A | D |
Disciplined Value Fund | A | E |
Diversified Equity Income Fund | A | A |
Dividend Opportunity Fund | A | E |
Emerging Markets Bond Fund | A | B |
European Equity Fund | A | E |
Flexible Capital Income Fund | A | E |
Floating Rate Fund | A | E |
Global Bond Fund | A | A |
Global Equity Value Fund | A | A |
Global Infrastructure Fund | A | A |
Global Opportunities Fund | A | E |
Global Strategic Equity Fund | A | A |
High Yield Bond Fund | A | C |
Income Builder Fund | A | A |
Income Opportunities Fund | A | E (b) |
Inflation Protected Securities Fund | A | B |
International Opportunities Fund | A | A |
International Value Fund | A | A |
Large Cap Enhanced Core Fund | A | A |
Large Cap Growth Fund II | A | A |
Large Cap Growth Fund III | A | A |
Large Cap Growth Fund IV | A | A |
Large Cap Growth Fund V | A | A |
Large Cap Index Fund | A | E |
Statement of Additional Information – January 1, 2016 | 147 |
Santomero | Truscott | |
Limited Duration Credit Fund | E (a) | E |
Mid Cap Index Fund | A | A |
Mid Cap Value Fund | A | A |
MN Tax-Exempt Fund | A | A |
Money Market Fund | B (a) | A |
Multi-Advisor Small Cap Value Fund | A | A |
Overseas Value Fund | A | E |
Select Global Equity Fund | A | D |
Select Global Growth Fund | A | A |
Select International Equity Fund | A | D |
Select Large-Cap Value Fund | A | E |
Select Smaller-Cap Value Fund | A | E |
Seligman Communications and Information Fund | A | D |
Seligman Global Technology Fund | A | D |
Short Term Bond Fund | E (a) | A |
Short Term Municipal Bond Fund | A | A |
Small Cap Index Fund | A | C |
Small Cap Value Fund II | A | A |
Small/Mid Cap Value Fund | A | E |
U.S. Government Mortgage Fund | A | A |
Aggregate
Dollar Range of Equity Securities in all Funds in the
Columbia Funds Family Overseen by the Trustee |
E (a) | E (b) |
(a) | Includes the value of compensation payable under a Deferred Compensation Plan that is determined as if the amounts deferred had been invested, as of the date of deferral, in shares of one or more funds in the Columbia Funds Family overseen by the Trustee as specified by the Trustee. |
(b) | Includes notional investments through a deferred compensation account. Mr. Truscott’s deferred compensation plan is separate from that of the Independent Trustees (for these purposes, persons who are not affiliated persons of the Investment Manager or Ameriprise Financial). |
Trustees (a) |
Total
Cash Compensation
from the Columbia Funds Complex Paid to Trustee (b) |
Amount
Deferred
from Total Compensation (c) |
Kathleen Blatz | $304,167 | $0 |
Edward Boudreau | $268,667 | $89,750 |
Pamela Carlton | $271,167 | $27,250 |
William Carmichael | $405,000 | $32,917 |
Patricia Flynn | $279,167 | $279,167 |
William Hawkins | $273,667 | $86,750 |
R. Glenn Hilliard | $274,167 | $0 |
Stephen Lewis (d) | $97,500 | $68,250 |
Catherine Paglia | $273,333 | $149,583 |
Statement of Additional Information – January 1, 2016 | 148 |
(a) | Trustee compensation is paid by the Funds and is comprised of a combination of a base fee and meeting fees, with the exception of the Chair of the Board, who receives a base annual compensation. Payment of compensation is administered by a company providing limited administrative services to the Funds and to the Board. |
(b) | Includes any portion of cash compensation Trustees elected to defer during the fiscal period. |
(c) | The Trustees may elect to defer a portion of the total cash compensation payable. Additional information regarding the Deferred Compensation Plan is described below. |
(d) | Mr. Lewis served as Trustee until December 31, 2014. |
Statement of Additional Information – January 1, 2016 | 149 |
Statement of Additional Information – January 1, 2016 | 150 |
Fund |
Aggregate
Compensation from Fund
Independent Trustees |
||||||||||||
Blatz | Boudreau | Carlton | Carmichael | Flynn | Hawkins | Hilliard | Lewis (a) | Paglia | Richie | Santomero | Shaw | Taunton-Rigby | |
Amount Deferred | $0 | $312 | $47 | $213 | $889 | $282 | $0 | $437 | $478 | $0 | $60 | $453 | $889 |
Global Infrastructure Fund | $1,099 | $1,141 | $1,069 | $1,585 | $1,079 | $1,141 | $1,099 | $768 | $1,161 | $1,089 | $1,061 | $1,099 | $1,079 |
Amount Deferred | $0 | $380 | $56 | $263 | $1,079 | $342 | $0 | $538 | $580 | $0 | $74 | $549 | $1,079 |
Short Term Municipal Bond Fund | $2,540 | $2,633 | $2,471 | $3,658 | $2,494 | $2,633 | $2,540 | $1,774 | $2,680 | $2,516 | $2,451 | $2,540 | $2,494 |
Amount Deferred | $0 | $878 | $129 | $607 | $2,494 | $790 | $0 | $1,242 | $1,340 | $0 | $170 | $1,270 | $2,494 |
For Funds with fiscal period ending May 31 | |||||||||||||
AP - Multi-Manager Value Fund | $2,301 | $2,385 | $1,839 | $3,317 | $2,258 | $2,385 | $2,301 | $1,454 | $2,427 | $2,279 | $2,215 | $2,301 | $2,258 |
Amount Deferred | $0 | $787 | $140 | $474 | $2,258 | $715 | $0 | $1,018 | $1,214 | $0 | $139 | $1,150 | $2,258 |
Commodity Strategy Fund | $739 | $767 | $589 | $1,066 | $725 | $767 | $739 | $471 | $780 | $732 | $712 | $739 | $725 |
Amount Deferred | $0 | $253 | $44 | $153 | $725 | $230 | $0 | $330 | $390 | $0 | $45 | $369 | $725 |
Diversified Equity Income Fund | $3,171 | $2,390 | $2,545 | $4,569 | $3,113 | $3,290 | $3,171 | $2,020 | $3,348 | $3,142 | $3,058 | $3,171 | $3,113 |
Amount Deferred | $0 | $1,087 | $191 | $658 | $3,113 | $987 | $0 | $1,414 | $1,674 | $0 | $193 | $1,586 | $3,113 |
Dividend Opportunity Fund | $6,295 | $6,528 | $5,080 | $9,068 | $6,178 | $6,528 | $6,295 | $4,030 | $6,645 | $6,236 | $6,075 | $6,295 | $6,178 |
Amount Deferred | $0 | $2,157 | $375 | $1,313 | $6,178 | $1,958 | $0 | $2,821 | $3,323 | $0 | $385 | $3,148 | $6,178 |
Flexible Capital Income Fund | $1,220 | $1,253 | $949 | $1,761 | $1,196 | $1,253 | $1,220 | $713 | $1,278 | $1,209 | $1,154 | $1,220 | $1,196 |
Amount Deferred | $0 | $411 | $81 | $234 | $1,196 | $376 | $0 | $499 | $639 | $0 | $68 | $610 | $1,196 |
High Yield Bond Fund | $2,510 | $2,602 | $1,998 | $3,618 | $2,463 | $2,602 | $2,510 | $1,588 | $2,648 | $2,487 | $2,414 | $2,510 | $2,463 |
Amount Deferred | $0 | $859 | $152 | $517 | $2,463 | $780 | $0 | $1,111 | $1,324 | $0 | $152 | $1,255 | $2,463 |
Mortgage Opportunities Fund | $841 | $868 | $660 | $1,212 | $825 | $868 | $841 | $514 | $884 | $833 | $803 | $841 | $825 |
Amount Deferred | $0 | $286 | $53 | $167 | $825 | $261 | $0 | $359 | $442 | $0 | $49 | $420 | $825 |
Multi-Advisor Small Cap Value Fund | $1,041 | $1,080 | $830 | $1,501 | $1,022 | $1,080 | $1,041 | $659 | $1,099 | $1,032 | $1,002 | $1,041 | $1,022 |
Amount Deferred | $0 | $356 | $63 | $214 | $1,022 | $324 | $0 | $461 | $550 | $0 | $63 | $521 | $1,022 |
Select Large-Cap Value Fund | $1,578 | $1,632 | $1,251 | $2,274 | $1,548 | $1,632 | $1,578 | $976 | $1,662 | $1,563 | $1,511 | $1,578 | $1,548 |
Amount Deferred | $0 | $538 | $98 | $318 | $1,548 | $490 | $0 | $683 | $831 | $0 | $93 | $789 | $1,548 |
Select Smaller-Cap Value Fund | $1,137 | $1,179 | $904 | $1,640 | $1,116 | $1,179 | $1,137 | $716 | $1,200 | $1,126 | $1,094 | $1,137 | $1,116 |
Amount Deferred | $0 | $389 | $69 | $233 | $1,116 | $354 | $0 | $501 | $600 | $0 | $69 | $568 | $1,116 |
Seligman Communications and Information Fund | $4,051 | $4,191 | $3,197 | $5,845 | $3,975 | $4,191 | $4,051 | $2,492 | $4,267 | $4,014 | $3,877 | $4,051 | $3,975 |
Amount Deferred | $0 | $1,380 | $255 | $814 | $3,975 | $1,257 | $0 | $1,745 | $2,134 | $0 | $238 | $2,026 | $3,975 |
Small/Mid Cap Value Fund | $1,891 | $1,970 | $1,538 | $2,724 | $1,857 | $1,970 | $1,891 | $1,255 | $2,004 | $1,874 | $1,840 | $1,891 | $1,857 |
Amount Deferred | $0 | $653 | $107 | $408 | $1,857 | $591 | $0 | $879 | $1,002 | $0 | $120 | $945 | $1,857 |
U.S. Government Mortgage Fund | $2,381 | $2,468 | $1,901 | $3,428 | $2,338 | $2,468 | $2,381 | $1,503 | $2,512 | $2,360 | $2,292 | $2,381 | $2,338 |
Amount Deferred | $0 | $815 | $145 | $488 | $2,338 | $741 | $0 | $1,052 | $1,256 | $0 | $144 | $1,191 | $2,338 |
For Funds with fiscal period ending July 31 | |||||||||||||
AMT-Free Tax-Exempt Bond Fund | $1,319 | $1,247 | $1,204 | $1,800 | $1,227 | $1,254 | $1,250 | $483 | $1,248 | $1,239 | $1,204 | $1,202 | $1,227 |
Amount Deferred | $0 | $413 | $112 | $180 | $1,227 | $389 | $0 | $338 | $660 | $0 | $45 | $625 | $1,227 |
Disciplined Core Fund | $4,758 | $4,495 | $4,342 | $6,484 | $4,424 | $4,520 | $4,507 | $1,731 | $4,500 | $4,466 | $4,340 | $4,332 | $4,424 |
Amount Deferred | $0 | $1,487 | $404 | $644 | $4,424 | $1,402 | $0 | $1,211 | $2,379 | $0 | $161 | $2,253 | $4,424 |
Disciplined Growth Fund | $1,374 | $1,298 | $1,253 | $1,872 | $1,277 | $1,305 | $1,301 | $489 | $1,299 | $1,289 | $1,251 | $1,251 | $1,277 |
Amount Deferred | $0 | $429 | $118 | $182 | $1,277 | $405 | $0 | $343 | $687 | $0 | $45 | $651 | $1,277 |
Disciplined Value Fund | $1,651 | $1,558 | $1,504 | $2,246 | $1,532 | $1,567 | $1,561 | $582 | $1,559 | $1,547 | $1,505 | $1,499 | $1,532 |
Amount Deferred | $0 | $515 | $142 | $217 | $1,532 | $487 | $0 | $408 | $826 | $0 | $54 | $781 | $1,532 |
Floating Rate Fund | $1,689 | $1,598 | $1,545 | $2,312 | $1,573 | $1,607 | $1,602 | $650 | $1,600 | $1,588 | $1,545 | $1,542 | $1,573 |
Amount Deferred | $0 | $530 | $139 | $243 | $1,573 | $498 | $0 | $455 | $844 | $0 | $61 | $801 | $1,573 |
Global Opportunities Fund | $1,485 | $1,405 | $1,358 | $2,032 | $1,383 | $1,412 | $1,409 | $563 | $1,407 | $1,396 | $1,357 | $1,356 | $1,383 |
Amount Deferred | $0 | $465 | $123 | $210 | $1,383 | $438 | $0 | $394 | $742 | $0 | $53 | $704 | $1,383 |
Income Opportunities Fund | $3,837 | $3,627 | $3,505 | $5,241 | $3,570 | $3,647 | $3,638 | $1,413 | $3,633 | $3,604 | $3,499 | $3,500 | $3,570 |
Amount Deferred | $0 | $1,200 | $324 | $526 | $3,570 | $1,131 | $0 | $989 | $1,919 | $0 | $131 | $1,819 | $3,570 |
Inflation Protected Securities Fund | $984 | $931 | $901 | $1,347 | $917 | $936 | $934 | $370 | $933 | $926 | $897 | $900 | $917 |
Amount Deferred | $0 | $308 | $82 | $138 | $917 | $290 | $0 | $259 | $492 | $0 | $34 | $467 | $917 |
Limited Duration Credit Fund | $1,867 | $1,766 | $1,708 | $2,552 | $1,739 | $1,776 | $1,772 | $700 | $1,770 | $1,755 | $1,706 | $1,706 | $1,739 |
Statement of Additional Information – January 1, 2016 | 151 |
(a) | Mr. Lewis served as Trustee until December 31, 2014. |
Statement of Additional Information – January 1, 2016 | 152 |
Statement of Additional Information – January 1, 2016 | 153 |
Statement of Additional Information – January 1, 2016 | 154 |
Statement of Additional Information – January 1, 2016 | 155 |
Total Brokerage Commissions | |||
Fund | 2015 | 2014 | 2013 |
For Funds with fiscal period ending January 31 | |||
Capital Allocation Aggressive Portfolio | $15,275 | $23,981 | $2,601 |
Capital Allocation Conservative Portfolio | 10,514 | 7,619 | 3,434 |
Capital Allocation Moderate Aggressive Portfolio | 126,734 | 128,295 | 7,398 |
Capital Allocation Moderate Conservative Portfolio | 29,332 | 29,097 | 1,520 |
Capital Allocation Moderate Portfolio | 73,686 | 49,261 | 12,772 |
Global Strategic Equity Fund | 0 | 0 | 0 |
Income Builder Fund | 0 | 0 | 0 |
For Funds with fiscal period ending February 28/29 | |||
Convertible Securities Fund | 105,952 | 73,168 | 67,317 |
Global Equity Value Fund | 1,067,198 | 1,076,394 | 428,626 |
International Opportunities Fund | 457,834 | 741,637 | 841,381 |
International Value Fund (a) | 427,753 | 1,006,612 | 781,245 |
Large Cap Enhanced Core Fund | 161,985 | 86,352 | 124,984 |
Large Cap Growth Fund II | 715,869 | 1,140,014 | 1,303,523 |
Large Cap Growth Fund III | 437,297 | 1,105,991 | 1,375,426 |
Large Cap Growth Fund V | 1,027,882 | 1,992,355 | 3,082,928 |
Large Cap Index Fund | 33,530 | 22,212 | 42,941 |
Mid Cap Index Fund | 105,163 | 186,412 | 92,408 |
Mid Cap Value Fund | 1,435,664 | 2,825,497 | 3,282,641 |
Overseas Value Fund | 1,317,080 | 725,680 | 46,885 |
Select Global Growth Fund | 65,069 | 75,119 | 20,543 |
Select International Equity Fund | 1,843,097 | 3,786,564 | 3,415,590 |
Select Large Cap Equity Fund | 864,717 | 1,223,814 | 1,634,499 |
Small Cap Index Fund | 160,181 | 117,229 | 81,216 |
Statement of Additional Information – January 1, 2016 | 156 |
Total Brokerage Commissions | |||
Fund | 2015 | 2014 | 2013 |
Small Cap Value Fund II | $1,828,228 | $1,900,817 | $2,555,711 |
For Funds with fiscal period ending March 31 | |||
Short Term Bond Fund | 26,279 | 19,065 | 49,235 |
For Funds with fiscal period ending April 30 | |||
AMT-Free CA Intermediate Muni Bond Fund | 0 | 0 | 0 |
AMT-Free GA Intermediate Muni Bond Fund | 0 | 0 | 0 |
AMT-Free MD Intermediate Muni Bond Fund | 0 | 0 | 0 |
AMT-Free NC Intermediate Muni Bond Fund | 0 | 0 | 0 |
AMT-Free SC Intermediate Muni Bond Fund | 0 | 0 | 0 |
AMT-Free VA Intermediate Muni Bond Fund | 0 | 0 | 0 |
Global Infrastructure Fund | 318,292 | 963,149 | 560,938 |
Short Term Municipal Bond Fund | 0 | 0 | 0 |
For Funds with fiscal period ending May 31 | |||
AP – Multi-Manager Value Fund | 1,765,744 | 1,483,445 | 486,313 |
Commodity Strategy Fund | 0 | 0 | 0 |
Diversified Equity Income Fund | 1,476,755 | 2,617,037 | 2,173,281 |
Dividend Opportunity Fund | 4,730,277 | 4,891,708 | 4,483,217 |
Flexible Capital Income Fund | 313,300 | 119,064 | 0 |
High Yield Bond Fund | 2,626 | 1,571 | 2,367 |
Mortgage Opportunities Fund | 240,318 | 0 (b) | N/A |
Multi-Advisor Small Cap Value Fund | 561,093 | 516,580 | 455,357 |
Select Large-Cap Value Fund | 525,703 | 205,143 | 226,081 |
Select Smaller-Cap Value Fund | 0 | 346,290 | 131,763 |
Seligman Communications and Information Fund | 4,035,260 | 3,165,386 | 5,124,242 |
Small/Mid Cap Value Fund | 1,616,600 | 3,773,751 | 1,696,261 |
U.S. Government Mortgage Fund | 375,293 | 86,591 | 142,442 |
For Funds with fiscal period ending July 31 | |||
AMT-Free Tax-Exempt Bond Fund | 0 | 0 | 0 |
Disciplined Core Fund | 1,189,786 | 1,973,260 | 1,232,331 |
Disciplined Growth Fund | 514,195 | 246,044 | 196,926 |
Disciplined Value Fund | 831,852 | 377,759 | 134,359 |
Floating Rate Fund | 28,166 | 33,087 | 0 |
Global Opportunities Fund | 1,572,579 | 1,628,742 | 10,312 |
Income Opportunities Fund | 6,042 | 8,271 | 0 |
Inflation Protected Securities Fund | 65,209 | 32,547 | 26,718 |
Limited Duration Credit Fund | 43,400 | 22,382 | 70,962 |
MN Tax-Exempt Fund | 0 | 0 | 0 |
Money Market Fund | 0 | 0 | 0 |
Statement of Additional Information – January 1, 2016 | 157 |
Total Brokerage Commissions | |||
Fund | 2015 | 2014 | 2013 |
For Funds with fiscal period ending August 31 | |||
Large Cap Growth Fund IV | $157,639 | $316,884 | $231,954 |
Fund | 2014 | 2013 | 2012 |
For Funds with fiscal period ending October 31 | |||
Absolute Return Currency and Income Fund | 0 | 0 | 0 |
Asia Pacific ex-Japan Fund | 1,074,549 | 893,911 | 622,494 |
Emerging Markets Bond Fund | 6,239 | 0 | 207 |
European Equity Fund | 834,231 | 604,819 | 747,555 |
Global Bond Fund | 33,637 | 15,503 | 15,758 |
Select Global Equity Fund | 581,437 | 457,459 | 499,796 |
Seligman Global Technology Fund | 749,468 | 745,143 | 944,043 |
(a) | Because the Fund's brokerage commissions were paid at the Master Portfolio level until December 14, 2013, amounts shown for the fiscal year ended 2013 and the fiscal period from March 1, 2013 to December 14, 2013, are for the Master Portfolio. |
(b) | For the period from April 30, 2014 (commencement of operations) to May 31, 2014. |
(1) | Prior to May 1, 2010, MLPFS (as of January 1, 2009) and other broker-dealers affiliated with BANA were affiliated broker-dealers of the Fund by virtue of being under common control with the Previous Adviser. The affiliation created by this relationship ended on May 1, 2010, when the investment advisory agreement with the Previous Adviser was terminated and the Fund entered into a new investment management services agreement with the Investment Manager. However, BANA, on behalf of its fiduciary accounts, continues to have investments in certain of the Columbia Funds. The amounts shown include any brokerage commissions paid to MLPFS after May 1, 2010. |
Statement of Additional Information – January 1, 2016 | 158 |
Brokerage directed for research | ||
Fund | Amount of Transactions | Amount of Commissions Imputed or Paid |
For Funds with fiscal period ending January 31 | ||
Capital Allocation Aggressive Portfolio | $0 (a) | $0 (a) |
Capital Allocation Conservative Portfolio | 0 (a) | 0 (a) |
Capital Allocation Moderate Aggressive Portfolio | 0 (a) | 0 (a) |
Capital Allocation Moderate Conservative Portfolio | 0 (a) | 0 (a) |
Capital Allocation Moderate Portfolio | 0 (a) | 0 (a) |
Global Strategic Equity Fund | 0 (a) | 0 (a) |
Income Builder Fund | 0 (a) | 0 (a) |
For Funds with fiscal period ending February 28/29 | ||
Convertible Securities Fund | 10,351,023 | 2,865 |
Global Equity Value Fund | 686,455,883 | 431,388 |
International Opportunities Fund | 298,862,364 | 191,917 |
International Value Fund | 59,722,287 | 34,178 |
Large Cap Enhanced Core Fund | 87,360,260 | 32,355 |
Large Cap Growth Fund II | 1,260,049,072 | 335,722 |
Large Cap Growth Fund III | 765,635,560 | 159,294 |
Large Cap Growth Fund V | 2,016,467,577 | 458,290 |
Large Cap Index Fund | 689,225 | 614 |
Mid Cap Index Fund | 0 | 0 |
Mid Cap Value Fund | 1,123,832,640 | 647,131 |
Overseas Value Fund | 119,659,456 | 87,831 |
Select Global Growth Fund | 54,167,850 | 28,656 |
Select International Equity Fund | 316,912,513 | 448,853 |
Select Large Cap Equity Fund | 1,122,583,609 | 551,972 |
Small Cap Index Fund | 0 | 0 |
Small Cap Value Fund II | 609,123,529 | 740,360 |
For Funds with fiscal period ending March 31 | ||
Short Term Bond Fund | 0 | 0 |
For Funds with fiscal period ending April 30 | ||
AMT-Free CA Intermediate Muni Bond Fund | 0 | 0 |
AMT-Free GA Intermediate Muni Bond Fund | 0 | 0 |
AMT-Free MD Intermediate Muni Bond Fund | 0 | 0 |
Statement of Additional Information – January 1, 2016 | 159 |
Brokerage directed for research | ||
Fund | Amount of Transactions | Amount of Commissions Imputed or Paid |
AMT-Free NC Intermediate Muni Bond Fund | $0 | $0 |
AMT-Free SC Intermediate Muni Bond Fund | 0 | 0 |
AMT-Free VA Intermediate Muni Bond Fund | 0 | 0 |
Global Infrastructure Fund | 272,167,888 | 165,799 |
Short Term Municipal Bond Fund | 0 | 0 |
For Funds with fiscal period ending May 31 | ||
AP – Multi-Manager Value Fund | 441,844,817 | 252,343 |
Commodity Strategy Fund | 0 | 0 |
Diversified Equity Income Fund | 1,687,571,242 | 946,220 |
Dividend Opportunity Fund | 2,399,750,927 | 1,426,768 |
Flexible Capital Income Fund | 140,811,878 | 73,067 |
High Yield Bond Fund | 0 | 0 |
Mortgage Opportunities Fund | 0 | 0 |
Multi-Advisor Small Cap Value Fund | 83,945,038 | 108,024 |
Select Large-Cap Value Fund | 4,030,870 | 3,672 |
Select Smaller-Cap Value Fund | 0 | 0 |
Seligman Communications and Information Fund | 305,853,220 | 229,184 |
Small/Mid Cap Value Fund | 697,510,203 | 694,887 |
U.S. Government Mortgage Fund | 8,542,461 | 3,629 |
For Funds with fiscal period ending July 31 | ||
AMT-Free Tax-Exempt Bond Fund | 0 | 0 |
Disciplined Core Fund | 1,040,641,585 | 407,863 |
Disciplined Growth Fund | 470,350,978 | 189,799 |
Disciplined Value Fund | 627,191,495 | 319,516 |
Floating Rate Fund | 59,641 | 61 |
Global Opportunities Fund | 326,305,384 | 188,889 |
Income Opportunities Fund | 0 | 0 |
Inflation Protected Securities Fund | 0 | 0 |
Limited Duration Credit Fund | 0 | 0 |
MN Tax-Exempt Fund | 0 | 0 |
Money Market Fund | 0 | 0 |
For Funds with fiscal period ending August 31 | ||
Large Cap Growth Fund IV | 169,881,921 | 45,831 |
For Funds with fiscal period ending October 31 | ||
Absolute Return Currency and Income Fund | 0 | 0 |
Asia Pacific ex-Japan Fund | 416,756,207 | 940,326 |
Emerging Markets Bond Fund | 0 | 0 |
European Equity Fund | 403,091,777 | 566,567 |
Global Bond Fund | 0 | 0 |
Select Global Equity Fund | 292,929,252 | 432,312 |
Seligman Global Technology Fund | 34,942,786 | 29,009 |
(a) | The underlying funds may have directed transactions to firms in exchange for research services. |
Statement of Additional Information – January 1, 2016 | 160 |
Statement of Additional Information – January 1, 2016 | 161 |
Fund | Issuer |
Value
of securities owned
at end of fiscal period |
Select International Equity Fund | None | N/A |
Select Large Cap Equity Fund | Citigroup, Inc. | $12,697,172 |
The Goldman Sachs Group, Inc. | $8,513,980 | |
JPMorgan Chase & Co. | $13,139,106 | |
Small Cap Index Fund | Investment Technology Group, Inc. | $3,499,676 |
Piper Jaffray Companies | $3,982,953 | |
Small Cap Value Fund II | None | N/A |
For Funds with fiscal period ending March 31, 2015 | ||
Short Term Bond Fund | Bear Stearns Commercial Mortgage Securities Trust | $5,997,426 |
Citigroup, Inc. | $13,440,544 | |
Citigroup/Deutsche Bank Commercial Mortgage Trust | $10,917,371 | |
Citigroup Mortgage Loan Trust, Inc. | $496,908 | |
Credit Suisse Mortgage Capital Certificates | $4,640,775 | |
Credit Suisse First Boston Mortgage Securities Corp. | $6,799,544 | |
GS Mortgage Securities Trust | $12,185,363 | |
The Goldman Sachs Group, Inc. | $11,913,008 | |
JPMorgan Chase & Co. | $12,311,460 | |
JPMorgan Chase Commercial Mortgage Securities Trust | $32,822,237 | |
JPMorgan Resecuritization Trust | $10,723,865 | |
LB-UBS Commercial Mortgage Trust | $9,212,498 | |
Merrill Lynch Mortgage Trust | $4,438,776 | |
Morgan Stanley | $10,957,913 | |
Morgan Stanley Capital I Trust | $27,776,861 | |
Morgan Stanley Re-Remic Trust | $28,237,511 | |
PNC Bank NA | $9,535,944 | |
For Funds with fiscal period ending April 30, 2015 | ||
AMT-Free CA Intermediate Muni Bond Fund | None | N/A |
AMT-Free GA Intermediate Muni Bond Fund | None | N/A |
AMT-Free MD Intermediate Muni Bond Fund | None | N/A |
AMT-Free NC Intermediate Muni Bond Fund | None | N/A |
AMT-Free SC Intermediate Muni Bond Fund | None | N/A |
AMT-Free VA Intermediate Muni Bond Fund | None | N/A |
Global Infrastructure Fund | None | N/A |
Short Term Municipal Bond Fund | None | N/A |
For Funds with fiscal period ending May 31, 2015 | ||
AP – Multi-Manager Value Fund | Citigroup, Inc. | $9,150,011 |
E*TRADE Financial Corp. | $1,003,673 | |
The Goldman Sachs Group, Inc. | $61,375,256 | |
JPMorgan Chase & Co. | $45,169,047 | |
Morgan Stanley | $2,849,835 | |
Commodity Strategy Fund | None | N/A |
Diversified Equity Income Fund | Citigroup, Inc. | $69,183,408 |
JPMorgan Chase & Co. | $75,151,413 | |
Morgan Stanley | $54,403,371 | |
PNC Financial Services Group, Inc.(The) | $37,336,229 | |
Dividend Opportunity Fund | The Goldman Sachs Group, Inc. | $273,531,553 |
JPMorgan Chase & Co. | $66,420,704 |
Statement of Additional Information – January 1, 2016 | 162 |
Fund | Issuer |
Value
of securities owned
at end of fiscal period |
Flexible Capital Income Fund | Citigroup Capital XIII | $7,537,100 |
JPMorgan Chase & Co. | $8,222,500 | |
High Yield Bond Fund | E*TRADE Financial Corp. | $8,749,260 |
Mortgage Opportunities Fund | Citigroup/Deutsche Bank Commercial Mortgage Trust | $1,041,157 |
Citigroup Mortgage Loan Trust, Inc. | $19,777,339 | |
Credit Suisse Mortgage Capital Certificates | $15,123,371 | |
Credit Suisse Securities (USA) LLC | $7,322,298 | |
GS Mortgage Securities Trust | $2,043,556 | |
Jefferies Resecuritization Trust | $2,321,102 | |
JPMorgan Chase Commercial Mortgage Securities Trust | $6,215,394 | |
Banc of America Merrill Lynch Re-Remic Trust | $5,631,060 | |
Morgan Stanley Re-Remic Trust | $8,012,534 | |
Multi-Advisor Small Cap Value Fund | None | N/A |
Select Large-Cap Value Fund | Citigroup, Inc. | $36,774,400 |
JPMorgan Chase & Co. | $35,521,200 | |
Morgan Stanley | $36,672,000 | |
Select Smaller-Cap Value Fund | None | N/A |
Seligman Communications and Information Fund | None | N/A |
Small/Mid Cap Value Fund | Affiliated Managers Group, Inc. | $11,898,712 |
E*TRADE Financial Corp. | $10,019,346 | |
U.S. Government Mortgage Fund | Citigroup/Deutsche Bank Commercial Mortgage Trust | $8,537,487 |
Citigroup Mortgage Loan Trust, Inc. | $27,298,592 | |
Credit Suisse Mortgage Capital Certificates | $46,481,503 | |
Credit Suisse Securities (USA) LLC | $28,730,411 | |
GS Mortgage Securities Trust | $10,422,135 | |
Jefferies Resecuritization Trust | $4,303,696 | |
JPMorgan Chase Commercial Mortgage Securities Trust | $2,071,798 | |
Merrill Lynch Mortgage Trust | $4,924 | |
Banc of America Merrill Lynch Commercial Mortgage, Inc. | $6,924,328 | |
Banc of America Merrill Lynch Re-Remic Trust | $11,855,349 | |
Morgan Stanley Re-Remic Trust | $4,938,045 | |
Morgan Stanley Resecuritization Trust | $30,951 | |
For Funds with fiscal period ending July 31, 2015 | ||
AMT-Free Tax-Exempt Bond Fund | None | N/A |
Disciplined Core Fund | Citigroup, Inc. | $108,735,600 |
JPMorgan Chase & Co. | $74,170,019 | |
Disciplined Growth Fund | None | N/A |
Disciplined Value Fund | Citigroup, Inc. | $26,686,990 |
The Goldman Sachs Group, Inc. | $10,827,696 | |
JPMorgan Chase & Co. | $36,067,339 | |
Floating Rate Fund | Nuveen Floating Rate Income Fund | $379,734 |
Statement of Additional Information – January 1, 2016 | 163 |
Statement of Additional Information – January 1, 2016 | 164 |
Statement of Additional Information – January 1, 2016 | 165 |
■ | For equity, alternative and flexible funds (other than the equity funds identified below) and funds-of-funds (equity and fixed income), a complete list of Fund portfolio holdings as of month-end is posted approximately, but no earlier than, 15 calendar days after such month-end. |
■ | For Funds formerly subadvised by Marsico Capital, Columbia Small Cap Growth Fund I and Columbia Variable Portfolio – Small Company Growth Fund, a complete list of Fund portfolio holdings as of month-end is posted approximately, but no earlier than, 30 calendar days after such month-end. |
■ | For fixed-income Funds (other than money market funds), a complete list of Fund portfolio holdings as of calendar quarter-end is posted approximately, but no earlier than, 30 calendar days after such quarter-end. |
■ | For money market Funds, a complete list of Fund portfolio holdings as of month-end is posted no later than five business days after such month-end. Such month-end holdings are continuously available on the website for at least six months, together with a link to an SEC webpage where a user of the website may obtain access to the Fund’s most recent 12 months of publicly available filings on Form N-MFP. Money market Fund portfolio holdings information posted on the website, at minimum, includes with respect to each holding, the name of the issuer, the category of investment ( e.g. , Treasury debt, government agency debt, asset backed commercial paper, structured investment vehicle note), the CUSIP number (if any), the principal amount, the maturity date (as determined under Rule 2a-7 for purposes of calculating weighted average maturity), the final maturity date (if different from the maturity date previously described), coupon or yield and the amortized cost value. The money market Funds will also disclose on the website the overall weighted average maturity and weighted average life maturity of a holding. |
Statement of Additional Information – January 1, 2016 | 166 |
Statement of Additional Information – January 1, 2016 | 167 |
Statement of Additional Information – January 1, 2016 | 168 |
Identity of Recipient | Conditions/restrictions on use of information |
Frequency
of
Disclosure |
||
Investor Tools | Used for municipal bond analytics, research and decision support. | As Needed | ||
JDP Marketing Services | Used to write or edit Columbia Fund shareholder reports, quarterly fund commentaries, and communications, including shareholder letters and management’s discussion of Columbia Fund performance. | Monthly, as needed | ||
John Roberts, Inc. | Used for commercial printing. | Daily, Monthly and Quarterly | ||
Kendall Press | Used for commercial printing. | As Needed | ||
Kynex | Used to provide portfolio attribution reports for the Columbia Convertible Securities Fund. Used also for portfolio analytics. | Daily | ||
Malaspina Communications | Used to facilitate writing management’s discussion of Columbia Fund performance for Columbia Fund shareholder reports and periodic marketing communications. | Monthly | ||
Markit | Used for an asset database for analytics and investor reporting. Used to reconcile client commission trades with broker-dealers. | As Needed and Monthly | ||
Merrill Corporation | Used to provide Edgar filing and typesetting services, as well as printing of prospectuses, factsheets, annual and semi-annual reports. | As Needed | ||
MoneyMate | Used to report returns and analytics to client facing materials. | Monthly | ||
Morningstar | Used for independent research and ranking of funds. Used also for statistical analysis. | Monthly, Quarterly or As Needed | ||
MSCI Inc. | Used as a hosted portfolio management platform designed for research, reporting, strategy development, portfolio construction and performance and risk attribution, and used for risk analysis and reporting. | Daily | ||
Print Craft | Used to assemble kits and mailing that include the fact sheets. | As Needed | ||
R.R. Donnelley & Sons Company | Used to provide Edgar filing and typesetting services, and printing of prospectuses, factsheets, annual and semi-annual reports. | As Needed | ||
SEI Investment Company | Used for trading wrap accounts and to reconcile wrap accounts. | Daily | ||
StoneRiver RegEd, Inc. | Used to review external and certain internal communications prior to dissemination. | Daily | ||
SunGard Investment Systems LLC | Used as portfolio accounting system. | Daily | ||
Sustainalytics US Inc. | Used to support the investment process for Columbia U.S. Social Bond Fund. | At least Monthly | ||
Thomson Reuters | Used for statistical analysis. | Monthly |
Statement of Additional Information – January 1, 2016 | 169 |
Identity of Recipient | Conditions/restrictions on use of information |
Frequency
of
Disclosure |
||
Threadneedle Investments | Used by portfolio managers and research analysts in supporting certain management strategies, and by shared support partners (legal, operations, compliance, risk, etc.) to provide Fund maintenance and development. | As Needed | ||
Universal Wilde | Used to provide printing and mailing services for prospectuses, annual and semi-annual reports, and supplements. | As Needed | ||
Visions, Inc. | Used for commercial printing. | Daily, Monthly and Quarterly | ||
Wilshire Associates, Inc. | Used to provide daily performance attribution reporting based on daily holdings to the investment and investment analytics teams. | Daily | ||
Wolters Kluwer | Used to perform tax calculations specific to wash sales and used to analyze tax straddles (diminution of risk). | Monthly |
Statement of Additional Information – January 1, 2016 | 170 |
■ | ADP Broker-Dealer, Inc. |
■ | American Enterprise Investment Services Inc.* |
■ | American United Life Insurance Co. |
■ | Ameriprise Financial Services, Inc.* |
■ | Ascensus, Inc. |
■ | AXA Advisors |
■ | AXA Equitable Life Insurance |
■ | Bank of America, N.A. |
■ | Benefit Plan Administrators |
■ | Benefit Trust |
■ | Charles Schwab & Co., Inc. |
■ | Charles Schwab Trust Co. |
■ | Davenport & Company City National Bank |
■ | Daily Access Concepts, Inc. |
■ | Digital Retirement Solutions |
■ | Edward D. Jones & Co., LP |
■ | ExpertPlan |
■ | Fidelity Brokerage Services, Inc. |
■ | Fidelity Investments Institutional Operations Co. |
■ | First Clearing, LLC |
■ | First Mercantile Trust Co. |
■ | Guardian Insurance and Annuity Company Inc. |
■ | Genworth Life and Annuity Insurance Company |
■ | Genworth Life Insurance Co. of New York |
■ | GWFS Equities, Inc. |
■ | Hartford Life Insurance Company |
■ | HD Vest |
■ | Hewitt Associates LLC |
■ | ICMA Retirement Corporation |
■ | Janney Montgomery Scott, Inc. |
■ | JJB Hilliard Lyons |
■ | JP Morgan Chase Bank |
■ | John Hancock Life Insurance Company (USA) |
■ | John Hancock Life Insurance Company of New York |
■ | JP Morgan Retirement Plan Services LLC |
■ | Lincoln Life & Annuity Company of New York |
■ | Lincoln National Life Insurance Company |
■ | Lincoln Retirement Services |
■ | LPL Financial Corporation |
■ | BMO Harris Bank (f/k/a Marshall & Illsley Trust Company) |
■ | Massachusetts Mutual Life Insurance Company |
■ | Mercer HR Services, LLC |
■ | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
■ | Mid Atlantic Capital Corporation |
■ | Minnesota Life Insurance Co. |
■ | Morgan Stanley Smith Barney |
■ | MSCS Financial Services Division of Broadridge Business Process Outsourcing LLC |
■ | National Financial Services |
■ | Nationwide Investment Services |
■ | Newport Retirement Services, Inc. |
■ | New York State Deferred Compensation Plan |
■ | NYLife Distributors LLC |
■ | Oppenheimer & Co., Inc. |
■ | Plan Administrators, Inc. |
■ | PNC Bank |
■ | Principal Life Insurance Company of America |
■ | Prudential Insurance Company of America |
■ | Prudential Retirement Insurance & Annuity Company |
■ | Pershing LLC |
■ | Raymond James & Associates |
■ | RBC Capital Markets |
■ | Reliance Trust |
■ | Robert W. Baird & Co., Inc. |
■ | Sammons Retirement Solutions |
■ | SEI Private Trust Company |
■ | Standard Insurance Company |
■ | Stifel Nicolaus & Co. |
■ | TD Ameritrade Clearing, Inc. |
■ | TD Ameritrade Trust Company |
■ | The Retirement Plan Company |
■ | Teachers Insurance and Annuity Association of America |
■ | Transamerica Advisors Life Insurance Company |
■ | Transamerica Financial Life Insurance Company |
■ | T. Rowe Price Group, Inc. |
■ | UBS Financial Services, Inc. |
■ | Unified Trust Company, N.A. |
■ | Upromise Investments, Inc. |
■ | US Bank NA |
■ | Vanguard Group, Inc. |
■ | VALIC Retirement Services Company |
■ | Voya Retirement Insurance and Annuity Company |
■ | Voya Institutional Plan Services, LLP |
■ | Voya Investments Distributors, LLC |
■ | Wells Fargo Advisors, LLC |
■ | Wells Fargo Bank, N.A. |
■ | Wilmington Trust Retirement & Institutional Services Company |
■ | Xerox HR Solutions |
■ | AIG Advisor Group |
■ | Ameriprise Financial Services, Inc.* |
■ | AXA Advisors, LLC |
■ | Bank of America, N.A. |
■ | Cetera Financial Group, Inc. |
■ | Citigroup Global Markets Inc./Citibank |
■ | Commonwealth Financial Network |
■ | First Clearing, LLC |
■ | Great West |
■ | Investacorp |
■ | J.J.B. Hilliard, W.L. Lyons, Inc. |
■ | Lincoln Financial Advisors Corp. |
■ | Linsco/Private Ledger Corp. |
■ | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
■ | Morgan Stanley Smith Barney |
■ | Northwestern Mutual Investment Services, LLC |
■ | Oppenheimer & Co., Inc. |
■ | PNC Investments |
Statement of Additional Information – January 1, 2016 | 172 |
■ | Raymond James & Associates, Inc. |
■ | Raymond James Financial Services, Inc. |
■ | RBC Capital Markets |
■ | Securities America, Inc. |
■ | Triad Advisors |
■ | UBS Financial Services Inc. |
■ | US Bancorp Investments, Inc. |
■ | Wells Fargo Advisors, LLC |
■ | Wells Fargo Advisors Financial Network, LLC |
■ | Vanguard Marketing Corp |
* | Ameriprise Financial affiliate |
Statement of Additional Information – January 1, 2016 | 173 |
Statement of Additional Information – January 1, 2016 | 174 |
Statement of Additional Information – January 1, 2016 | 175 |
Statement of Additional Information – January 1, 2016 | 176 |
Statement of Additional Information – January 1, 2016 | 177 |
Statement of Additional Information – January 1, 2016 | 178 |
Statement of Additional Information – January 1, 2016 | 179 |
Statement of Additional Information – January 1, 2016 | 180 |
Statement of Additional Information – January 1, 2016 | 181 |
Statement of Additional Information – January 1, 2016 | 182 |
Fund |
Total
Capital Loss Carryovers |
Amount Expiring in | Amount not Expiring | |||||
2015 | 2016 | 2017 | 2018 | 2019 | Short-term | Long-term | ||
For Funds with fiscal period ending July 31 | ||||||||
Disciplined Core Fund | $355,833,034 | $0 | $0 | $8,928,904 | $328,324,590 | $18,579,540 | $0 | $0 |
Disciplined Value Fund | $20,709,205 | $0 | $0 | $20,709,205 | $0 | $0 | $0 | $0 |
Floating Rate Fund | $66,322,573 | $0 | $0 | $28,593,376 | $35,398,330 | $0 | $0 | $2,330,867 |
Global Opportunities Fund | $154,927,562 | $0 | $0 | $0 | $133,719,540 | $21,208,022 | $0 | $0 |
Limited Duration Credit Fund | $3,527,017 | $0 | $0 | $0 | $0 | $0 | $1,105,806 | $2,421,211 |
MN Tax-Exempt Fund | $513,933 | $0 | $0 | $0 | $0 | $0 | $513,933 | $0 |
For Funds with fiscal period ending October 31 | ||||||||
Absolute Return Currency and Income Fund | $1,978,293 | $0 | $0 | $0 | $0 | $0 | $785,233 | $1,193,060 |
Asia Pacific ex-Japan Fund | $32,457,477 | $0 | $0 | $0 | $0 | $0 | $25,807,474 | $6,650,003 |
European Equity Fund | $4,368,227 | $0 | $0 | $4,368,227 | $0 | $0 | $0 | $0 |
Select Global Equity Fund | $61,966,241 | $0 | $1,476,532 | $53,446,454 | $0 | $7,043,255 | $0 | $0 |
Statement of Additional Information – January 1, 2016 | 183 |
Statement of Additional Information – January 1, 2016 | 184 |
Statement of Additional Information – January 1, 2016 | 185 |
Statement of Additional Information – January 1, 2016 | 186 |
Statement of Additional Information – January 1, 2016 | 187 |
Statement of Additional Information – January 1, 2016 | 188 |
Statement of Additional Information – January 1, 2016 | 189 |
Statement of Additional Information – January 1, 2016 | 190 |
Statement of Additional Information – January 1, 2016 | 191 |
Statement of Additional Information – January 1, 2016 | 192 |
Statement of Additional Information – January 1, 2016 | 193 |
Statement of Additional Information – January 1, 2016 | 194 |
Statement of Additional Information – January 1, 2016 | 195 |
Statement of Additional Information – January 1, 2016 | 196 |
Fund |
Percent
of dividends
qualifying for corporate deduction |
Qualified
dividend
income for individuals |
For Funds with fiscal period ending January 31 | ||
Capital Allocation Aggressive Portfolio | 31.75% | 51.13% |
Capital Allocation Conservative Portfolio | 10.45 | 17.58 |
Capital Allocation Moderate Aggressive Portfolio | 28.71 | 47.08 |
Capital Allocation Moderate Conservative Portfolio | 15.46 | 26.18 |
Capital Allocation Moderate Portfolio | 21.62 | 35.84 |
Global Strategic Equity Fund | 56.75 | 77.85 |
Income Builder Fund | 20.59 | 32.13 |
Statement of Additional Information – January 1, 2016 | 197 |
Fund |
Percent
of dividends
qualifying for corporate deduction |
Qualified
dividend
income for individuals |
For Funds with fiscal period ending February 28/29 | ||
Convertible Securities Fund | 24.61% | 24.72% |
Global Equity Value Fund | 100.00 | 100.00 |
International Opportunities Fund | 6.16 | 100.00 |
International Value Fund | 0.28 | 100.00 |
Large Cap Enhanced Core Fund | 100.00 | 100.00 |
Large Cap Growth Fund II | 0.00 | 0.00 |
Large Cap Growth Fund III | 32.40 | 35.07 |
Large Cap Growth Fund V | 72.33 | 79.37 |
Large Cap Index Fund | 93.27 | 95.37 |
Mid Cap Index Fund | 84.35 | 84.41 |
Mid Cap Value Fund | 55.94 | 57.68 |
Overseas Value Fund | 0.50 | 100.00 |
Select Global Growth Fund | 12.87 | 30.49 |
Select International Equity Fund | 0.00 | 0.00 |
Select Large Cap Equity Fund | 23.22 | 24.34 |
Small Cap Index Fund | 60.97 | 61.02 |
Small Cap Value Fund II | 100.00 | 100.00 |
For Funds with fiscal period ending March 31 | ||
Short Term Bond Fund | 0.00 | 0.00 |
For Funds with fiscal period ending April 30 | ||
AMT-Free CA Intermediate Muni Bond Fund | 0.00 | 0.00 |
AMT-Free GA Intermediate Muni Bond Fund | 0.00 | 0.00 |
AMT-Free MD Intermediate Muni Bond Fund | 0.00 | 0.00 |
AMT-Free NC Intermediate Muni Bond Fund | 0.00 | 0.00 |
AMT-Free SC Intermediate Muni Bond Fund | 0.00 | 0.00 |
AMT-Free VA Intermediate Muni Bond Fund | 0.00 | 0.00 |
Global Infrastructure Fund | 62.43 | 75.56 |
Short Term Municipal Bond Fund | 0.00 | 0.00 |
For Funds with fiscal period ending May 31 | ||
AP - Multi-Manager Value Fund | 60.18 | 79.39 |
Commodity Strategy Fund | 0.00 | 0.00 |
Diversified Equity Income Fund | 56.24 | 74.85 |
Dividend Opportunity Fund | 65.22 | 92.55 |
Flexible Capital Income Fund | 38.75 | 42.21 |
High Yield Bond Fund | 0.00 | 0.00 |
Mortgage Opportunities Fund | 0.00 | 0.00 |
Multi-Advisor Small Cap Value Fund | 47.82 | 56.48 |
Select Large-Cap Value Fund | 100.00 | 100.00 |
Select Smaller-Cap Value Fund | 0.00 | 0.00 |
Seligman Communications and Information Fund | 38.85 | 42.17 |
Small/Mid Cap Value Fund | 0.00 | 0.00 |
U.S. Government Mortgage Fund | 0.00 | 0.00 |
Statement of Additional Information – January 1, 2016 | 198 |
Fund |
Percent
of dividends
qualifying for corporate deduction |
Qualified
dividend
income for individuals |
For Funds with fiscal period ending July 31 | ||
AMT-Free Tax-Exempt Bond Fund | 0.00% | 0.00% |
Disciplined Core Fund | 100.00 | 100.00 |
Disciplined Growth Fund | 30.65 | 31.45 |
Disciplined Value Fund | 61.39 | 62.77 |
Floating Rate Fund | 1.31 | 2.10 |
Global Opportunities Fund | 0.00 | 0.00 |
Income Opportunities Fund | 0.00 | 0.00 |
Inflation Protected Securities Fund | 0.00 | 0.00 |
Limited Duration Credit Fund | 0.00 | 0.00 |
MN Tax-Exempt Fund | 0.00 | 0.00 |
Money Market Fund | 0.00 | 0.00 |
For Funds with fiscal period ending August 31 | ||
Large Cap Growth Fund IV | 18.71 | 43.08 |
For Funds with fiscal period ending October 31 | ||
Absolute Return Currency and Income Fund | 0.00 | 0.00 |
Asia Pacific ex-Japan Fund | 0.16 | 97.02 |
Emerging Markets Bond Fund | 0.00 | 0.00 |
European Equity Fund | 0.00 | 100.00 |
Global Bond Fund | 0.00 | 0.00 |
Select Global Equity Fund | 100.00 | 100.00 |
Seligman Global Technology Fund | 0.00 | 0.00 |
Statement of Additional Information – January 1, 2016 | 199 |
Fund | Class |
Percentage
of Class
Beneficially Owned |
Commodity Strategy Fund | Class A | 9.65% |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Capital Allocation Aggressive Portfolio |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 38.47% | 38.98% |
Class B | 32.10% | |||
Class C | 47.31% | |||
ASCENSUS
TRUST COMPANY FBO
MAGUIRE/MAGUIRE INC 401 K PS PLA PO BOX 10758 FARGO ND 58106-0758 |
Class R | 13.36% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class Y | 100.00% | N/A (a) | |
GREAT
WEST TRUST CO
TRST FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class K | 95.18% | N/A | |
Class R5 | 90.96% | |||
HANNAH
F HOWE
204 E 83RD ST APT 4 NEW YORK NY 10028-2899 |
Class Z | 5.50% | N/A | |
HELEN
E HOWE
84 SHOREFRONT PARK NORWALK CT 06854-3753 |
Class Z | 5.60% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class Z | 5.34% | N/A | |
MG
TRUST COMPANY CUST. FBO
LIFETIME CARE 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 21.77% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 12.72% | N/A |
Statement of Additional Information – January 1, 2016 | 200 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 97.14% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class Z | 11.24% | N/A | |
RAYMOND
JAMES
ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 5.80% | N/A | |
Class Z | 27.90% | |||
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 5.48% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 5.22% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 15.98% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 15.81% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 18.58% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 8.94% | N/A | |
Capital Allocation Conservative Portfolio |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 46.29% | 47.44% |
Class B | 63.26% | |||
Class C | 54.37% | |||
ASCENSUS
TRUST COMPANY FBO
MAGUIRE/MAGUIRE INC 401 K PS PLA PO BOX 10758 FARGO ND 58106-0758 |
Class R | 35.80% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class Y | 100.00% | N/A (a) | |
DEBORAH
ALEYNE LAPEYRE BARBARA
TOMMIE USDIN FBO MULBERRY TECHNOLOGIES INC 401 K 17 W JEFFERSON ST STE 207 ROCKVILLE MD 20850-4227 |
Class K | 95.18% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 5.41% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 11.34% | N/A | |
MATRIX
TRUST COMPANY CUST. FBO
BANK OF AMERICA, N.A. 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class Z | 18.59% | N/A |
Statement of Additional Information – January 1, 2016 | 201 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class Z | 25.32% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 98.70% | N/A | |
Class R5 | 96.10% | |||
STATE
STREET CORPORATION
FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 |
Class Z | 12.25% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 16.81% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 8.20% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 31.51% | N/A | |
Capital Allocation Moderate Aggressive Portfolio |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 29.84% | 27.55% |
Class B | 32.43% | |||
Class C | 36.49% | |||
ASCENSUS
TRUST CO FBO
BROWN & JONES REPORTING 401K PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 12.63% | N/A | |
CHARLES
SCHWAB & CO INC
ATTENTION MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 96.68% | N/A | |
Class R5 | 20.07% | |||
Class Z | 5.31% | |||
CHARLES
SCHWAB BANK CUST
WOODRIDGE CLINIC SC PS & 401K PLAN 2423 E LINCOLN DR PHOENIX AZ 85016-1215 |
Class R | 13.27% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class Y | 100.00% | N/A (a) | |
DONALD
BLASLAND FBO
PW LABORATORIES INC 401K PSP 805 S WHEATLEY ST STE 600 RIDGELAND MS 39157-5005 |
Class R | 13.39% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 13.94% | N/A | |
Class B | 14.74% | |||
Class C | 17.22% | |||
Class T | 20.94% | |||
Class Z | 35.32% | |||
MG
TRUST CO CUST FBO
ALBERT FREI & SONS INC 401K PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 6.60% | N/A | |
MG
TRUST COMPANY CUST. FBO
LIFETIME CARE 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 21.02% | N/A |
Statement of Additional Information – January 1, 2016 | 202 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010 |
Class R4 | 97.29% | N/A | |
SEI
PRIVATE TRUST COMPANY
C/O JOHNSON TRUST COMPANY 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
Class R5 | 79.10% | N/A | |
Capital Allocation Moderate Conservative Portfolio |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 46.35% | 45.65% |
Class B | 51.69% | |||
Class C | 55.73% | |||
ASCENSUS
TRUST COMPANY
PO BOX 10758 FARGO ND 58106-0758 |
Class R | 5.90% | N/A | |
ASCENSUS
TRUST COMPANY FBO
MCCALLIN DIVERSIFIED INDUSTRIES 401 PO BOX 10758 FARGO ND 58106-0758 |
Class R | 6.72% | N/A | |
ASCENSUS
TRUST COMPANY FBO
PREMIER RETIREMENT PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class Y | 67.03% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class K | 81.13% | N/A (a) | |
Class Y | 32.97% | |||
COUNSEL
TRUST DBA MATC FBO
CONSUMER HEALTH ADVISERS INC 401(K) PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class K | 18.87% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 14.16% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 7.68% | N/A | |
Class B | 8.73% | |||
Class C | 8.34% | |||
Class R | 30.56% | |||
Class Z | 56.36% | |||
MG
TRUST CO CUST FBO
MIRAMAR LABS 401K PROFIT-SHARING 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 6.48% | N/A | |
MG
TRUST COMPANY CUST. FBO
CHERNIN ENTERTAINMENT, LLC EMPLOYEE 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 13.10% | N/A | |
MG
TRUST COMPANY TRUSTEE
HOGAN & ASSOCIATES CONSTRUCTION 401 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R4 | 48.12% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010 |
Class R4 | 47.43% | N/A | |
SEI
PRIVATE TRUST COMPANY CUST
C/O JOHNSON BANK ONE FREEDOM VALLEY DRIVE OAKS PA 19456-9989 |
Class R5 | 96.95% | N/A |
Statement of Additional Information – January 1, 2016 | 203 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Capital Allocation Moderate Portfolio |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 48.18% | 49.37% |
Class B | 52.39% | |||
Class C | 59.06% | |||
ASCENSUS
TRUST COMPANY FBO
MAGUIRE/MAGUIRE INC 401 K PS PLA PO BOX 10758 FARGO ND 58106-0758 |
Class R | 7.73% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 61.82% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class R4 | 8.36% | N/A (a) | |
Class Y | 100.00% | |||
DEBORAH
ALEYNE LAPEYRE BARBARA
TOMMIE USDIN FBO MULBERRY TECHNOLOGIES INC 401 K PROFIT SHARING PLAN & TRUST 17 W JEFFERSON ST STE 207 ROCKVILLE MD 20850-4227 |
Class K | 32.50% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 6.96% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class Z | 30.37% | N/A | |
MG
TRUST COMPANY CUST. FBO
LIFETIME CARE 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 33.35% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 27.95% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 91.64% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R5 | 96.90% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class Z | 8.08% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 12.33% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 24.80% | N/A | |
TD
AMERITRADE TRUST COMPANY
PO BOX 17748 DENVER CO 80217-0748 |
Class R | 8.26% | N/A |
Statement of Additional Information – January 1, 2016 | 204 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Global Strategic Equity Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 23.54% | N/A |
Class B | 17.19% | |||
Class C | 16.53% | |||
ASCENSUS
TRUST CO FBO
BROWN & JONES REPORTING 401K PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 18.18% | N/A | |
ASCENSUS
TRUST CO FBO
RIVERFRONT STEEL 401K PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 12.14% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 97.20% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class R4 | 5.43% | N/A (a) | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 5.27% | N/A | |
Class C | 6.58% | |||
Class Z | 7.14% | |||
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class C | 5.55% | N/A | |
Class Z | 6.07% | |||
MATRIX
TRUST COMPANY FBO
LCM ARCHITECTS LLC RET PLAN PO BOX 52129 PHOENIX AZ 85072-2129 |
Class R | 20.50% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 20.72% | N/A | |
Class B | 22.31% | |||
Class C | 26.73% | |||
Class Z | 71.53% | |||
MG
TRUST CO CUST FBO
ALBERT FREI & SONS INC 401K PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 13.61% | N/A | |
MG
TRUST CO CUST FBO
MIRAMAR LABS 401K PROFIT-SHARING 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 13.58% | N/A | |
MG
TRUST COMPANY CUST. FBO
LORTON STONE, LLC RETIREMENT PLAN & 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 10.46% | N/A | |
MID
ATLANTIC TRUST COMPANY FBO
TITAN ENGINEERING AND CONSTRUCTION 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R4 | 5.20% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class C | 5.11% | N/A | |
Class R4 | 17.79% |
Statement of Additional Information – January 1, 2016 | 205 |
Statement of Additional Information – January 1, 2016 | 206 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R5 | 14.15% | N/A | |
Class R4 | 32.40% | |||
PAI
TRUST COMPANY INC
DR BENJAMIN S HANSON III 401 K 1300 ENTERPRISE DR DE PERE WI 54115-4934 |
Class R | 9.05% | N/A | |
PAI
TRUST COMPANY, INC.
SOCAL PACIFIC CONSTRUCTION CORP. 1300 ENTERPRISE DR DE PERE WI 54115-4934 |
Class R | 12.97% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 65.21% | N/A | |
Class R5 | 29.83% | |||
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class Z | 13.71% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 35.04% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 9.72% | N/A |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Convertible Securities Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 32.26% | N/A |
Class B | 58.70% | |||
Class C | 17.01% | |||
Class W | 97.79% | |||
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 19.64% | N/A | |
FIIOC
FBO
DURASAFE INC 401(K) PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 |
Class R | 7.26% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 9.06% | N/A | |
Class Z | 5.45% | |||
JPMCB
NA CUST FOR
COLUMBIA INCOME BUILDER FUND 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 55.15% | N/A |
Statement of Additional Information – January 1, 2016 | 207 |
Statement of Additional Information – January 1, 2016 | 208 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 6.43% | N/A | |
Global Equity Value Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 20.07% | N/A |
Class B | 17.24% | |||
Class C | 8.73% | |||
Class W | 81.96% | |||
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class Z | 14.02% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
Class R5 | 10.14% | |||
Class W | 18.04% | |||
Class Y | 99.49% | |||
COMMUNITY
BANK NA AS CUST
FBO SIMED 1165(E) RETIREMENT PLAN 6 RHOADS DR STE 7 UTICA NY 13502-6317 |
Class R | 37.77% | N/A | |
DCGT
AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
Class R | 25.69% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class Z | 5.01% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class Z | 18.88% | N/A | |
MG
TRUST COMPANY CUST. FBO
PEPOSE VISION INSTITUTE PC EMP 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class K | 6.10% | N/A | |
MID
ATLANTIC TRUST CO FBO
GEORGE ELLIOTT INC 401K PSP & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R | 10.52% | N/A | |
MLP
FENNER & SMITH INC
FBO SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR EAST JACKSONVILLE FL 32246-6484 |
Class A | 7.21% | N/A | |
Class B | 5.58% | |||
Class C | 13.46% | |||
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class R | 5.63% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class C | 6.08% | N/A | |
Class R4 | 45.19% |
Statement of Additional Information – January 1, 2016 | 209 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 40.33% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 89.86% | N/A | |
WELLS
FARGO BANK FBO
1525 W W T HARRIS BLVD CHARLOTTE NC 28262-8522 |
Class K | 93.75% | N/A | |
Class R4 | 13.26% | |||
International Opportunities Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 21.93% | N/A |
Class B | 23.78% | |||
Class C | 7.32% | |||
CAPTITAL
BANK & TRUST COPMANY
TTEE ANDRE PROST INC 401K PSP & TRUST 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 23.55% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class B | 9.14% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 |
Class Z | 8.81% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
EDWARD
D JONES & CO
FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3729 |
Class B | 7.54% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 5.60% | N/A | |
Class B | 11.34% | |||
Class C | 9.55% | |||
Class Z | 7.10% | |||
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 19.24% | N/A | |
Class B | 22.17% | |||
Class C | 22.57% | |||
Class Z | 21.01% | |||
MG
TRUST CO CUST FBO
MCT INC 401K RETPLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 5.05% | N/A | |
MID
ATLANTIC TRUST COMPANY FBO
PERE MARQUETTE EMERGENCY PHYSI 401 K PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R | 6.36% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 13.94% | N/A | |
Class Z | 23.92% |
Statement of Additional Information – January 1, 2016 | 210 |
Statement of Additional Information – January 1, 2016 | 211 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 32.35% | N/A | |
Class C | 10.15% | |||
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class B | 13.93% | N/A | |
Class C | 5.06% | |||
Class Z | 6.86% | |||
MATRIX
TRUST COMPANY CUST FBO
ROCHESTER PUB SCH 403(B) 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 6.21% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 25.64% | N/A | |
Class B | 7.53% | |||
Class C | 33.66% | |||
Class Z | 17.83% | |||
MG
TRUST COMPANY CUST FBO
ROCHESTER CATHOLIC SCHOOLS 403 B 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 6.69% | N/A | |
MG
TRUST COMPANY CUST. FBO
BLANKET PROPERTIES LLC EMPLOYEES SA 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 14.57% | N/A | |
MG
TRUST COMPANY CUST. FBO
SILVERBLOCK SYSTEMS, INC. 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 6.61% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 10.37% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 8.18% | N/A | |
Class Z | 23.93% | |||
PAI
TRUST COMPANY INC
POPLAR BLUFF REHABILITATION 401 K 1300 ENTERPRISE DR DE PERE WI 54115-4934 |
Class R | 17.01% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 98.20% | N/A | |
PIMS/PRUDENTIAL
RETIREMENT
AS NOMINEE FOR THE TTEE/CUST PL 007 LEASE PLAN U S A , INC 401(K) 5350 KEYSTONE CT ROLLING MDWS IL 60008-3812 |
Class R5 | 93.14% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 10.98% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 7.34% | N/A | |
Class Z | 5.50% |
Statement of Additional Information – January 1, 2016 | 212 |
Statement of Additional Information – January 1, 2016 | 213 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 13.17% | N/A | |
Class B | 18.75% | |||
Class C | 24.38% | |||
MID
ATLANTIC TRUST COMPANY FBO
NORTHLAND CONTROL SYSTEMS INC 401(K 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R4 | 6.20% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class B | 8.40% | N/A | |
Class C | 17.18% | |||
Class Z | 10.84% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010 |
Class R5 | 28.73% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 11.53% | N/A | |
Class B | 6.90% | |||
Class C | 5.62% | |||
Class R4 | 22.71% | |||
Class Z | 7.61% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class A | 6.58% | N/A | |
Class B | 10.92% | |||
Class C | 5.98% | |||
Class R4 | 26.90% | |||
RELIANCE
TRUST CO CUST
FBO MASSMUTUAL OMNIBUS PO BOX 48529 ATLANTA GA 30362-1529 |
Class R | 20.74% | N/A | |
STATE
STREET CORPORATION
FBO ADP ACCESS 1 LINCOLN ST BOSTON MA 02111-2901 |
Class R4 | 40.71% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 68.65% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 8.63% | N/A | |
Class Z | 24.81% | |||
Large Cap Growth Fund III |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCOUNT FOR BENEFIT OF CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 |
Class A | 5.81% | N/A |
Class Z | 9.59% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
FIIOC
FBO
AIRTRAN AIRWAYS INC 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 |
Class Z | 13.73% | N/A |
Statement of Additional Information – January 1, 2016 | 214 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
FIIOC
FBO
AIRTRAN AIRWAYS INC 401(K) PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 |
Class R4 | 48.34% | N/A | |
FIIOC
FBO
AIRTRAN AIRWAYS TECHNICAL OPERATIONS RETIREMENT SAVINGS 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 |
Class R4 | 11.02% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 5.36% | N/A | |
Class B | 13.13% | |||
Class C | 5.26% | |||
Class Z | 8.02% | |||
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class A | 8.72% | N/A | |
Class Z | 5.78% | |||
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 31.64% | 33.97% | |
Class B | 52.57% | |||
Class C | 50.62% | |||
Class Z | 24.42% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 12.53% | N/A | |
Class Z | 8.29% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010 |
Class R5 | 93.26% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 7.08% | N/A | |
Class R4 | 31.78% | |||
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class A | 9.67% | N/A | |
Class C | 11.73% | |||
Class Z | 6.51% | |||
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 6.21% | N/A | |
Class Z | 8.00% | |||
Large Cap Growth Fund V |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 17.40% | N/A |
Class B | 5.22% | |||
CAPITAL
BANK & TRUST CO TTEE FBO
SEBAGO TECHNICS INC 401K C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 5.10% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 33.62% | N/A | |
Class Z | 8.76% |
Statement of Additional Information – January 1, 2016 | 215 |
Statement of Additional Information – January 1, 2016 | 216 |
Statement of Additional Information – January 1, 2016 | 217 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
STATE
STREET BK & TR ROTH IRA
MATTHEW A MCDONALD 572 S 1200 E MAPLETON UT 84664-4720 |
Class B | 5.54% | N/A | |
SUNTRUST
BANK FBO
VARIOUS SUNTRUST OMNIBUS ACCOUNTS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R5 | 6.71% | N/A | |
TAYNIK
& CO
C/O INVESTORS BANK & TRUST CO 1200 CROWN COLONY DR CC10313 QUINCY MA 02169-0938 |
Class R5 | 11.65% | N/A | |
Mid Cap Index Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 5.89% | N/A |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 17.34% | N/A | |
Class Z | 11.86% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 10.37% | N/A | |
Class Z | 34.35% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 5.45% | N/A | |
Class R5 | 6.96% | |||
Class Z | 8.32% | |||
STANDARD
INSURANCE COMPANY
1100 SW 6TH AVE ATTN: SEP ACCT PORTLAND OR 97204-1093 |
Class R5 | 39.97% | N/A | |
TAYNIK
& CO
C/O INVESTORS BANK & TRUST CO 1200 CROWN COLONY DR QUINCY MA 02169-0938 |
Class A | 9.84% | N/A | |
Mid Cap Value Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 8.50% | N/A |
Class B | 14.92% | |||
Class C | 5.14% | |||
Class W | 99.36% | |||
ASCENSUS
TRUST COMPANY FBO
HERITAGE VALLEY HEALTH SYSTEM 403(B PO BOX 10758 FARGO ND 58106-0758 |
Class R5 | 13.79% | N/A | |
CAPITAL
BANK & TRUST COMPANY TTEE F
SMITHGROUP RA 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R5 | 5.94% | N/A | |
CHARLES
SCHWAB & CO INC
CUST A/C FOR THE EXCLUSIVE BENEFIT ATTENTION MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 51.62% | N/A | |
Class R5 | 23.21% | |||
Class Z | 8.36% |
Statement of Additional Information – January 1, 2016 | 218 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
Class K | 48.38% | |||
DCGT
AS TTEE AND /OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
Class R | 6.48% | N/A | |
EDWARD
D JONES & CO
FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3729 |
Class Z | 27.89% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 14.48% | N/A | |
Class C | 12.10% | |||
GREAT
WEST LIFE & ANNUITY FUTURE FU
C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 11.69% | N/A | |
GREAT-WEST
TRUST COMPANY LLC TTEE F
EMPLOYEE BENEFITS CLIENTS 401K 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R4 | 17.38% | N/A | |
Class Y | 5.30% | |||
HARTFORD
LIFE INS. CO.
ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
Class R | 22.10% | N/A | |
ING
LIFE INSURANCE & ANNUITY CO
ING FUND OPERATIONS 1 ORANGE WAY WINDSOR CT 06095-4773 |
Class A | 5.79% | N/A | |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class C | 6.78% | N/A | |
MATRIX
TRUST COMPANY, FBO
C&D ZODIAC INC 401(K) SAVINGS PLAN PO BOX 52129 PHOENIX AZ 85072-2129 |
Class Y | 6.28% | N/A | |
MATRIX
TRUST COMPANY, FBO
CITY NATIONAL CORPORATION PS PLAN PO BOX 52129 PHOENIX AZ 85072-2129 |
Class Y | 20.57% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 6.11% | N/A | |
Class B | 7.70% | |||
Class C | 20.11% | |||
Class Z | 17.63% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class B | 7.73% | N/A | |
Class C | 11.21% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS 499 WASHINGTON BLVD ATTN MUTUAL FUNDS DEPARTMENT 4TH FL JERSEY CITY NJ 07310-2010 |
Class R4 | 30.14% | N/A |
Statement of Additional Information – January 1, 2016 | 219 |
Statement of Additional Information – January 1, 2016 | 220 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 44.32% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 10.17% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 26.76% | N/A | |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 11.38% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 5.18% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 12.04% | N/A | |
Select Global Growth Fund |
ADAM
LEWIS FBO
JACKSON NEUROSURGERY CLINIC 401 K PSP 805 S WHEATLEY ST STE 600 RIDGELAND MS 39157-5005 |
Class R | 9.54% | N/A |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 61.19% | 43.80% | |
Class C | 34.24% | |||
ASCENSUS
TRUST COMPANY FBO
O MEARA FERGUSON WHELAN & CONWAY PO BOX 10758 FARGO ND 58106-0758 |
Class R | 6.93% | N/A | |
COYLE
MASCHERI SHUE TTEE FBO
CHAPMAN COYLE CHAPMAN & ASSOC C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 60.68% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 10.10% | N/A | |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS ATTN MUTUAL FUND OPERATIONS PO BOX 509046 SAN DIEGO CA 92150-9046 |
Class Z | 23.83% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class C | 11.13% | N/A | |
Class Z | 12.73% |
Statement of Additional Information – January 1, 2016 | 221 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MG
TRUST CO CUST FBO
NEVADA ADVANCED PAIN SPECIALISTS 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 5.61% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS ATTN MUTUAL FUNDS DEPT 5TH FL 499 WASHINGTON BLVD JERSEY CITY NJ 07310-2010 |
Class R4 | 99.85% | N/A | |
Class R5 | 44.63% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 8.40% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class C | 6.68% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 20.49% | N/A | |
Class Z | 34.38% | |||
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 47.56% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 16.97% | N/A | |
Select International Equity Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 23.05% | 43.22% |
Class B | 26.78% | |||
Class C | 8.76% | |||
Class W | 100.00% | |||
ASCENSUS
TRUST COMPANY FBO
FINANCIAL NETWORK AUDIT, LLC 401(K) PO BOX 10758 FARGO ND 58106-0758 |
Class R | 13.30% | N/A | |
ASCENSUS
TRUST COMPANY FBO
HOSPICE ADVANTAGE 401 K PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 28.37% | N/A | |
ASCENSUS
TRUST COMPANY FBO
NORDAAS AMERICAN HOMES OF MN LAKE PO BOX 10758 FARGO ND 58106-0758 |
Class R | 8.80% | N/A | |
ASCENSUS
TRUST COMPANY FBO
RHEUMATOLOGY CONSULTANTS PO BOX 10758 FARGO ND 58106-0758 |
Class R | 13.37% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 55.34% | N/A | |
Class Z | 6.42% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
Class R4 | 100.00% |
Statement of Additional Information – January 1, 2016 | 222 |
Statement of Additional Information – January 1, 2016 | 223 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 18.60% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 36.48% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 24.95% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA LIFEGOAL GROWTH PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 15.41% | N/A | |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class B | 8.21% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 72.85% | 41.37% | |
Class B | 41.92% | |||
Class C | 22.98% | |||
Class Z | 52.97% | |||
MORGAN
STANLEY & CO
HARBORSIDE FINANCIAL CENTER PLAZA II, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 20.76% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class Z | 5.20% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R5 | 8.97% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 5.12% | N/A | |
Small Cap Index Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 14.73% | N/A |
Class B | 19.77% | |||
Class W | 99.99% | |||
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 6.82% | N/A | |
Class Z | 6.95% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) |
Statement of Additional Information – January 1, 2016 | 224 |
Statement of Additional Information – January 1, 2016 | 225 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
FIFTH
THIRD BANK TRUSTEE FBO
VARIOUS FASCORP RECORDKEPT PLANS C/O FASCORP 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 9.15% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 21.52% | N/A | |
Class C | 12.37% | |||
GREAT-WEST
TRUST CO LLC
FBO RECORDKEEPING FOR VARIOUS BENEF 8525 E ORCHARD RD C/O MUTUAL FUND TRADING GREENWOOD VILLAGE CO 80111-5002 |
Class R4 | 41.18% | N/A | |
Class Y | 33.26% | |||
HARTFORD
LIFE INS. CO.
ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
Class R | 23.15% | N/A | |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class C | 6.06% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 7.38% | N/A | |
Class C | 18.94% | |||
Class Y | 8.26% | |||
Class Z | 17.42% | |||
N
AMRCN DV CRP F 7TH DY ADVNTST TTE
ADVENTIST RETIREMENT 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R4 | 23.23% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 5.94% | 27.20% | |
Class B | 5.91% | |||
Class C | 7.72% | |||
Class R4 | 20.63% | |||
Class R5 | 9.22% | |||
Class Y | 30.66% | |||
Class Z | 32.73% | |||
NEW
YORK LIFE TRUST COMPANY
690 CANTON ST STE 100 WESTWOOD MA 02090-2344 |
Class R5 | 10.91% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class B | 15.70% | N/A | |
PIMS/PRUDENTIAL
RETIREMENT
AS NOMINEE FOR THE TTEE/CUST WAYNE COUNTY 28 W ADAMS AVE STE 1900 DETROIT MI 48226-1610 |
Class A | 5.16% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class B | 7.48% | N/A | |
Class C | 20.16% | |||
RBC
CAPITAL MARKETS, LLC
MUTUAL FUND OMNIBUS PROCESSING OMNIBUS ATTN MUTUAL FUND OPS MANAGER 510 MARQUETTE AVE S MINNEAPOLIS MN 55402-1110 |
Class C | 6.97% | N/A |
Statement of Additional Information – January 1, 2016 | 226 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
RELIANCE
TRUST CO CUST
FBO MASSMUTUAL OMNIBUS PO BOX 48529 ATLANTA GA 30362-1529 |
Class R | 20.72% | N/A | |
SUPPLEMENTAL
INCOME TRUST FUND
PO BOX 8338 BOSTON MA 02266-8338 |
Class A | 18.68% | N/A | |
T
ROWE PRICE TRUST CO TTEE
FBO RETIREMENT PLAN CLIENTS PO BOX 17215 BALTIMORE MD 21297-1215 |
Class R5 | 8.10% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 16.39% | N/A | |
THE
CHRSTAN & MSSIONRY ALLIANCE TTE
FBO THE ALLIANCE RET PL C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R5 | 15.44% | N/A | |
TIAA-CREF
TRUST CO CUST/TTEE FBO
RETIREMENT PLANS FOR WHICH TIAA ACTS AS RECORDKEEPER ATTN TRUST OPERATIONS 211 N BROADWAY STE 1000 SAINT LOUIS MO 63102-2748 |
Class Y | 5.54% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class B | 7.48% | N/A | |
VANGUARD
FDUCIARY TRUST CO
PO BOX 2600 ATTN: OUTSIDE FUNDS VALLEY FORGE PA 19482-2600 |
Class Y | 7.41% | N/A | |
VOYA
INSTITUTIONAL TRUST COMPANY
AS TRUSTEE OR CUSTODIAN FOR CORE 12 RETIREMENT PLANS 30 BRAINTREE HILL OFFICE PARK BRAINTREE MA 02184-8747 |
Class Y | 6.42% | N/A |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Short Term Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 37.21% | N/A |
Class B | 23.43% | |||
Class C | 9.34% | |||
Class W | 99.85% | |||
ASCENSUS
TRUST COMPANY FBO
ANDREINI BROS INC EMPLOYEES PS PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 12.33% | N/A | |
ASCENSUS
TRUST COMPANY FBO
LITTLE MEADOWS EARLY CHILDHOOD CENT PO BOX 10758 FARGO ND 58106-0758 |
Class R | 5.07% | N/A | |
ASCENSUS
TRUST COMPANY FBO
S B I 401 K PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 7.53% | N/A |
Statement of Additional Information – January 1, 2016 | 227 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 26.78% | N/A | |
CLISE
PROPERTIES INC
1700 7TH AVE STE 1800 SEATTLE WA 98101-1312 |
Class Y | 14.63% | N/A | |
COLUMBIA
THERMOSTAT FUND
C/O PAULA RYAN 227 W MONROE ST STE 3000 CHICAGO IL 60606-5018 |
Class I | 100.00% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 10.44% | N/A | |
MATRIX
TRUST COMPANY, FBO
ARNOLD & PORTER LLP PENSION PLAN & TRUST PO BOX 52129 PHOENIX AZ 85072-2129 |
Class Y | 55.47% | N/A | |
MERRILL
LYNCH PIERCE FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class Z | 82.76% | 49.89% | |
Class A | 9.97% | |||
Class B | 34.25% | |||
Class C | 26.86% | |||
Class R | 59.87% | |||
Class Y | 29.84% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 5.17% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 85.17% | N/A | |
Class R5 | 34.79% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 10.17% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 13.16% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 37.88% | N/A | |
WELLS
FARGO BANK FBO
1525 W W T HARRIS BLVD CHARLOTTE NC 28262-8522 |
Class K | 99.53% | N/A |
Statement of Additional Information – January 1, 2016 | 228 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 69.19% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class B | 99.90% | N/A (a) | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 11.32% | N/A | |
Class C | 25.31% | |||
Class Z | 9.45% | |||
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class A | 5.61% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class A | 7.28% | 71.09% | |
Class C | 27.35% | |||
Class Z | 82.17% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 5.64% | N/A | |
Class R4 | 95.82% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class A | 8.91% | N/A | |
Class R5 | 29.29% | |||
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 25.80% | N/A | |
AMT-Free GA Intermediate Muni Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 6.20% | N/A |
Class C | 8.37% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class B | 6.77% | N/A (a) | |
EDWARD
D JONES & CO
FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3729 |
Class B | 21.86% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 9.51% | N/A | |
Class B | 34.14% | |||
Class C | 42.07% | |||
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class A | 30.75% | N/A | |
Class C | 5.03% | |||
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class A | 31.50% | 66.68% | |
Class B | 37.24% | |||
Class C | 18.97% | |||
Class Z | 84.38% |
Statement of Additional Information – January 1, 2016 | 229 |
Statement of Additional Information – January 1, 2016 | 230 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
EDWARD
D JONES & CO
FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3729 |
Class A | 7.37% | N/A | |
Class C | 10.70% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 21.63% | N/A | |
Class B | 72.77% | |||
Class C | 32.71% | |||
Class Z | 8.80% | |||
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class A | 19.90% | 70.10% | |
Class B | 17.52% | |||
Class C | 15.14% | |||
Class Z | 83.64% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 19.05% | N/A | |
Class C | 16.19% | |||
Class R4 | 52.12% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 26.99% | N/A | |
SEI
PRIVATE TRUST CO
C/O FRANKLIN STREET ATTN MUTUAL FUNDS ADMIN 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
Class R4 | 18.68% | N/A | |
AMT-Free SC Intermediate Muni Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 18.29% | N/A |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class B | 33.99% | N/A (a) | |
EDWARD
D JONES & CO
FOR THE BENEFIT OF CUSTOMERS 12555 MANCHESTER RD SAINT LOUIS MO 63131-3729 |
Class A | 12.73% | N/A | |
Class C | 7.24% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 6.86% | N/A | |
Class B | 52.93% | |||
Class C | 13.13% | |||
Class Z | 5.53% | |||
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class A | 6.67% | N/A | |
MARIL
& CO FBO 5A
C/O M&I TRUST CO, NA 11270 W. PARK PLACE – SUITE 400 MILWAUKEE WI 53224-3638 |
Class Z | 5.79% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class A | 17.98% | 61.86% | |
Class B | 11.83% | |||
Class C | 25.38% | |||
Class Z | 79.20% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 17.44% | N/A |
Statement of Additional Information – January 1, 2016 | 231 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 43.73% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 54.85% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class A | 8.74% | N/A | |
Class C | 21.06% | |||
AMT-Free VA Intermediate Muni Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 28.58% | N/A |
Class C | 19.12% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class B | 43.92% | N/A (a) | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 11.02% | N/A | |
Class B | 45.35% | |||
Class C | 8.54% | |||
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class B | 7.95% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class A | 37.58% | 78.51% | |
Class C | 25.25% | |||
Class Z | 91.19% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 9.11% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 97.49% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class C | 16.53% | N/A | |
Global Infrastructure Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 91.90% | 72.15% |
Class B | 91.68% | |||
Class C | 74.08% | |||
ASCENSUS
TRUST COMPANY FBO
BRIAN P. SOMMER 401(K) PROFIT SHARI PO BOX 10758 FARGO ND 58106-0758 |
Class R | 18.62% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTENTION MUTUAL FUND 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 97.19% | N/A |
Statement of Additional Information – January 1, 2016 | 232 |
Statement of Additional Information – January 1, 2016 | 233 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class A | 6.50% | N/A | |
Class C | 19.53% | |||
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class A | 17.70% | 85.55% | |
Class B | 87.65% | |||
Class C | 46.00% | |||
Class Z | 92.51% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class A | 6.20% | N/A | |
Class C | 5.43% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 11.79% | N/A | |
Class R4 | 39.14% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 59.66% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 82.97% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class A | 14.96% | N/A | |
Class C | 6.56% |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
AP – Multi-Manager Value Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 100.00% | 100.00% |
Commodity Strategy Fund |
ADVANCED
SERIES TRUST AST COLUMBIA
ADAPATIVE RISK ALLOCATION 707 2ND AVE S # H19/10468 MINNEAPOLIS MN 55402-2405 |
Class Z | 55.59% | N/A |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 64.09% | N/A | |
Class C | 26.09% | |||
ASCENSUS
TRUST COMPANY FBO
J J SUPPLY 401 K PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 28.03% | N/A | |
ASCENSUS
TRUST COMPANY FBO
SPECTRUM EYE CARE INC 401 K PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 47.80% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class R5 | 100.00% | 83.51% (a) | |
Class W | 100.00% | |||
Class Y | 100.00% |
Statement of Additional Information – January 1, 2016 | 234 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
JPMCB
NA CUST FOR
COLUMBIA ADAPATIVE ALTERNATIVES FUND-COMMODITIES SLEEVE 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 15.08% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA ADAPTIVE RISK ALLOCATION 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 74.51% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 5.93% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class C | 11.50% | N/A | |
PAI
TRUST COMPANY, INC
STUDIOPOLIS, INC. 401(K) P/S PLAN 1300 ENTERPRISE DR DE PERE WI 54115-4934 |
Class R | 17.90% | N/A | |
PATRICIA
& ROBERT THOMPSON LLC
7102 PENINSULA DR TRAVERSE CITY MI 49686-1748 |
Class Z | 6.30% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class A | 22.48% | N/A | |
Class C | 34.36% | |||
Class R4 | 99.74% | |||
RONALD
G & EVELYN K DURSO REVOC TR
RONALD G DURSO & EVELYN K DURSO TTE PO BOX 201 MARQUAND MO 63655-0201 |
Class Z | 5.72% | N/A | |
STATE
STREET BK & TR IRA
BERNARD G FIRMENICH 8 WARD ST FRENCHTOWN NJ 08825-1021 |
Class Z | 5.61% | N/A | |
STATE
STREET BK & TR IRA
RONALD G DURSO PO BOX 201 MARQUAND MO 63655-0201 |
Class Z | 11.16% | N/A | |
STATE
STREET BK & TR IRA
STEPHEN P GILLEN 9 LYNN DR HAWTHORN WDS IL 60047-9126 |
Class Z | 9.26% | N/A | |
TD
AMERITRADE FBO
ROTH STATE STREET BANK & TRUST AS C NESTLE USA, INC 401(K) FBO RYAN MYERS 9436 BOBCAT TRL LEO IN 46765-9360 |
Class C | 7.90% | N/A | |
TD
AMERITRADE FBO
SAMUEL A MCDONOUGH ROLLOVER IRA TD AMERITRADE CLEARING INC CUSTODIA 1713 S CRESCENT BLVD YARDLEY PA 19067-3113 |
Class C | 5.40% | N/A | |
Diversified Equity Income Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 41.04% | 38.95% |
Class B | 30.11% | |||
Class C | 41.91% |
Statement of Additional Information – January 1, 2016 | 235 |
Statement of Additional Information – January 1, 2016 | 236 |
Statement of Additional Information – January 1, 2016 | 237 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MID-ATLANTIC
TRUST COMPANY CUST
FBO HEARTLAND FINANCIAL RETIREMENT PLAN 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class Y | 18.00% | N/A | |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class R | 12.97% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 6.27% | N/A | |
Class Z | 5.39% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 11.52% | N/A | |
Class C | 5.49% | |||
Class R4 | 18.78% | |||
Class R5 | 13.54% | |||
Class Y | 18.86% | |||
Class Z | 10.40% | |||
NEW
YORK LIFE TRUST COMPANY
690 CANTON ST STE 100 WESTWOOD MA 02090-2344 |
Class Y | 16.52% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 24.61% | N/A | |
Class R5 | 6.73% | |||
PIMS/PRUDENTIAL
RETIREMENT
AS NOMINEE FOR THE TTEE/CUST PL WME IMG PROFIT SHARING & 9601 WILSHIRE BLVD BEVERLY HILLS CA 90210-5213 |
Class R5 | 13.65% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 19.15% | N/A | |
Class Z | 10.35% | |||
SAMMONS
FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100 WEST DES MOINES IA 50266-5911 |
Class R | 32.12% | N/A | |
SEI
PRIVATE TRUST COMPANY
C/O BOSTON PRIVATE ID 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
Class R5 | 11.67% | N/A | |
SEI
PRIVATE TRUST COMPANY
C/O JOHNSON TRUST COMPANY ID 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
Class R4 | 28.56% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 7.05% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 8.71% | N/A |
Statement of Additional Information – January 1, 2016 | 238 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
VRSCO
FBO AIGFSB CUST TTEE FBO HAMILTON HEALTHCARE 401A ROTH IRA ATTN CHRIS BAUMAN 2727-A ALLEN PARKWAY, 4-D1 HOUSTON TX 77019-2107 |
Class K | 6.07% | N/A | |
VRSCO
FBO AIGFSB CUST TTEE FBO HAMILTON HEALTHCARE 403B ROTH IRA 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 |
Class K | 63.12% | N/A | |
VRSCO
FBO AIGFSB CUSTODIAN TRUSTEE FBO BERGEN COUNTY 457 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 |
Class K | 6.71% | N/A | |
VRSCO
FBO AIGFSB CUSTODIAN TRUSTEE FBO MASON GENERAL HOSPITAL 457B 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 |
Class K | 7.99% | N/A | |
Flexible Capital Income Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 80.61% | 51.07% |
Class C | 37.09% | |||
Class W | 73.24% | |||
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 11.70% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
Class W | 26.76% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 7.32% | N/A | |
Class Z | 16.04% | |||
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class C | 5.97% | N/A | |
Class Z | 16.57% | |||
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class C | 10.38% | N/A | |
Class Z | 20.20% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 9.45% | N/A | |
Class Z | 25.00% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R | 63.69% | N/A | |
Class R4 | 30.71% | |||
Class R5 | 7.57% |
Statement of Additional Information – January 1, 2016 | 239 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class C | 7.23% | N/A | |
Class R | 34.32% | |||
Class R4 | 44.54% | |||
Class R5 | 69.40% | |||
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 11.47% | N/A | |
Class Z | 6.84% | |||
SAXON
& CO
FBO P O BOX 7780-1888 PHILADELPHIA PA 19182-0001 |
Class R4 | 24.46% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 11.28% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 9.08% | N/A | |
High Yield Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 42.79% | 28.45% |
Class B | 43.28% | |||
Class C | 31.05% | |||
Class W | 99.93% | |||
CAPINCO
C/O US BANK NA PO BOX 1787 MILWAUKEE WI 53201-1787 |
Class R5 | 32.13% | N/A | |
Class Y | 5.05% | |||
CHARLES
SCHWAB & CO INC
CUST A/C FOR THE EXCLUSIVE BENEFIT ATTENTION MUTUAL FUND 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R4 | 5.79% | N/A | |
Class R5 | 24.06% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 8.08% | N/A | |
ING
LIFE INSURANCE & ANNUITY CO
ING FUND OPERATIONS 1 ORANGE WAY WINDSOR CT 06095-4773 |
Class Y | 81.81% | N/A | |
ING
LIFE INSURANCE AND ANNUITY CO
ONE ORANGE WAY WINDSOR CT 06095-4773 |
Class K | 54.04% | N/A | |
Class R | 62.59% | |||
Class R4 | 37.51% | |||
ING
NATIONAL TRUST
ONE ORANGE WAY WINDSOR CT 06095-4773 |
Class K | 11.99% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 5.63% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 21.70% | N/A |
Statement of Additional Information – January 1, 2016 | 240 |
Statement of Additional Information – January 1, 2016 | 241 |
Statement of Additional Information – January 1, 2016 | 242 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class R | 14.83% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 13.97% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 73.46% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class C | 9.24% | N/A | |
Class R4 | 6.44% | |||
PIMS/PRUDENTIAL
RETIREMENT
AS NOMINEE FOR THE TTEE/CUST PL ESECLENDING RETIREMENT SAVINGS 175 FEDERAL ST FL 11 FL 11 BOSTON MA 02110-2221 |
Class K | 47.47% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 5.77% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 46.08% | N/A | |
VANGUARD
FDUCIARY TRUST CO
PO BOX 2600 ATTN: OUTSIDE FUNDS VALLEY FORGE PA 19482-2600 |
Class R5 | 5.83% | N/A | |
VRSCO
FBO AIGFSB CUST TTEE FBO CITY OF SAN CARLOS 457 ROTH IRA 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 |
Class K | 12.35% | N/A | |
VRSCO
FBO AIGFSB CUST TTEE FBO COMMONWEALTH OF MA 401A ROTH IRA ATTN CHRIS BAUMAN 2727-A ALLEN PARKWAY, 4-D1 HOUSTON TX 77019-2107 |
Class K | 18.99% | N/A | |
VRSCO
FBO AIGFSB CUST TTEE FBO HARNETT HEALTH SYSTEM 403B ROTH IRA 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 |
Class K | 5.47% | N/A | |
VRSCO
FBO AIGFSB CUSTODIAN TRUSTEE FBO JEFFERSON REGIONAL MED CNTR 403B 2929 ALLEN PKWY STE A6-20 HOUSTON TX 77019-7117 |
Class R5 | 6.22% | N/A |
Statement of Additional Information – January 1, 2016 | 243 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Select Large-Cap Value Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 25.63% | N/A |
Class B | 24.66% | |||
Class C | 5.18% | |||
Class W | 99.99% | |||
CHARLES
SCHWAB & CO INC
CUST A/C FOR THE EXCLUSIVE BENEFIT ATTENTION MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 84.32% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCOUNT FOR THE BENEFIT OF CUSTOMERS (ONE SOURCE) ATTN MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA 94104-4151 |
Class A | 7.69% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 29.28% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class K | 15.68% | N/A (a) | |
Class Y | 100.00% | |||
FIIOC
FBO
SHULMAN, ROGERS, GANDAL, PORDY & ECKER, P.A. RETIREMENT PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 |
Class R5 | 5.56% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 12.93% | N/A | |
Class C | 11.13% | |||
Class Z | 7.02% | |||
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 18.75% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 53.19% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 26.24% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class Z | 14.64% | N/A | |
Class R4 | 27.22% | |||
MID
ATLANTIC TRUST COMPANY FBO
ALLIANCE DEFENSE FUND 401K PSP & TR 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R | 6.69% | N/A |
Statement of Additional Information – January 1, 2016 | 244 |
Statement of Additional Information – January 1, 2016 | 245 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
DCGT
AS TTEE AND/OR CUST
FBO PLIC VARIOUS RETIREMENT PLANS OMNIBUS ATTN NPIO TRADE DESK 711 HIGH ST DES MOINES IA 50392-0001 |
Class R | 13.10% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 9.95% | N/A | |
Class Z | 14.04% | |||
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 26.05% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 44.66% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 29.27% | N/A | |
MATRIX
TRUST COMPANY CUST FBO
TERWILLIGER DENTAL PC 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R5 | 10.46% | N/A | |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class R | 47.67% | N/A | |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class C | 16.01% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 8.75% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class C | 5.01% | N/A | |
Class R4 | 25.61% | |||
Class R5 | 11.58% | |||
NATIONWIDE
TRUST COMPANY/FSB
C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH 43218-2029 |
Class R5 | 14.92% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 33.08% | N/A | |
Class R5 | 14.23% | |||
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 8.16% | N/A | |
Class Z | 7.13% |
Statement of Additional Information – January 1, 2016 | 246 |
Statement of Additional Information – January 1, 2016 | 247 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class A | 8.39% | N/A | |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class B | 18.54% | N/A | |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class R5 | 7.96% | N/A | |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class C | 16.27% | N/A | |
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class R | 12.32% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class A | 7.15% | N/A | |
Class B | 6.60% | |||
Class C | 11.90% | |||
Class Z | 13.58% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 7.71% | N/A | |
Class B | 6.51% | |||
Class C | 7.24% | |||
Class R4 | 17.75% | |||
Class R5 | 21.46% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class A | 6.25% | N/A | |
Class B | 9.55% | |||
Class C | 6.04% | |||
Class R4 | 10.39% | |||
PIMS/PRUDENTIAL
RETIREMENT
AS NOMINEE FOR THE TTEE/CUST PL EVEREST REINSURANCE WESTGATE CORPORATE CENTER PO BOX 830 LIBERTY COR NJ 07938-0830 |
Class R5 | 5.13% | N/A | |
PIMS/PRUDENTIAL
RETIREMENT
AS NOMINEE FOR THE TTEE/CUST PL POWER PROFIT SHARING 401 K PLAN 2041 S COBALT POINT WAY MERIDIAN ID 83642-4443 |
Class R5 | 6.05% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class B | 8.27% | N/A | |
Class C | 7.93% | |||
Class Z | 5.78% | |||
STATE
STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 |
Class R | 33.51% | N/A | |
Class R5 | 6.43% |
Statement of Additional Information – January 1, 2016 | 248 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 7.95% | N/A | |
Class Z | 18.85% | |||
Small/Mid Cap Value Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 47.35% | 38.99% |
Class B | 33.34% | |||
Class C | 35.38% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
Class W | 100.00% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 10.00% | N/A | |
Class Z | 41.16% | |||
HARTFORD
LIFE INSURANCE COMPANY
ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
Class R | 43.54% | N/A | |
Class R4 | 27.69% | |||
ING
LIFE INSURANCE AND ANNUITY CO
ONE ORANGE WAY WINDSOR CT 06095-4773 |
Class R | 17.60% | N/A | |
Class R4 | 6.60% | |||
ING
LIFE INSURANCE AND ANNUITY CO
ONE ORANGE WAY WINDSOR CT 06095-4773 |
Class K | 16.07% | N/A | |
ING
NATIONAL TRUST
ONE ORANGE WAY WINDSOR CT 06095-4773 |
Class R4 | 8.76% | N/A | |
ING
NATIONAL TRUST
ONE ORANGE WAY WINDSOR CT 06095-4773 |
Class K | 27.86% | N/A | |
Class R5 | 10.57% | |||
MASSACHUSETTS
MUTUAL LIFE INS CO
1295 STATE ST SPRINGFIELD MA 01111-0002 |
Class R | 5.29% | N/A | |
MLP
FENNER & SMITH INC
FBO SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR EAST JACKSONVILLE FL 32246-6484 |
Class R5 | 28.74% | N/A | |
Class Z | 22.18% | |||
MLPF&S
FOR THE SOLE BENEFIT
OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL 32246-6484 |
Class R | 8.05% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 7.86% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class K | 35.36% | N/A | |
Class R5 | 35.53% | |||
Class Y | 95.76% | |||
STATE
STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 |
Class R4 | 29.64% | N/A |
Statement of Additional Information – January 1, 2016 | 249 |
Statement of Additional Information – January 1, 2016 | 250 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
JPMCB
NA CUST FOR
COLUMBIA INCOME BUILDER FUND 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 21.63% | N/A | |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class C | 13.00% | N/A | |
Class Z | 23.84% | |||
MERRILL
LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATION 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class A | 10.34% | N/A | |
Class B | 24.94% | |||
Class C | 17.58% | |||
Class R4 | 32.00% | |||
Class Z | 38.98% | |||
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 6.86% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class A | 6.96% | N/A | |
Class R4 | 19.03% | |||
NEW
YORK LIFE TRUST COMPANY
690 CANTON ST STE 100 WESTWOOD MA 02090-2344 |
Class K | 88.40% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class C | 6.27% | N/A | |
Class R4 | 25.68% | |||
Class R5 | 8.21% | |||
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 42.10% | N/A |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
AMT-Free Tax-Exempt Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 16.14% | N/A |
Class B | 17.11% | |||
Class C | 29.49% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 15.72% | N/A | |
Class C | 5.65% | |||
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 16.40% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class Z | 31.38% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 19.40% | N/A |
Statement of Additional Information – January 1, 2016 | 251 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 41.57% | N/A | |
Class R5 | 8.28% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 57.65% | N/A | |
Class R5 | 18.36% | |||
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 72.35% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class B | 5.15% | N/A | |
Class C | 8.36% | |||
Class Z | 19.89% | |||
Disciplined Core Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 22.09% | N/A |
Class B | 13.92% | |||
Class C | 30.59% | |||
Class W | 100.00% | |||
ASCENSUS
TRUST COMPANY FBO
FINANCIAL NETWORK AUDIT, LLC 401(K) PO BOX 10758 FARGO ND 58106-0758 |
Class R | 8.28% | N/A | |
ASCENSUS
TRUST COMPANY FBO
HOSPICE ADVANTAGE 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class R | 10.11% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class Y | 100.00% | N/A (a) | |
FIIOC
FBO
WATT COMPANIES INC 401K PLAN 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1987 |
Class R4 | 50.88% | N/A | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class Z | 71.81% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 12.71% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 41.86% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 8.29% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 20.83% | N/A |
Statement of Additional Information – January 1, 2016 | 252 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
JPMCB
NA CUST FOR
COLUMBIA GLOBAL STRATEGIC EQUITY PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 7.65% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA VP-ASSET ALLOCATION FUND 14201 N DALLAS PKWAY FL 13 DALLAS TX 75254-2916 |
Class I | 6.11% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 5.37% | N/A | |
MATRIX
TRUST COMPANY AS CUST FBO
SHERRILL HOUSE, INC 403(B) RET PLN PO BOX 52129 PHOENIX AZ 85072-2129 |
Class R | 21.28% | N/A | |
MERRILL
LYNCH PIERCE FENNER & SMITH
FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTN FUND ADMINISTRATOR 4800 DEER LAKE DR E FL 2 JACKSONVILLE FL 32246-6484 |
Class C | 8.14% | N/A | |
Class R | 34.29% | |||
Class Z | 9.44% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 17.28% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 31.60% | N/A | |
VOYA
INSTITUTIONAL TRUST COMPANY
TTEE OR CUST FBO MERCEDES-BENZ INTER INC RET SAVINGS PLAN 30 BRAINTREE HILL PARK BRAINTREE MA 02184-8747 |
Class R5 | 84.99% | N/A | |
WELLS
FARGO BANK FBO
1525 W W T HARRIS BLVD CHARLOTTE NC 28262-8522 |
Class K | 98.53% | N/A | |
WELLS
FARGO BANK FBO
CRENLO RETIREMENT 401K 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28288-1076 |
Class R5 | 7.59% | N/A | |
Disciplined Growth Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 79.03% | 47.82% |
Class B | 25.59% | |||
Class C | 38.34% | |||
Class W | 100.00% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class K | 100.00% | 38.41% (a) | |
Class Y | 100.00% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 5.65% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 18.44% | N/A |
Statement of Additional Information – January 1, 2016 | 253 |
Statement of Additional Information – January 1, 2016 | 254 |
Statement of Additional Information – January 1, 2016 | 255 |
Statement of Additional Information – January 1, 2016 | 256 |
Statement of Additional Information – January 1, 2016 | 257 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 83.01% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class R | 32.18% | N/A (a) | |
Class W | 100.00% | |||
DONNA
C KNIGHT & JEFFREY L KNIGHT
TTEES DONNA C KNIGHT LIVING TRUST U/A 07/24/1998 15 SYLVAN LN WESTON MA 02493-1027 |
Class Z | 45.51% | N/A | |
FIRST
CLEARING LLC
2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class K | 15.80% | N/A | |
MATRIX
TRUST COMPANY CUST FBO TTEE
FBO BINKLEY & HURST LP 401(K) PLAN 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 5.14% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class R | 62.68% | N/A | |
Class Z | 36.34% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 95.74% | N/A | |
TD
AMERITRADE TRUST COMPANY
ATTN HOUSE PO BOX 17748 DENVER CO 80217-0748 |
Class R5 | 99.14% | N/A | |
Income Opportunities Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 72.75% | 38.23% |
Class B | 34.18% | |||
Class C | 38.56% | |||
Class W | 99.84% | |||
ASCENSUS
TRUST COMPANY FBO
DENNIS F MEYER INC 401 K PO BOX 10758 FARGO ND 58106-0758 |
Class R | 11.57% | N/A | |
ASCENSUS
TRUST COMPANY FBO
WOODMARK/RMP LLC 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class Y | 11.75% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 20.75% | N/A | |
Class K | 11.92% | |||
COLUMBIA
THERMOSTAT FUND
C/O PAULA RYAN 227 W MONROE ST STE 3000 CHICAGO IL 60606-5018 |
Class I | 36.57% | N/A | |
FIIOC
FBO
MARCO INC 401(K) PLAN 100 MAGELLAN WAY (KW1C) COVINGTON KY 41015-1987 |
Class R4 | 8.86% | N/A |
Statement of Additional Information – January 1, 2016 | 258 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 9.08% | N/A | |
Class C | 5.91% | |||
GREAT
WEST TRUST CO
TRST FBO EMPLOYEE BENEFITS CLIENTS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class K | 86.53% | N/A | |
GREENLEAF
TRUST FBO
SMITH HAUGHEY RICE & ROEGGE PS 401 211 S ROSE ST KALAMAZOO MI 49007-4713 |
Class Y | 50.95% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 25.95% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 6.22% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 24.22% | N/A | |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class C | 5.23% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL 32246-6484 |
Class B | 18.32% | N/A | |
Class C | 9.27% | |||
Class Z | 67.95% | |||
MG
TRUST COMPANY CUST FBO
THE ANDERSON COMPANY L L C 401 K 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 7.02% | N/A | |
MID
ATLANTIC TRUST COMPANY FBO
CARL BELT INC 2011-2020 MODERATE 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R | 12.98% | N/A | |
MID
ATLANTIC TRUST COMPANY FBO
CARL BELT INC 2021-2030 MODERATE 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R | 19.51% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class C | 7.69% | N/A | |
Class R4 | 35.29% | |||
Class R5 | 7.38% | |||
Class Y | 29.31% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class A | 5.48% | N/A | |
Class B | 6.53% | |||
Class R4 | 50.66% | |||
Class R5 | 19.26% |
Statement of Additional Information – January 1, 2016 | 259 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
SEI
PRIVATE TRUST COMPANY
C/O MELLON BANK ID ATTN MUTUAL FUND ADMIN 1 FREEDOM VALLEY DR OAKS PA 19456-9989 |
Class R5 | 13.16% | N/A | |
SMC
CONSULTING ENGINEERS P C TTEE
SMC CONSULTING ENGINEERS P C 401 K C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 23.95% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 39.39% | N/A | |
Inflation Protected Securities Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 47.73% | N/A |
Class B | 38.53% | |||
Class C | 23.47% | |||
Class W | 97.09% | |||
ASCENSUS
TRUST COMPANY FBO
LAW OFFICES OF ROSEMARIE ARNOLD 401 PO BOX 10758 FARGO ND 58106-0758 |
Class K | 72.57% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class K | 24.38% | 47.77% (a) | |
Class R5 | 12.16% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class B | 5.22% | N/A | |
Class C | 5.56% | |||
Class Z | 72.19% | |||
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 13.19% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 12.17% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 15.39% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 18.01% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA INCOME BUILDER FUND 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 37.47% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 5.25% | N/A | |
Class C | 34.42% | |||
Class R | 74.76% | |||
Class Z | 9.81% |
Statement of Additional Information – January 1, 2016 | 260 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 6.76% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R5 | 35.68% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class B | 15.03% | N/A | |
Class R5 | 10.85% | |||
STATE
STREET BANK AND TRUST AS
TRUSTEE AND/OR CUSTODIAN FBO ADP ACCESS PRODUCT 1 LINCOLN ST BOSTON MA 02111-2901 |
Class R5 | 36.97% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 12.38% | N/A | |
Limited Duration Credit Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 66.86% | 40.83% |
Class B | 50.55% | |||
Class C | 42.72% | |||
Class W | 99.99% | |||
CHARLES
SCHWAB & CO INC
CUST A/C FOR THE EXCLUSIVE BENEFIT ATTENTION MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 86.88% | N/A | |
Class K | 90.80% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class K | 9.20% | N/A (a) | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 7.78% | N/A | |
Class Z | 7.79% | |||
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 15.35% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 25.45% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 20.67% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA INCOME BUILDER FUND 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 38.53% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 5.14% | N/A |
Statement of Additional Information – January 1, 2016 | 261 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class C | 9.43% | N/A | |
Class Z | 48.25% | |||
MINNESOTA
LIFE INS COMPANY
ATTN KENNETH MONTAGUE 400 ROBERT STREET NORTH ST PAUL MN 55101-2099 |
Class R4 | 83.48% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class Z | 18.78% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 8.90% | N/A | |
Class Y | 96.81% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 7.53% | N/A | |
Class R5 | 11.92% | |||
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 8.41% | N/A | |
Class Z | 8.23% | |||
MN Tax-Exempt Fund |
AMERICAN
ENTERPRISE INV SVCS, INC
ATTN: MFIS CUSTOMER 2003 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0020 |
Class B | 7.18% | N/A |
Class B | 7.16% | |||
Class B | 5.89% | |||
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 21.93% | N/A | |
Class B | 36.95% | |||
Class C | 46.83% | |||
Class Z | 6.72% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class R5 | 100.00% | N/A (a) | |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class Z | 11.65% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class Z | 28.12% | N/A | |
MARIL
& CO FBO NJ
C/O BMO HARRIS BANK NA ATTN MF 480 PILGRIM WAY, SUITE 1000 GREEN BAY WI 54304-5280 |
Class Z | 5.75% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class Z | 13.88% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 60.11% | N/A |
Statement of Additional Information – January 1, 2016 | 262 |
Statement of Additional Information – January 1, 2016 | 263 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MG
TRUST COMPANY CUST FBO
BTECH INC 401 K PROFIT SHARING PLA 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 6.98% | N/A | |
MID
ATLANTIC TRUST COMPANY FBO
BLOCK,JANNEY AND PASCAL 401(K) PROF 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R | 22.07% | N/A | |
MID
ATLANTIC TRUST COMPANY FBO
DESERT CARDIOLOGY CONSULTANT S MED 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R5 | 68.83% | N/A | |
MLPF&S
4800 DEER LAKE DRIVE EAST, 3RD FL. JACKSONVILLE FL 32246-6484 |
Class B | 12.61% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 11.82% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class B | 5.56% | N/A |
Statement of Additional Information – January 1, 2016 | 264 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
LPL
FINANCIAL
FBO CUSTOMER ACCOUNTS 9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class C | 5.56% | N/A | |
Class Z | 13.34% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 93.60% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class C | 5.63% | N/A | |
Class R4 | 6.22% | |||
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 7.58% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 13.55% | N/A | |
Class Z | 5.24% |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Absolute Return Currency and Income Fund |
AMERICAN
ENTERPRISE INV SVCS, INC
ATTN: MFIS CUSTOMER 2003 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0020 |
Class B | 43.50% | N/A |
Class C | 10.36% | |||
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 41.72% | N/A | |
Class B | 42.67% | |||
Class C | 25.86% | |||
Class W | 87.15% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class R4 | 67.59% | 59.54% (a) | |
Class R5 | 100.00% | |||
Class W | 12.85% | |||
Class Y | 100.00% | |||
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class C | 6.44% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 7.34% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 48.17% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 9.07% | N/A |
Statement of Additional Information – January 1, 2016 | 265 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 33.36% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class Z | 68.48% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 6.96% | N/A | |
Class Z | 10.20% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class C | 8.35% | N/A | |
Class R4 | 32.41% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class C | 8.81% | N/A | |
STATE
STREET BANK & TRUST CUST
FBO DONA M RENDLEN IRA 1015 ANEMONE RD FOUR SEASONS MO 65049-6620 |
Class C | 5.15% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 6.18% | N/A | |
UMBSC
& CO
FBO FBO ISM NON TRADITIONAL FUND PO BOX 419260 KANSAS CITY MO 64141-6260 |
Class Z | 9.35% | N/A | |
Asia Pacific ex-Japan Fund |
ACTION
FABRICATORS INC TTEE FBO
ACTION FABRICATORS INC PSP 401K C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 38.86% | N/A |
ALAN
J PINNICK &
MARILYN K PINNICK JTTEN 712 PHAETON PL INDIANAPOLIS IN 46227-2524 |
Class C | 7.06% | N/A | |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 25.18% | N/A | |
CAPITAL
BANK & TRUST CO TTEE FBO
EVERETT GASKINS HANCOCK LLP 401K PS 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 13.82% | N/A | |
COLUMBIA
MANAGEMENT ADVISORS INC
NOMINEE FOR VARIOUS COLUMBIA FUNDS ATTN JANE HOWARD FBO: RLD 225 FRANKLIN ST FL 25 BOSTON MA 02110-2888 |
Class Z | 18.83% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) |
Statement of Additional Information – January 1, 2016 | 266 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
DEMETRIOS
ZIOZIS TTEE FBO
LINON HOME DECOR PRODUCTS INC 401K C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 6.20% | N/A | |
KERRI
KOESSLER &
CHRISTOPHE KOESSLER JT WROS 1071 LONGFELLOW AVE CAMPBELL CA 95008-7110 |
Class C | 6.35% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class A | 56.62% | N/A | |
MG
TRUST COMPANY CUST FBO
KUCHLER POLK SCHELL WEINER & RICHES 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 19.56% | N/A | |
NALINI
S NAIK
5 KILBURN CT CHERRY HILL NJ 08003-1965 |
Class Z | 6.86% | N/A | |
PAI
TRUST COMPANY, INC
STUDIOPOLIS, INC. 401(K) P/S PLAN 1300 ENTERPRISE DR DE PERE WI 54115-4934 |
Class R | 5.05% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class A | 6.98% | N/A | |
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 8.24% | N/A | |
Class Z | 23.94% | |||
STATE
STREET BANK & TRUST CUST
FBO DEAN C GASSMAN IRA 53 MANCHESTER CT CARMEL IN 46032-9508 |
Class C | 7.29% | N/A | |
STATE
STREET BK & TR IRA
FBO MARLENE WOOD 9700 ENCHANTO RD ATASCADERO CA 93422-7111 |
Class C | 17.59% | N/A | |
STATE
STREET BK & TR IRA
PATRICIA M DALY 426 GREAT FALLS ST FALLS CHURCH VA 22046-2608 |
Class Z | 17.52% | N/A | |
STATE
STREET BK & TR IRA
RICHARD A HIGA 1913 JACK RABBIT WAY LAS VEGAS NV 89128-2636 |
Class C | 5.24% | N/A | |
STATE
STREET BK & TR IRA
ROSEMARIE KATO 17218 ALFRED AVE CERRITOS CA 90703-1112 |
Class C | 14.10% | N/A | |
STATE
STREET BK & TR IRA
YUKIKO KAWAHARA 567 N 17TH ST SAN JOSE CA 95112-1735 |
Class C | 7.06% | N/A | |
STIFEL
NICOLAUS & CO INC
EXCLUSIVE BENEFIT OF CUSTOMERS 501 N BROADWAY SAINT LOUIS MO 63102-2188 |
Class Z | 29.33% | N/A |
Statement of Additional Information – January 1, 2016 | 267 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
WESTMEYER
DENTAL INC TTEE FBO
WESTMEYER DENTAL INC PSP 401K C/O FASCORE LLC 8515 E ORCHARD RD # 2T2 GREENWOOD VLG CO 80111-5002 |
Class R | 15.63% | N/A | |
Emerging Markets Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 39.45% | N/A |
Class B | 39.98% | |||
Class C | 8.80% | |||
Class W | 97.85% | |||
CAPINCO
C/O US BANK NA PO BOX 1787 MILWAUKEE WI 53201-1787 |
Class Y | 45.24% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY A/C FBO CUSTOMERS ATTN MUTUAL FUND DEPT 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class R5 | 13.29% | N/A | |
Class K | 17.68% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class K | 46.84% | 42.03% (a) | |
COUNSEL
TRUST DBA MATC FBO
SAVINGS INCENTIVE & PS PLAN FOR EE S OF THE HOBBY LOBBY GRP 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class Y | 14.80% | N/A | |
FIRST
CLEARING LLC
2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class K | 35.48% | N/A | |
Class C | 19.13% | |||
Class Z | 22.67% | |||
JPMCB
NA AS CUST FOR THE SC529 PLAN
COLUMBIA MODERATE GROWTH 529 PORTFOLIO 14201 N DALLAS PARKWAY FL 13 DALLAS TX 75254-2916 |
Class Z | 5.78% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 11.36% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 7.03% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 11.39% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA INCOME BUILDER FUND 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 66.51% | N/A | |
LPL
FINANCIAL
9785 TOWNE CENTRE DR SAN DIEGO CA 92121-1968 |
Class A | 5.82% | N/A |
Statement of Additional Information – January 1, 2016 | 268 |
Statement of Additional Information – January 1, 2016 | 269 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
JPMCB
NA AS CUST FOR THE SC529 PLAN
COLUMBIA MODERATE GROWTH 529 PORTFOLIO 14201 N DALLAS PARKWAY FL 13 DALLAS TX 75254-2916 |
Class Z | 20.26% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 14.02% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 41.93% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 8.34% | N/A | |
JPMCB
NA CUST FOR
COLUMBIA CAPITAL ALLOCATION MODERATE PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class I | 28.35% | N/A | |
JPMCB
NA CUST FOR SC529 PLAN
COLUMBIA AGGRESSIVE GROWTH 529 PORTFOLIO 14201N DALLAS PKWY FL 13 DALLAS TX 75254 |
Class Z | 19.18% | N/A | |
JPMCB
NA CUST FOR SC529 PLAN
COLUMBIA GROWTH 529 PORTFOLIO 14201 N DALLAS PKWY FL 13 DALLAS TX 75254-2916 |
Class Z | 22.07% | N/A | |
MG
TRUST COMPANY CUST. FBO
UROLOGIC SURGERY, P.C. 401(K) PROFI 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class K | 68.67% | N/A | |
MLP
FENNER & SMITH INC
FBO SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR EAST JACKSONVILLE FL 32246-6484 |
Class C | 11.34% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 16.87% | N/A | |
Class Z | 5.04% | |||
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class R4 | 99.01% | N/A | |
Class R5 | 8.98% | |||
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 84.18% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class C | 12.42% | N/A |
Statement of Additional Information – January 1, 2016 | 270 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
Global Bond Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 24.87% | N/A |
Class B | 38.22% | |||
Class C | 27.34% | |||
Class W | 87.85% | |||
BAND
& CO C/O US BANK NA
1555 N RIVERCENTER DR STE 302 MILWAUKEE WI 53212-3958 |
Class Z | 13.11% | N/A | |
BENEFIT
TRUST TTEE
PETERS INSURANCE & REAL ESTATE 401K 330 W 9TH ST KANSAS CITY MO 64105-1514 |
Class R | 24.83% | N/A | |
CHARLES
SCHWAB & CO INC
SPECIAL CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 27.23% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
Class R | 29.67% | |||
Class W | 12.15% | |||
Class Y | 100.00% | |||
FIRST
CLEARING LLC
2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class K | 5.28% | N/A | |
MID
ATLANTIC TRUST COMPANY FBO
TECVAR INC 401 K PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R | 41.33% | N/A | |
MLP
FENNER & SMITH INC
FBO SOLE BENEFIT OF ITS CUSTOMERS 4800 DEER LAKE DR EAST JACKSONVILLE FL 32246-6484 |
Class C | 6.11% | N/A | |
NANCY
MANN FBO
MANNS JEWELERS INC 401(K) PROFIT SHARING PLAN & TRUST 2945 MONROE AVE ROCHESTER NY 14618-4601 |
Class K | 64.08% | N/A | |
NATIONAL
FINANCIAL SERVICES LLC
FOR THE EXCLUSIVE BENEFIT OF OUR CUSTOMERS 499 WASHINGTON BLVD FL 5 JERSEY CITY NJ 07310-2010 |
Class Z | 13.92% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class Z | 57.77% | N/A | |
Select Global Equity Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 13.58% | N/A |
Class B | 23.98% | |||
Class C | 12.64% | |||
ASCENSUS
TRUST CO FBO
CACHE COMMODITIES INC 401K RETIRE PO BOX 10758 FARGO ND 58106-0758 |
Class R | 12.59% | N/A | |
ASCENSUS
TRUST COMPANY FBO
FINANCIAL NETWORK AUDIT, LLC 401(K) PO BOX 10758 FARGO ND 58106-0758 |
Class R | 13.08% | N/A | |
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
Class W | 100.00% |
Statement of Additional Information – January 1, 2016 | 271 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
FIRST
CLEARING LLC
SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class Z | 11.28% | N/A | |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class C | 14.15% | N/A | |
Class R | 41.61% | |||
Class Z | 16.74% | |||
MG
TRUST COMPANY CUST
FBO APPLIED RELIABILITY ENGINEERING 717 17TH ST STE 1300 DENVER CO 80202-3304 |
Class R | 30.80% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 6.86% | N/A | |
Class Z | 21.76% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R5 | 98.01% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class Z | 24.02% | N/A | |
WELLS
FARGO BANK FBO
1525 W W T HARRIS BLVD CHARLOTTE NC 28262-8522 |
Class K | 99.57% | N/A | |
Seligman Global Technology Fund |
AMERICAN
ENTERPRISE INVESTMENT SVC
707 2ND AVE S MINNEAPOLIS MN 55402-2405 |
Class A | 12.63% | N/A |
Class B | 14.35% | |||
ASCENSUS
TRUST COMPANY FBO
CHALET DENTAL CARE 401(K) PLAN PO BOX 10758 FARGO ND 58106-0758 |
Class K | 28.59% | N/A | |
CHARLES
SCHWAB & CO INC
CUST A/C FOR THE EXCLUSIVE BENEFIT ATTENTION MUTUAL FUNDS 101 MONTGOMERY ST SAN FRANCISCO CA 94104-4151 |
Class K | 57.20% | N/A | |
Class R5 | 69.29% | |||
COLUMBIA
MGMT INVESTMENT ADVSR LLC
ATTN KATRINA MACBAIN 50807 AMERIPRISE FINANCIAL CTR MINNEAPOLIS MN 55474-0508 |
Class I | 100.00% | N/A (a) | |
FIIOC
FBO
REV1 POWER SERVICES INC 401(K) PROFIT SHARING PLAN 100 MAGELLAN WAY # KW1C COVINGTON KY 41015-1987 |
Class R4 | 26.91% | N/A | |
FIRST
CLEARING LLC
2801 MARKET ST SAINT LOUIS MO 63103-2523 |
Class K | 5.50% | N/A | |
Class C | 7.18% | |||
Class Z | 12.79% | |||
HARTFORD
LIFE INSURANCE COMPANY
ATTN UIT OPERATIONS PO BOX 2999 HARTFORD CT 06104-2999 |
Class R | 48.24% | N/A |
Statement of Additional Information – January 1, 2016 | 272 |
Fund | Shareholder Name and Address | Share Class |
Percentage
of Class |
Percentage
of Fund
(if greater than 25%) |
MERRILL
LYNCH, PIERCE, FENNER
& SMITH INC FOR THE SOLE BENEFIT OF ITS CUSTOMERS ATTENTION SERVICE TEAM 4800 DEER LAKE DRIVE EAST 3RD FLOOR JACKSONVILLE FL 32246-6484 |
Class A | 6.69% | N/A | |
Class C | 16.29% | |||
Class R | 12.47% | |||
Class Z | 34.81% | |||
MID
ATLANTIC TRUST COMPANY FBO
LCM FX LLC 401 K PROFIT SHARING PLAN & TRUST 1251 WATERFRONT PL STE 525 PITTSBURGH PA 15222-4228 |
Class R4 | 12.70% | N/A | |
MORGAN
STANLEY SMITH BARNEY
HARBORSIDE FINANCIAL CENTER PLAZA 2, 3RD FLOOR JERSEY CITY NJ 07311 |
Class C | 9.78% | N/A | |
Class Z | 9.11% | |||
NATIONAL
FINANCIAL SERVICES LLC
FEBO CUSTOMERS MUTUAL FUNDS 200 LIBERTY STREET 1WFC NEW YORK NY 10281-1003 |
Class R4 | 14.27% | N/A | |
PATTERSON
& CO FBO
ISSI RETIREMENT PLAN 1525 WEST WT HARRIS BLVD CHARLOTTE NC 28262-8522 |
Class R5 | 14.43% | N/A | |
PERSHING
LLC
1 PERSHING PLZ JERSEY CITY NJ 07399-0002 |
Class A | 9.42% | N/A | |
Class C | 6.45% | |||
Class R4 | 44.99% | |||
RAYMOND
JAMES
FBO OMNIBUS FOR MUTUAL FUNDS HOUSE ACCT FIRM ATTN: COURTNEY WALLER 880 CARILLON PKWY ST PETERSBURG FL 33716-1100 |
Class C | 6.74% | N/A | |
TD
AMERITRADE INC FOR THE
EXCLUSIVE BENEFIT OF OUR CLIENTS PO BOX 2226 OMAHA NE 68103-2226 |
Class R5 | 14.64% | N/A | |
UBS
WM USA
OMNI ACCOUNT M/F ATTN: DEPARTMENT MANAGER 1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
Class B | 8.52% | N/A | |
Class C | 7.10% | |||
Class Z | 34.21% |
(a) | Combination of all share classes of Columbia Management initial capital and/or affiliated funds-of-funds’ investments. |
Statement of Additional Information – January 1, 2016 | 273 |
Statement of Additional Information – January 1, 2016 | 274 |
Statement of Additional Information – January 1, 2016 | A-1 |
Statement of Additional Information – January 1, 2016 | A-2 |
Statement of Additional Information – January 1, 2016 | A-3 |
Statement of Additional Information – January 1, 2016 | A-4 |
■ | Independence — A nominee who is deemed an affiliate of the company by virtue of a material business, familial or other relationship with the company but is otherwise not an employee. |
■ | Attendance — A nominee who failed to attend at least 75% of the board’s meetings. |
■ | Over Boarding — A nominee who serves on more than four other public company boards or an employee director nominee who serves on more than two other public company boards. |
■ | Committee Membership — A nominee who has been assigned to the audit, compensation, nominating, or governance committee if that nominee is not independent of management, or if the nominee does not meet the specific independence and experience requirements for audit committees or the independence requirements for compensation committees. |
■ | Audit Committee Chair — A nominee who serves as audit committee chair where the committee failed to put forth shareholder proposals for ratification of auditors. |
■ | Board Independence — A nominee of a company whose board as proposed to be constituted would have more than one-third of its members from management. |
■ | Interlocking Directorship — A nominee who is an executive officer of another company on whose board one of the company’s executive officers sits. |
■ | Poor Governance — A nominee involved with options backdating, financial restatements or material weakness in controls, approving egregious compensation, or who has consistently disregarded the interests of shareholders. |
Statement of Additional Information – January 1, 2016 | B-1 |
Statement of Additional Information – January 1, 2016 | B-2 |
Statement of Additional Information – January 1, 2016 | B-3 |
Statement of Additional Information – January 1, 2016 | B-4 |
Statement of Additional Information – January 1, 2016 | B-5 |
Statement of Additional Information – January 1, 2016 | B-6 |
Statement of Additional Information – January 1, 2016 | B-7 |
Statement of Additional Information – January 1, 2016 | B-8 |
Statement of Additional Information – January 1, 2016 | B-9 |
Statement of Additional Information – January 1, 2016 | B-10 |
■ | the inability or perceived inability of a government authority to collect sufficient tax or other revenues to meet its payment obligations; |
■ | natural disasters and ecological or environmental concerns; |
■ | the introduction of constitutional or statutory limits on a tax-exempt issuer’s ability to raise revenues or increase taxes; |
■ | the inability of an issuer to pay interest on or to repay principal or securities in which the funds invest during recessionary periods; and |
■ | economic or demographic factors that may cause a decrease in tax or other revenues for a government authority or for private operators of publicly financed facilities. |
Statement of Additional Information – January 1, 2016 | C-1 |
Statement of Additional Information – January 1, 2016 | C-2 |
Statement of Additional Information – January 1, 2016 | C-3 |
Statement of Additional Information – January 1, 2016 | C-4 |
Statement of Additional Information – January 1, 2016 | C-5 |
Statement of Additional Information – January 1, 2016 | C-6 |
Statement of Additional Information – January 1, 2016 | C-7 |
Statement of Additional Information – January 1, 2016 | C-8 |
Statement of Additional Information – January 1, 2016 | C-9 |
Statement of Additional Information – January 1, 2016 | C-10 |
Statement of Additional Information – January 1, 2016 | D-1 |
Statement of Additional Information – January 1, 2016 | D-2 |
■ | Individual or joint accounts; |
■ | Roth and traditional Individual Retirement Accounts (IRAs), Simplified Employee Pension accounts (SEPs), Savings Investment Match Plans for Employees of Small Employers accounts (SIMPLEs) and Tax Sheltered Custodial Accounts (TSCAs); |
■ | Uniform Gifts to Minors Act (UGMA)/Uniform Transfers to Minors (UTMA) accounts for which you, your spouse, or your domestic partner is parent or guardian of the minor child; |
■ | Revocable trust accounts for which you or an immediate family member, individually, is the beneficial owner/grantor; |
■ | Accounts held in the name of your, your spouse’s, or your domestic partner’s sole proprietorship or single owner limited liability company or S corporation; |
■ | Qualified retirement plan assets, provided that you are the sole owner of the business sponsoring the plan, are the sole participant (other than a spouse) in the plan, and have no intention of adding participants to the plan; and |
■ | Investments in wrap accounts; |
■ | Accounts of pension and retirement plans with multiple participants, such as 401(k) plans (which are combined to reduce the sales charge for the entire pension or retirement plan and therefore are not used to reduce the sales charge for your individual accounts); |
■ | Accounts invested in Class I, Class K, Class R and/or Class Y shares of the Funds; |
■ | Retirement plan accounts invested in Class R4 and/or Class R5 shares; |
■ | Investments in 529 plans, donor advised funds, variable annuities, variable life insurance products, or managed separate accounts; |
Statement of Additional Information – January 1, 2016 | S-1 |
■ | Charitable and irrevocable trust accounts; |
■ | Accounts holding shares of money market Funds that used the Columbia brand before May 1, 2010; and |
■ | Direct purchases of Columbia Money Market Fund shares. (Shares of Columbia Money Market Fund acquired by exchange from other Funds may be combined for letter of intent purposes.) |
■ | Current or retired fund Board members, officers or employees of the funds or Columbia Management or its affiliates (a) ; |
■ | Current or retired Ameriprise Financial Services, Inc. (Ameriprise Financial Services) financial advisors and employees of such financial advisors (a) ; |
■ | Registered representatives and other employees of affiliated or unaffiliated selling agents (and their immediate family members and related trusts or other entities owned by the foregoing) having a selling agreement with the Distributor (a) ; |
■ | Registered broker-dealer firms that have entered into a dealer agreement with the Distributor may buy Class A shares without paying a front-end sales charge for their investment account only; |
■ | Portfolio managers employed by subadvisers of the funds (a) ; |
■ | Partners and employees of outside legal counsel to the funds or the funds’ directors or trustees who regularly provide advice and services to the funds, or to their directors or trustees; |
■ | Direct rollovers ( i.e. , rollovers of fund shares and not reinvestments of redemption proceeds) from qualified employee benefit plans, provided that the rollover involves a transfer to Class A shares in the same fund; |
■ | Employees of Bank of America, its affiliates and subsidiaries; |
■ | Employees or partners of Columbia Wanger Asset Management, LLC and Marsico Capital Management, LLC (or their successors); |
■ | (For Class T shares only) Shareholders who (i) bought Galaxy fund Retail A shares at net asset value and received Class T shares in exchange for those shares during the Galaxy/Liberty fund reorganization; and (ii) continue to maintain the account in which the Retail A shares were originally bought; and Boston 1784 fund shareholders on the date that those funds were reorganized into Galaxy funds; |
■ | Separate accounts established and maintained by an insurance company which are exempt from registration under Section 3(c)(11); |
■ | At a fund’s discretion, front-end sales charges may be waived for shares issued in plans of reorganization, such as mergers, asset acquisitions and exchange offers, to which the fund is a party; |
■ | In the Distributor’s discretion, on (i) purchases (including exchanges) of Class A shares in accounts of selling agents that have entered into agreements with the Distributor to offer fund shares to self-directed investment brokerage accounts that may or may not charge a transaction fee to customers and (ii) exchanges of Class Z shares of a fund for Class A shares of the fund; and |
■ | Purchases by registered representatives and employees (and their immediate family members and related trusts or other entities owned by the foregoing (referred to as “Related Persons”)) of Ameriprise Financial Services and its affiliates; provided that with respect to employees (and their Related Persons) of an affiliate of Ameriprise, such persons must make purchases through an account held at Ameriprise or its affiliates. |
Statement of Additional Information – January 1, 2016 | S-2 |
■ | Participants of “eligible employee benefit plans” including 403(b) plans for which Ameriprise Financial Services serves as broker-dealer, and the school district or group received a written proposal from Ameriprise Financial Services between November 1, 2007 and December 31, 2008 (each a Qualifying 403(b) Plan). In order for participants in one of these 403(b) plans to receive this waiver, at least one participant account of the 403(b) plan must have been funded at Ameriprise Financial Services prior to December 31, 2009. This waiver may be discontinued for any Qualifying 403(b) Plan, in the sole discretion of the Distributor. |
■ | With dividend or capital gain distributions from a fund or from the same class of another fund (b) ; |
■ | Through or under a wrap fee product or other investment product sponsored by a selling agent that charges an account management fee or other managed agency/asset allocation accounts or programs involving fee-based compensation arrangements that have or that clear trades through a selling agent that has a selling agreement with the Distributor; |
■ | Through state sponsored college savings plans established under Section 529 of the Internal Revenue Code; |
■ | Through banks, trust companies and thrift institutions, acting as fiduciaries; and |
■ | Through “employee benefit plans” created under section 401(a), 401(k), 457 and 403(b), and qualified deferred compensation plans, that have a plan level or omnibus account maintained with the fund or the Transfer Agent and transacts directly with the fund or the Transfer Agent through a third party administrator or third party recordkeeper. |
(a) | Including their spouses or domestic partners, children or step-children, parents, step-parents or legal guardians, and their spouse’s or domestic partner’s parents, step-parents, or legal guardians. |
(b) | The ability to invest dividend and capital gain distributions from one Fund to another Fund may not be available to accounts held at all Selling Agents. |
■ | In the event of the shareholder’s death; |
■ | For which no sales commission or transaction fee was paid to an authorized selling agent at the time of purchase; |
■ | Purchased through reinvestment of dividend and capital gain distributions; |
■ | In an account that has been closed because it falls below the minimum account balance; |
■ | That result from required minimum distributions taken from retirement accounts upon the shareholder’s attainment of age 70½; |
■ | That result from returns of excess contributions made to retirement plans or individual retirement accounts, so long as the selling agent returns the applicable portion of any commission paid by the Distributor; |
Statement of Additional Information – January 1, 2016 | S-3 |
■ | Of Class A shares of a fund initially purchased by an employee benefit plan; |
■ | Other than Class A shares of a fund initially purchased by an employee benefit plan that are not connected with a plan level termination; |
■ | In connection with the fund’s Small Account Policy (as described in the applicable prospectus); and |
■ | At a fund’s discretion, issued in connection with plans of reorganization, including but not limited to mergers, asset acquisitions and exchange offers, to which the fund is a party. |
■ | In the event of the shareholder’s death; and |
■ | That result from required minimum distributions taken from retirement accounts upon the shareholder’s attainment of age 70½. |
■ | By health savings accounts sponsored by third party platforms, including those sponsored by Bank of America affiliates.* |
■ | For medical payments that exceed 7.5% of income.* |
■ | To pay for insurance by an individual who has separated from employment and who has received unemployment compensation under a federal or state program for at least twelve weeks.* |
■ | Occurring pursuant to a Systematic Withdrawal Plan (SWP) established with the Transfer Agent, to the extent that the sales do not exceed, on an annual basis, 12% of the account’s value as long as distributions are reinvested. Otherwise, a CDSC will be charged on SWP sales until this requirement is met. |
■ | For shares purchased prior to September 7, 2010, CDSCs may be waived on sales after the sole shareholder on an individual account or a joint tenant on a joint tenant account becomes disabled (as defined by Section 72(m)(7) of the Code). To be eligible for such a waiver: (i) the disability must arise after the account is opened and (ii) a letter from a physician must be signed under penalty of perjury stating the nature of the disability. If the account is transferred to a new registration and then shares are sold, the applicable CDSC will be charged.* |
■ | Shares redeemed in connection with loans from qualified retirement plans to shareholders.* |
■ | CDSCs may be waived on shares (except for Class B shares) sold by certain group retirement plans held in omnibus accounts. However, CDSCs may not be waived for Class C shares if the waiver would occur as a result of a plan-level termination. |
■ | Shares redeemed in connection with distributions from qualified retirement plans, government (Section 457) plans, individual retirement accounts or custodial accounts under Section 403(b)(7) of the Code following normal retirement or the attainment of 59½.** |
* | Fund investors and Selling Agents must inform the Fund or the Transfer Agent in writing that the Fund investor qualifies for the particular sales charge waiver and provide proof thereof. |
** | For direct trades on non-prototype retirement accounts where the date of birth of the shareholder is not maintained, the shareholder or Selling Agent must inform the Fund or the Transfer Agent in writing that the Fund investor qualifies for the particular sales charge waiver and provide proof thereof. |
■ | Redemptions of Class B shares of a series of CFST II held in investment-only accounts ( i.e. , accounts for which Ameriprise Trust Company does not act as the custodian) at Ameriprise Financial Services on behalf of a trust for an employee benefit plan. |
■ | Redemptions of Class B shares of a series of CFST II held in individual retirement accounts or certain qualified plans, on or prior to June 12, 2009, such as Keogh plans, tax-sheltered custodial accounts or corporate pension plans where Ameriprise Trust Company is acting as custodian, provided that the shareholder is (i) at least 59½ years old and taking a retirement distribution (if the sale is part of a transfer to an individual retirement account or qualified plan, or a custodian-to-custodian transfer, the CDSC will not be waived* or (ii) selling under an approved substantially equal periodic payment arrangement. |
■ | Class B shares of a series of CFST II held in individual retirement accounts and certain qualified plans where an Ameriprise Financial affiliate acts as selling agent that were purchased prior to September 7, 2010 and sold under an approved |
Statement of Additional Information – January 1, 2016 | S-4 |
* | You must notify the Fund or the Transfer Agent prior to redeeming shares of the applicability of the CDSC waiver, but final decision of the applicability of the CDSC waiver is contingent on approval of the Fund or the Transfer Agent. |
** | Fund investors and selling and/or servicing agents must inform the Fund or the Transfer Agent in writing that the Fund investor qualifies for the particular sales charge waiver and provide proof thereof. |
■ | Any persons employed as of April 30, 2010 by the Previous Adviser, Previous Distributor or Previous Transfer Agent and immediate family members of any of the foregoing who share the same address and any employee of the Investment Manager, Distributor or Transfer Agent and immediate family members of any of the foregoing who share the same address and are eligible to make new and subsequent purchases in Class Z shares through an individual retirement account. If you maintain your account with a financial intermediary, you must contact that financial intermediary each time you seek to purchase shares to notify them that you qualify for Class Z shares. |
■ | Any client of Bank of America or one of its subsidiaries buying shares through an asset management company, trust, fiduciary, retirement plan administration or similar arrangement with Bank of America or the subsidiary. |
■ | Any employee (or family member of an employee) of Bank of America or one of its subsidiaries. |
■ | Any investor buying shares through a Columbia Management state tuition plan organized under Section 529 of the Internal Revenue Code. |
■ | Any trustee or director (or family member of a trustee or director) of a fund distributed by the Distributor. |
■ | Any persons employed as of April 30, 2010 by the Previous Adviser, Previous Distributor or Previous Transfer Agent and immediate family members of any of the foregoing who share the same address and any employee of the Investment Manager, Distributor or Transfer Agent and immediate family members of any of the foregoing who share the same address and are eligible to make new and subsequent purchases in Class Z shares through a non-retirement account. If you maintain your account with a financial intermediary, you must contact that financial intermediary each time you seek to purchase shares to notify them that you qualify for Class Z shares. |
Statement of Additional Information – January 1, 2016 | S-5 |
■ | Class B shares are converted on or about the 15th day of the month that they become eligible for conversion. For purposes of determining the month when your Class B shares are eligible for conversion, the start of the holding period is the first day of the month in which your purchase was made. |
■ | Any shares you received from reinvested distributions on these shares generally will convert to Class A shares at the same time. |
■ | You’ll receive the same dollar value of Class A shares as the Class B shares that were converted. Class B shares that you received from an exchange of Class B shares of another fund will convert based on the day you bought the original shares. |
■ | No sales charge or other charges apply, and conversions are free from U.S. federal income tax. |
Statement of Additional Information – January 1, 2016 | S-6 |
Statement of Additional Information – January 1, 2016 | S-7 |
PART C. OTHER INFORMATION
Item 28. | Exhibits |
(a)(1) |
Agreement and Declaration of Trust effective January 27, 2006, is incorporated by reference to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)), filed on February 8, 2006. | |
(a)(2) |
Amendment No. 1 to the Agreement and Declaration of Trust, dated September 11, 2007, is incorporated by reference to Post-Effective Amendment No. 5 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(2)), filed on October 2, 2007. | |
(a)(3) |
Amendment No. 2 to the Agreement and Declaration of Trust, dated January 8, 2009, is incorporated by reference to Post-Effective Amendment No. 8 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(3)), filed on January 27, 2009. | |
(a)(4) |
Amendment No. 3 to the Agreement and Declaration of Trust, dated August 9, 2010, is incorporated by reference to Post-Effective Amendment No. 19 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(4)), filed on March 4, 2011. | |
(a)(5) |
Amendment No. 4 to the Agreement and Declaration of Trust, dated January 13, 2011, is incorporated by reference to Post-Effective Amendment No. 19 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(5)), filed on March 4, 2011. | |
(a)(6) |
Amendment No. 5 to the Agreement and Declaration of Trust, dated April 14, 2011, is incorporated by reference to Post-Effective Amendment No. 33 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(6)), filed on July 29, 2011. | |
(a)(7) |
Amendment No. 6 to the Agreement and Declaration of Trust, dated January 12, 2012, is incorporated by reference to Post-Effective Amendment No. 52 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(7)), filed on February 24, 2012. | |
(a)(8) |
Amendment No. 7 to the Agreement and Declaration of Trust, dated December 12, 2012, is incorporated by reference to Post-Effective Amendment No. 87 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(8)), filed on May 30, 2013. | |
(a)(9) |
Amendment No. 8 to the Agreement and Declaration of Trust, dated November 20, 2013, is incorporated by reference to Post-Effective Amendment No. 99 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(9)), filed on November 27, 2013. | |
(a)(10) |
Amendment No. 9 to the Agreement and Declaration of Trust, dated April 11, 2014, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(10)), filed on April 23, 2014. | |
(a)(11) |
Amendment No. 10 to the Agreement and Declaration of Trust, dated June 17, 2014, is incorporated by reference to Post-Effective Amendment No. 112 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(11)), filed on June 27, 2014. | |
(a)(12) |
Amendment No. 11 to the Agreement and Declaration of Trust, dated September 15, 2014, is incorporated by reference to Post-Effective Amendment No. 118 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(12)), filed on September 26, 2014. | |
(a)(13) |
Amendment No. 12 to the Agreement and Declaration of Trust, dated January 28, 2015, is incorporated by reference to Post-Effective Amendment No. 125 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(13)), filed on February 27, 2015. |
(a)(14) |
Amendment No. 13 to the Agreement and Declaration of Trust, dated April 14, 2015, is incorporated by reference to Post-Effective Amendment No. 128 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (a)(14)), filed on May 28, 2015. | |
(a)(15) |
Amendment No. 14 to the Agreement and Declaration of Trust, dated December 15, 2015, is filed herewith as Exhibit (a)(15) to Post-Effective Amendment No. 139 to Registration Statement No. 333-131683 of the Registrant on Form N-1A. | |
(b) |
By-laws as amended November 17, 2015, are filed herewith as Exhibit (b) to Post-Effective Amendment No. 139 to Registration Statement No. 333-131683 of the Registrant on Form N-1A. | |
(c) |
Stock Certificate: Not Applicable. | |
(d)(1) |
Investment Management Services Agreement between Columbia Management Investment Advisers, LLC and the Registrant, dated September 22, 2010, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (d)(1)), filed on April 23, 2014. | |
(d)(2) |
Schedule A, effective July 1, 2015, to the Investment Management Services Agreement between Columbia Management Investment Advisers, LLC and the Registrant, dated September 22, 2010, is incorporated by reference to Post-Effective Amendment No. 130 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (d)(2)), filed on June 26, 2015. | |
(d)(3) |
Management Agreement between Columbia Management Investment Advisers, LLC, Columbia Funds Series Trust and the Registrant, effective July 1, 2015, is incorporated by reference to Post-Effective Amendment No. 130 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (d)(3)), filed on June 26, 2015. | |
(d)(4) |
Schedule A and Schedule B, effective January 1, 2016, to the Management Agreement between Columbia Management Investment Advisers, LLC, Columbia Funds Series Trust and the Registrant, effective July 1, 2015 are filed herewith as Exhibit (d)(4) to Post-Effective Amendment No. 139 to Registration Statement No. 333-131683 of the Registrant on Form N-1A. | |
(d)(5) |
Management Agreement between Columbia Management Investment Advisers, LLC and CCSF Offshore Fund, Ltd., a wholly-owned subsidiary of Columbia Commodity Strategy Fund, a series of the Registrant effective October 1, 2015, is incorporated by reference to Post-Effective Amendment No. 134 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (d)(6)), filed on September 28, 2015. | |
(d)(6) |
Subadvisory Agreement between Columbia Management Investment Advisers, LLC (formerly American Express Financial Corporation) and Barrow, Hanley, Mewhinney & Strauss, LLC, dated March 12, 2004, is incorporated by reference to Post-Effective Amendment No. 39 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (d)(5)), filed on May 15, 2014. | |
(d)(7) |
Subadvisory Transfer Agreement between Ameriprise Financial, Inc., RiverSource Investments, LLC, now known as Columbia Management Investment Advisers, LLC, and Barrow, Hanley, Mewhinney & Strauss, LLC, dated October 1, 2005, is incorporated by reference to Post-Effective Amendment No. 14 to Registration Statement No. 333-57852 of RiverSource Managers Series, Inc. on Form N-1A (Exhibit (d)(27)), filed on May 24, 2006. | |
(d)(8) |
Subadvisory Agreement between Columbia Management Investment Advisers, LLC and Dimensional Fund Advisors, L.P., dated September 23, 2011, last amended December 5, 2013, is incorporated by reference to Post-Effective Amendment No. 39 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (d)(9)), filed on May 15, 2014. |
(d)(9) |
Amendment No. 2, as of June 5, 2014, to the Subadvisory Agreement, dated September 23, 2011, amended December 5, 2013, between Columbia Management Investment Advisers, LLC and Dimensional Fund Advisors, L.P., is incorporated by reference to Post-Effective Amendment No. 41 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (d)(10)), filed on August 20, 2014. | |
(d)(10) |
Subadvisory Agreement between Columbia Management Investment Advisers, LLC (formerly American Express Financial Corporation) and Donald Smith & Co., Inc., dated March 12, 2004, is incorporated by reference to Post-Effective Amendment No. 39 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (d)(10)), filed on May 15, 2014. | |
(d)(11) |
Subadvisory Transfer Agreement between Ameriprise Financial, Inc., RiverSource Investments, LLC, now known as Columbia Management Investment Advisers, LLC, and Donald Smith & Co., Inc., dated October 1, 2005, is incorporated by reference to Post-Effective Amendment No. 14 to Registration Statement No. 333-57852 of RiverSource Managers Series, Inc. on Form N-1A (Exhibit (d)(25)), filed on May 24, 2006. | |
(d)(12) |
Subadvisory Agreement between RiverSource Investments, LLC, now known as Columbia Management Investment Advisers, LLC, and Metropolitan West Capital Management, LLC, dated November 13, 2008, is incorporated by reference to Post-Effective Amendment No. 21 to Registration Statement No. 333-57852 of RiverSource Managers Series, Inc. on Form N-1A (Exhibit (d)(25)), filed on July 28, 2009. | |
(d)(13) |
Subadvisory Agreement, dated June 18, 2014, between Columbia Management Investment Advisers, LLC and Segall Bryant & Hamill, LLC, is incorporated by reference to Post-Effective Amendment No. 41 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (d)(27)), filed on August 20, 2014. | |
(d)(14) |
Amended and Restated Subadvisory Agreement between Columbia Management Investment Advisers, LLC and Threadneedle International Limited, dated June 11, 2008, last amended January 16, 2013, is incorporated by reference to Post-Effective Amendment No. 39 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (d)(27)), filed on May 15, 2014. | |
(e)(1) |
Distribution Agreement between Columbia Management Investment Distributors, Inc. and the Registrant, dated September 7, 2010, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (e)(1)), filed on April 23, 2014. | |
(e)(2) |
Schedule I, as of May 1, 2015, and Schedule II, as of September 7, 2010, to the Distribution Agreement between Columbia Management Investment Distributors, Inc. and the Registrant, dated September 7, 2010, are incorporated by reference to Post-Effective Amendment No. 128 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (e)(2)), filed on May 28, 2015. | |
(e)(3) |
Form of Mutual Fund Sales Agreement is incorporated by reference to Post-Effective Amendment No. 63 to Registration Statement No. 2-72174 of RiverSource Bond Series, Inc. on Form N-1A (Exhibit (e)(2)), filed on July 9, 2010. | |
(f) |
Deferred Compensation Plan, adopted as of December 31, 2011, is incorporated by reference to Post-Effective Amendment No. 52 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (f)), filed on February 24, 2012. | |
(g)(1) |
Second Amended and Restated Master Global Custody Agreement with JPMorgan Chase Bank, N.A., dated March 7, 2011, is incorporated by reference to Post-Effective Amendment No. 39 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (g)(1)), filed on May 15, 2014. |
(g)(2) |
Addendum (related to Columbia Commodity Strategy Fund), dated July 15, 2011, Addendum (related to Columbia Flexible Capital Income Fund), dated July 15, 2011, Addendum (related to Columbia Active Portfolios Diversified Equity Income Fund, now known as Active Portfolios ® Multi-Manager Value Fund), dated March 9, 2012, and Addendum (related to Columbia Mortgage Opportunities Fund), dated March 7, 2014, to the Second Amended and Restated Master Global Custody Agreement with JPMorgan Chase Bank, N.A., dated March 7, 2011, are incorporated by reference to Post-Effective Amendment No. 109 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (g)(2)), filed on May 30, 2014. | |
(g)(3) |
Side letter (related to the China Connect Service on behalf of Columbia Global Opportunities Fund), dated December 19, 2014, to the Second Amended and Restated Master Global Custody Agreement with JPMorgan Chase Bank, N.A., dated March 7, 2011, is incorporated by reference to Post-Effective Amendment No. 125 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (g)(3)), filed on February 27, 2015. | |
(h)(1) |
Administrative Services Agreement between Columbia Management Investment Advisers, LLC, Columbia Funds Variable Series Trust II and the Registrant, dated January 1, 2011, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (h)(1)), filed on April 23, 2014. | |
(h)(2) |
Schedule A and Schedule B, effective September 1, 2015, to the Administrative Services Agreement between Columbia Management Investment Advisers, LLC, Columbia Funds Variable Series Trust II and the Registrant, dated January 1, 2011, are incorporated by reference to Post-Effective Amendment No. 48 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (h)(2)), filed on September 17, 2015. | |
(h)(3) |
Transfer and Dividend Disbursing Agent Agreement between Columbia Management Investment Services Corp. and the Registrant, dated September 7, 2010, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (h)(3)), filed on April 23, 2014. | |
(h)(4) |
Schedule A and Schedule B, effective October 1, 2015, to the Transfer and Dividend Disbursing Agent Agreement, dated September 7, 2010, between Columbia Management Investment Services Corp. and the Registrant, are incorporated by reference to Post-Effective Amendment No. 136 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (h)(4)), filed on November 24, 2015. | |
(h)(5) |
Plan Administration Services Agreement between Columbia Management Investment Services Corp. and the Registrant, dated December 1, 2006, amended and restated September 13, 2012, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (h)(5)), filed on April 23, 2014. | |
(h)(6) |
Exhibit A, as of May 1, 2015, to the Plan Administration Services Agreement between Columbia Management Investment Services Corp. and the Registrant, dated December 1, 2006, amended and restated September 13, 2012, is incorporated by reference to Post-Effective Amendment No. 128 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (h)(7)), filed on May 28, 2015. | |
(h)(7) |
Fee Waiver and Expense Cap Agreement by and among Columbia Management Investment Advisers, LLC, Columbia Management Investment Distributors, Inc. and Columbia Management Investment Services Corp. and the Registrant, dated April 12, 2012, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (h)(7)), filed on April 23, 2014. | |
(h)(8) |
Schedule A, as of May 1, 2015, to the Fee Waiver and Expense Cap Agreement by and among Columbia Management Investment Advisers, LLC, Columbia Management Investment Distributors, Inc. and Columbia Management Investment Services Corp. and the Registrant, dated |
April 12, 2012, is incorporated by reference to Post-Effective Amendment No. 46 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (h)(7)), filed on May 15, 2015. | ||
(h)(9) |
Agreement and Plan of Reorganization, dated December 20, 2010, is incorporated by reference to Post-Effective Amendment No. 15 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (h)(9)), filed on April 29, 2011. | |
(h)(10) |
Agreement and Plan of Reorganization, dated October 9, 2012, is incorporated by reference to Post-Effective Amendment No. 87 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (h)(6)), filed on May 30, 2013. | |
(h)(11) |
Agreement and Plan of Redomiciling, dated December 20, 2010, is incorporated by reference to Post-Effective Amendment No. 15 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (h)(10)), filed on April 29, 2011. | |
(h)(12) |
Amended and Restated Credit Agreement as of December 9, 2014, is incorporated by reference to Post-Effective Amendment No. 225 to Registration Statement No. 2-99356 of Columbia Funds Series Trust I on Form N-1A (Exhibit (h)(14)), filed on April 16, 2015. | |
(i)(1) |
Opinion and consent of counsel as to the legality of the securities being registered is incorporated by reference to Post-Effective Amendment No. 92 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (i)), filed on August 28, 2013. | |
(i)(2) |
Opinion and consent of counsel as to the legality of the securities being registered for Columbia Mortgage Opportunities Fund is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (i)), filed on April 23, 2014. | |
(j) |
Consent of PricewaterhouseCoopers LLP is filed electronically herewith. | |
(k) |
Omitted Financial Statements: Not Applicable. | |
(l) |
Initial Capital Agreement: Not Applicable. | |
(m)(1) |
Plan of Distribution and Amended and Restated Agreement of Distribution between Columbia Management Investment Distributors, Inc. and the Registrant, dated November 7, 2008, amended and restated September 27, 2010, is incorporated by reference to Post-Effective Amendment No. 107 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (m)(1)), filed on April 23, 2014. | |
(m)(2) |
Schedule A, dated May 1, 2015, to the Plan of Distribution and Amended and Restated Agreement of Distribution between Columbia Management Investment Distributors, Inc. and the Registrant, dated November 7, 2008, amended and restated September 27, 2010, is incorporated by reference to Post-Effective Amendment No. 128 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (m)(2)), filed on May 28, 2015. | |
(m)(3) |
Shareholder Services Plan (Class T Shares) is incorporated by reference to Post-Effective Amendment No. 130 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (m)(3)), filed on June 26, 2015. | |
(m)(4) |
Shareholder Servicing Plan Implementation Agreement (Class T Shares) is incorporated by reference to Post-Effective Amendment No. 130 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (m)(4)), filed on June 26, 2015. | |
(m)(5) |
Schedule I, effective December 1, 2014, to Shareholder Servicing Plan Implementation Agreement (Class T Shares) is incorporated by reference to Post-Effective Amendment No. 120 to |
Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (m)(5)), filed on November 25, 2014. | ||
(n) |
Rule 18f 3 Multi-Class Plan, amended and restated as of May 1, 2015, is incorporated by reference to Post-Effective Amendment No. 128 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (n)), filed on May 28, 2015. | |
(o) |
Reserved. | |
(p)(1) |
Columbia Funds Family Code of Ethics, effective April 14, 2014, is incorporated by reference to Post-Effective Amendment No. 39 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (p)(1)), filed on May 15, 2014. | |
(p)(2) |
Columbia Management Investment Advisers, LLC, Columbia Management Investment Distributors, Inc. and Threadneedle International Ltd Code of Ethics, effective on December 8, 2014, is incorporated by reference to Post-Effective Amendment No. 120 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (p)(2)), filed on November 25, 2014. | |
(p)(3) |
Barrow, Hanley, Mewhinney & Strauss, LLC Code of Ethics, dated December 31, 2014, is incorporated by reference to Post-Effective Amendment No. 46 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (p)(4)), filed on May 15, 2015. | |
(p)(4) |
Dimensional Fund Advisors, L.P. Code of Ethics, effective date January 1, 2015, is incorporated by reference to Post-Effective Amendment No. 46 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (p)(8)), filed on May 15, 2015. | |
(p)(5) |
Donald Smith & Co., Inc. Code of Ethics, adopted January 1, 2005, last revised November 2013, is incorporated by reference to Post-Effective Amendment No. 39 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (p)(9)), filed on May 15, 2014. | |
(p)(6) |
Metropolitan West Capital Management, LLC Code of Ethics, dated December 8, 2014, is incorporated by reference to Post-Effective Amendment No. 128 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (p)(7)), filed on May 28, 2015. | |
(p)(7) |
Segall Bryant & Hamill, LLC Code of Ethics, dated July 2013, is incorporated by reference to Post-Effective Amendment No. 41 to Registration Statement No. 333-146374 of Columbia Funds Variable Series Trust II on Form N-1A (Exhibit (p)(24)), filed on August 20, 2014. | |
(q)(1) |
Trustees Power of Attorney, dated January 28, 2015, is incorporated by reference to Post-Effective Amendment No. 125 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (q)(1)), filed on February 27, 2015. | |
(q)(2) |
Power of Attorney for Michael G. Clarke, dated February 16, 2015, is incorporated by reference to Post-Effective Amendment No. 125 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (q)(3)), filed on February 27, 2015. | |
(q)(3) |
Power of Attorney for Christopher O. Petersen, dated February 16, 2015, is incorporated by reference to Post-Effective Amendment No. 125 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (q)(4)), filed on February 27, 2015. |
Item 29. | Persons Controlled by or Under Common Control with the Registrant |
Columbia Management Investment Advisers, LLC (the investment manager or Columbia Management), as sponsor of the Columbia funds, may make initial capital investments in Columbia funds (seed accounts). Columbia Management also serves as investment manager of certain Columbia funds-of-funds that invest
primarily in shares of affiliated funds (the underlying funds). Columbia Management does not make initial capital investments or invest in underlying funds for the purpose of exercising control. However, since these ownership interests may be significant, in excess of 25%, such that Columbia Management may be deemed to control certain Columbia funds, procedures have been put in place to assure that public shareholders determine the outcome of all actions taken at shareholder meetings. Specifically, Columbia Management (which vote proxies for the seed accounts) and the Boards of Trustees of the affiliated funds-of-funds (which votes proxies for the affiliated funds-of-funds) vote on each proposal in the same proportion as the vote of the direct public shareholders vote; provided, however, that if there are no direct public shareholders of an underlying fund or if direct public shareholders represent only a minority interest in an underlying fund, the Fund may cast votes in accordance with instructions from the independent members of the Board.
Item 30. | Indemnification |
Article VII of the Registrants Agreement and Declaration of Trust, as amended, provides that no trustee or officer of the Registrant shall be subject to any liability to any person in connection with Registrant property or the affairs of the Registrant, and no trustee shall be responsible or liable in any event for any neglect or wrongdoing of any officer, agent, employee, investment adviser or principal underwriter of the Registrant or for the act or omission of any other trustee, all as more fully set forth in the Agreement and Declaration of Trust, which is filed as an exhibit to this registration statement. Article X of the Registrants Bylaws provides that each person made or threatened to be made a party to or is involved in any actual or threatened proceeding by reason of the former or present capacity as a trustee or officer of the Registrant or who, while a trustee or officer, is or was serving at the request of the Registrant or whose duties as a trustee or officer involve or involved service as a director, officer, partner, trustee or agent of another organization or employee benefit plan whether the basis of any proceeding is alleged action in an official capacity or in any capacity while serving as a director, officer, partner, trustee or agent, shall be indemnified by the Registrant, under specified circumstances, all as more fully set forth in the Bylaws, which are filed as an exhibit to the registration statement.
Section 17(h) of the Investment Company Act of 1940 (1940 Act) provides that no instrument pursuant to which Registrant is organized or administered shall contain any provision which protects or purports to protect any trustee or officer of Registrant against any liability to Registrant or its shareholders to which he or she would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his or her office.
The Registrants Declaration of Trust provides that nothing in the Declaration of Trust shall protect any trustee or officer against any liabilities to the Registrant or its shareholders to which he or she would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his or her office or position with or on behalf of the Registrant and the Registrants Bylaws provides that no indemnification will be made in violation of the provisions of the 1940 Act.
Pursuant to the Distribution Agreement, Columbia Management Investment Distributors, Inc. agrees to indemnify the Registrant, its officers and trustees against claims, demands, liabilities and expenses under specified circumstances, all as more fully set forth in the Registrants Distribution Agreement, which has been filed as an exhibit to the registration statement.
The Registrant may be party to other contracts that include indemnification provisions for the benefit of the Registrants trustees and officers.
The trustees and officers of the Registrant and the personnel of the Registrants investment adviser and principal underwriter are insured under an errors and omissions liability insurance policy. Registrants investment adviser, Columbia Management Investment Advisers, LLC, maintains investment advisory professional liability insurance to insure it, for the benefit of Registrant and its non-interested trustees, against loss arising out of any effort, omission, or breach of any duty owed to Registrant or any series of Registrant by Columbia Management Investment Advisers, LLC.
Insofar as indemnification for liabilities arising under the Securities Act of 1933 (the 1933 Act) may be permitted to trustees, officers and controlling persons of the Registrant by the Registrant pursuant to the Registrants organizational instruments or otherwise, the Registrant is aware that in the opinion of the Securities and Exchange Commission (SEC), such indemnification is against public policy as expressed in the 1933 Act and, therefore, is unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a trustee, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such trustee, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the 1933 Act and will be governed by the final adjudication of such issue.
Item 31. | Business and Other Connections of the Investment Adviser |
To the knowledge of the Registrant, none of the directors or officers of Columbia Management Investment Advisers, LLC (Columbia Management), the Registrants investment adviser, or any subadviser to a series of the Registrant, except as set forth below, are or have been, at any time during the Registrants past two fiscal years, engaged in any other business, profession, vocation or employment of a substantial nature.
(a) | Columbia Management, a wholly owned subsidiary of Ameriprise Financial, Inc., performs investment advisory services for the Registrant and certain other clients. Information regarding the business of Columbia Management and the directors and principal officers of Columbia Management is also included in the Form ADV filed by Columbia Management with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-25943), which is incorporated herein by reference. In addition to their position with Columbia Management, certain directors and officers of Columbia Management also hold various positions with, and engage in business for, Ameriprise Financial, Inc. or its other subsidiaries. |
(b) | Barrow, Hanley, Mewhinney & Strauss, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Barrow, Hanley, Mewhinney & Strauss, LLC is set forth in the Prospectuses and Statement of Additional Information of the Registrants series that are subadvised by Barrow, Hanley, Mewhinney & Strauss, LLC and is incorporated herein by reference. Information about the business of Barrow, Hanley, Mewhinney & Strauss, LLC and the directors and principal executive officers of Barrow, Hanley, Mewhinney & Strauss, LLC is also included in the Form ADV filed by Barrow, Hanley, Mewhinney & Strauss, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-31237), which is incorporated herein by reference. |
(c) | Dimensional Fund Advisors, L.P. performs investment management services for the Registrant and certain other clients. Information regarding the business of Dimensional Fund Advisors, L.P. is set forth in the Prospectuses and Statement of Additional Information of the Registrants series that are subadvised by Dimensional Fund Advisors, L.P. and is incorporated herein by reference. Information about the business of Dimensional Fund Advisors, L.P. and the directors and principal executive officers of Dimensional Fund Advisors, L.P. is also included in the Form ADV filed by Dimensional Fund Advisors, L.P. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-16283), which is incorporated herein by reference. |
(d) | Donald Smith & Co., Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Donald Smith & Co., Inc. is set forth in the Prospectuses and Statement of Additional Information of the Registrants series that are subadvised by Donald Smith & Co., Inc. and is incorporated herein by reference. Information about the business of Donald Smith & Co., Inc. and the directors and principal executive officers of Donald Smith & Co., Inc. is also included in the Form ADV filed by Donald Smith & Co., Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-10798), which is incorporated herein by reference. |
(e) |
Metropolitan West Capital Management, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Metropolitan West Capital Management, LLC is set forth in the Prospectuses and Statement of Additional Information of the |
Registrants series that are subadvised by Metropolitan West Capital Management, LLC and is incorporated herein by reference. Information about the business of Metropolitan West Capital Management, LLC and the directors and principal executive officers of Metropolitan West Capital Management, LLC is also included in the Form ADV filed by Metropolitan West Capital Management, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-57001), which is incorporated herein by reference. |
(f) | Segall Bryant & Hamill, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Segall Bryan & Hamill, LLC is set forth in the Prospectuses and Statement of Additional Information of the Registrants series that are subadvised by Segall Bryant & Hamill, LLC and is incorporated herein by reference. Information about the business of Segall Bryant & Hamill, LLC and the directors and principal executive officers of Segall Bryant & Hamill, LLC is also included in the Form ADV filed by Segall Bryant & Hamill, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-47232), which is incorporated herein by reference. |
(g) | Threadneedle International Limited performs investment management services for the Registrant and certain other clients. Information regarding the business of Threadneedle International Limited is set forth in the Prospectuses and Statement of Additional Information of the Registrants series that are subadvised by Threadneedle International Limited and is incorporated herein by reference. Information about the business of Threadneedle International Limited and the directors and principal executive officers of Threadneedle International Limited is also included in the Form ADV filed by Threadneedle International Limited with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-63196), which is incorporated herein by reference. |
Item 32. | Principal Underwriter |
(a) | Columbia Management Investment Distributors, Inc. acts as principal underwriter for the following investment companies, including the Registrant: |
Columbia Acorn Trust; Columbia Funds Series Trust; Columbia Funds Series Trust I; Columbia Funds Series Trust II; Columbia Funds Variable Series Trust II; Columbia Funds Variable Insurance Trust; Columbia Funds Variable Insurance Trust I and Wanger Advisors Trust.
(b) | As to each director, principal officer or partner of Columbia Management Investment Distributors, Inc. |
Name and Principal Business Address* |
Position and Offices with Principal Underwriter |
Positions and Offices with Registrant |
||
William F. Truscott | Chief Executive Officer | Board Member, Senior Vice President | ||
Joseph Kringdon | President and Head of Intermediary Distribution | None | ||
Amy Unckless | Managing Director, Head of Private Wealth Management and Investment Only | None | ||
Jeffrey F. Peters | Managing Director and Head of Global Institutional Distribution | None | ||
Dave K. Stewart | Chief Financial Officer | None | ||
Scott R. Plummer | Senior Vice President, Head of Global Asset Management Legal and Assistant Secretary | None | ||
Michael E. DeFao | Vice President, Chief Legal Officer and Assistant Secretary | Vice President and Assistant Secretary | ||
Stephen O. Buff | Vice President, Chief Compliance | None |
Officer | ||||
Paulo Botelho | Vice President Investor and Intermediary Services | None | ||
Joe Feloney | Vice President National Sales Manager U.S. Trust/Private Wealth Management | None | ||
Thomas A. Jones | Vice President and Head of Strategic Relations | None | ||
Gary Rawdon | Vice President Sales Governance and Administration | None | ||
Leslie A. Walstrom | Vice President and U.S. Head of Marketing | None | ||
Thomas R. Moore | Secretary | None | ||
Paul B. Goucher | Vice President and Assistant Secretary | Senior Vice President, Chief Legal Officer and Assistant Secretary | ||
Tara W. Tilbury | Vice President and Assistant Secretary | Assistant Secretary | ||
Nancy W. LeDonne | Vice President and Assistant Secretary | None | ||
Ryan C. Larrenaga | Vice President and Assistant Secretary | Vice President and Secretary | ||
Joseph L. DAlessandro | Vice President and Assistant Secretary | Assistant Secretary | ||
Christopher O. Petersen | Vice President and Assistant Secretary | President and Principal Executive Officer | ||
Eric T. Brandt | Vice President and Assistant Secretary | None | ||
James L. Hamalainen | Treasurer | None | ||
Michael Tempesta | Anti-Money Laundering Officer and Identity Theft Prevention Officer | None | ||
Kevin Wasp | Ombudsman | None | ||
Kristin Weisser | Conflicts Officer | None |
* | The principal business address of Columbia Management Investment Distributors, Inc. is 225 Franklin Street, Boston MA 02110. |
(c) | Not Applicable. |
Item 33. | Location of Accounts and Records |
Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder include:
| Registrant, 225 Franklin Street, Boston, MA, 02110; |
| Board Services Corporation, 901 Marquette Ave. S., Minneapolis, MN, 55402; |
| Registrants investment adviser and administrator, Columbia Management Investment Advisers, LLC, 225 Franklin Street, Boston, MA 02110; |
| Registrants subadviser, Barrow, Hanley, Mewhinney & Strauss, LLC, 2200 Ross Avenue, 31 st Floor, Dallas, TX 75201; |
| Registrants subadviser, Dimensional Fund Advisors, L.P., 6300 Bee Cave Road, Building One, Austin, TX 78746; |
| Registrants subadviser, Donald Smith & Co., Inc., 152 West 57 th Street, 22 nd Floor, New York, NY 10019; |
| Registrants subadviser, Metropolitan West Capital Management, LLC, 610 Newport Center Drive, Suite 1000, Newport Beach, CA 92660; |
| Registrants subadviser, Segall Bryant & Hamill, LLC, 540 West Madison Street, Suite 1900, Chicago, IL 60661; |
| Registrants subadviser, Threadneedle International Limited, Cannon Place, 78 Cannon Street, London EC4N 6AG, United Kingdom; |
| Former subadviser, Marsico Capital Management, LLC, 1200 17 th Street, Suite 1600, Denver, CO 80202; |
| Former subadviser, Turner Investments, L.P., 1205 Westlakes Drive, Suite 100, Berwyn, PA 19312; |
| Registrants principal underwriter, Columbia Management Investment Distributors, Inc., 225 Franklin Street, Boston, MA 02110; |
| Registrants transfer agent, Columbia Management Investment Services Corp., 225 Franklin Street, Boston, MA 02110; and |
| Registrants custodian, JPMorgan Chase Bank, N.A., 1 Chase Manhattan Plaza, New York, NY 10005. |
In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. The address for Iron Mountain Records Management is 920 & 950 Apollo Road, Eagan, MN 55121.
Item 34. | Management Services |
Not Applicable.
Item 35. | Undertakings |
Not Applicable.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant, COLUMBIA FUNDS SERIES TRUST II, has duly caused this Amendment to its Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of Boston, and The Commonwealth of Massachusetts on the 21 st day of December, 2015.
COLUMBIA FUNDS SERIES TRUST II | ||
By: |
/s/ Christopher O. Petersen |
|
Christopher O. Petersen | ||
President |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities indicated on the 21 st day of December, 2015.
Signature | Capacity | Signature | Capacity | |||
/s/ Christopher O. Petersen Christopher O. Petersen |
President (Principal Executive Officer) |
/s/ R. Glenn Hilliard* R. Glenn Hilliard |
Trustee | |||
/s/ Michael G. Clarke* Michael G. Clarke |
Chief Financial Officer (Principal Financial Officer) Chief Accounting Officer (Principal Accounting Officer) |
/s/ Catherine James Paglia* Catherine James Paglia |
Trustee | |||
/s/ William A. Hawkins* William A. Hawkins |
Chair of the Board |
/s/ Leroy C. Richie* Leroy C. Richie |
Trustee | |||
/s/ Kathleen A. Blatz* Kathleen A. Blatz |
Trustee |
/s/ Anthony M. Santomero* Anthony M. Santomero |
Trustee | |||
/s/ Edward J. Boudreau, Jr.* Edward J. Boudreau, Jr. |
Trustee |
/s/ Minor M. Shaw* Minor M. Shaw |
Trustee | |||
/s/ Pamela G. Carlton* Pamela G. Carlton |
Trustee |
/s/ Alison Taunton-Rigby* Alison Taunton-Rigby |
Trustee | |||
/s/ William P. Carmichael* William P. Carmichael |
Trustee |
/s/ William F. Truscott* William F. Truscott |
Trustee | |||
/s/ Patricia M. Flynn* Patricia M. Flynn |
Trustee |
* By: |
/s/ Joseph L. D Alessandro |
|
Name: | Joseph L. D Alessandro** | |
Attorney-in-fact |
** | Executed by Joseph L. D Alessandro on behalf of Michael G. Clarke pursuant to a Power of Attorney, dated February 16, 2015 and incorporated by reference to Post-Effective Amendment No. 125 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (q)(3)), and on behalf of each of the Trustees pursuant to a Trustees Power of Attorney, dated January 28, 2015 and incorporated by reference to Post-Effective Amendment No. 125 to Registration Statement No. 333-131683 of the Registrant on Form N-1A (Exhibit (q)(1)), filed with the Commission on February 27, 2015. |
Exhibit Index
(a)(15) |
Amendment No. 14 to the Agreement and Declaration of Trust, dated December 15, 2015. | |
(b) |
By-laws as amended November 17, 2015. | |
(d)(4) |
Schedule A and Schedule B, effective January 1, 2016, to the Management Agreement between Columbia Management Investment Advisers, LLC, Columbia Funds Series Trust and the Registrant, effective July 1, 2015. | |
(j) |
Consent of PricewaterhouseCoopers LLP. |
Exhibit (A)(15)
COLUMBIA FUNDS SERIES TRUST II
AMENDMENT NO. 14 TO THE
AGREEMENT AND DECLARATION OF TRUST
WHEREAS, Section 5 of Article III of the Agreement and Declaration of Trust (the Declaration of Trust) of Columbia Funds Series Trust II (the Trust), dated January 20, 2006, as amended from time to time, a copy of which is on file in the Office of the Secretary of The Commonwealth of Massachusetts, authorizes the Trustees of the Trust to amend the Declaration of Trust to create one or more Series or classes of Shares without authorization by vote of the Shareholders of the Trust.
WHEREAS, Section 6 of Article III of the Declaration of Trust authorizes the Trustees of the Trust to abolish and rescind the establishment and designation of Series or Class, either by amending the Declaration of Trust or by vote or written consent of a majority of the then Trustees.
NOW, THEREFORE, The undersigned, being at least a majority of the Trustees of Columbia Funds Series Trust II, do hereby certify that we have authorized the renaming of Columbia Large Core Quantitative Fund to Columbia Disciplined Core Fund, Columbia Large Growth Quantitative Fund to Columbia Disciplined Growth Fund, Columbia Large Value Quantitative Fund to Columbia Disciplined Value Fund and Columbia Marsico Flexible Capital Fund to Columbia Large Cap Growth Fund IV and have authorized the following amendment to said Declaration of Trust:
Section 6 of Article III is hereby amended to read as follows:
Section 6. Establishment and Designation of Series and Classes. Without limiting the authority of the Trustees as set forth in Section 5 and Section 6, inter alia, to establish and designate any further Series or classes or to modify the rights and preferences of any Series or class, the following Series shall be, and are hereby, established and designated:
Active Portfolios Multi-Manager Value Fund
Columbia Absolute Return Currency and Income Fund
Columbia AMT-Free Tax-Exempt Bond Fund
Columbia Asia Pacific ex-Japan Fund
Columbia Capital Allocation Aggressive Portfolio
Columbia Capital Allocation Conservative Portfolio
Columbia Capital Allocation Moderate Portfolio
Columbia Commodity Strategy Fund
Columbia Disciplined Core Fund
Columbia Disciplined Growth Fund
Columbia Disciplined Value Fund
Columbia Diversified Equity Income Fund
Columbia Dividend Opportunity Fund
Columbia Emerging Markets Bond Fund
Columbia European Equity Fund
Columbia Flexible Capital Income Fund
Columbia Floating Rate Fund
Columbia Global Bond Fund
Columbia Global Equity Value Fund
Columbia Global Infrastructure Fund
Columbia Global Opportunities Fund
Columbia High Yield Bond Fund
Columbia Income Builder Fund
Columbia Income Opportunities Fund
Columbia Inflation Protected Securities Fund
Columbia Large Cap Growth Fund IV
Columbia Limited Duration Credit Fund
Columbia Minnesota Tax-Exempt Fund
Columbia Money Market Fund
Columbia Mortgage Opportunities Fund
Columbia Multi-Advisor Small Cap Value Fund
Columbia Select Global Equity Fund
Columbia Select Large-Cap Value Fund
Columbia Select Smaller-Cap Value Fund
Columbia Seligman Communications and Information Fund
Columbia Seligman Global Technology Fund
Columbia Short-Term Cash Fund
Columbia Small/Mid Cap Value Fund
Columbia U.S. Government Mortgage Fund
Shares of each Series established in this Section 6 shall have the following rights and preferences relative to Shares of each other Series, and Shares of each class of a Multi-Class Series shall have such rights and preferences relative to other classes of the same Series as are set forth in the Declaration of Trust, together with such other rights and preferences relative to such other classes as are set forth in the Trusts Rule 18f-3 Plan, registration statement as from time to time amended, and any applicable resolutions of the Trustees establishing and designating such class of Shares.
The rest of this Section 6 remains unchanged.
The foregoing amendment is effective as of December 15, 2015.
IN WITNESS WHEREOF, the undersigned has signed this Amendment No. 14 to the Agreement and Declaration of Trust on December 15, 2015.
/s/ Kathleen A. Blatz Kathleen A. Blatz |
/s/ Catherine James Paglia Catherine James Paglia |
|||
/s/ Edward J. Boudreau, Jr. Edward J. Boudreau, Jr. |
/s/ Leroy C. Richie Leroy C. Richie |
|||
/s/ Pamela G. Carlton Pamela G. Carlton |
/s/ Anthony M. Santomero Anthony M. Santomero |
|||
/s/ William P. Carmichael William P. Carmichael |
/s/ Minor M. Shaw Minor M. Shaw |
|||
/s/ Patricia M. Flynn Patricia M. Flynn |
/s/ Alison Taunton-Rigby Alison Taunton-Rigby |
|||
/s/ William A. Hawkins William A. Hawkins |
/s/ William F. Truscott William F. Truscott |
|||
/s/ R. Glenn Hilliard R. Glenn Hilliard |
Registered Agent: Corporation Service Company
84 State Street
Boston, MA 02109
Exhibit (B)
Effective: | January 27, 2006 | |
Amended: | April 13, 2006; March 7, 2011 (Trust Name Change); November 17, 2015 |
BYLAWS
OF
COLUMBIA FUNDS SERIES TRUST II
These ARTICLES are the BYLAWS of Columbia Funds Series Trust II, a trust with transferable shares established under the laws of The Commonwealth of Massachusetts (the Trust ), pursuant to an Agreement and Declaration of Trust of the Trust (the Declaration ) made the 27th day of January, 2006 and amended April 13, 2006, and filed in the office of the Secretary of the Commonwealth. These Bylaws have been adopted by the Trustees pursuant to the authority granted by Section 3.1 of the Declaration.
All words and terms capitalized in these Bylaws, unless otherwise defined herein, shall have the same meanings as they have in the Declaration.
ARTICLE I
SHAREHOLDERS AND SHAREHOLDERS MEETINGS
SECTION 1.1 Meetings. A meeting of the Shareholders of the Trust shall be held whenever called by the Trustees and whenever election of a Trustee or Trustees by Shareholders is required by the provisions of the 1940 Act. If a meeting of Shareholders has not been held during the immediately preceding fifteen (15) months for the purpose of electing Trustees, a Shareholder or Shareholders holding three percent (3%) or more of the voting power of all Shares entitled to vote may demand a meeting of Shareholders for the purpose of electing Trustees by written notice of demand given to the Trustees. Within thirty (30) days after receipt of such demand, the Trustees shall call and give notice of a meeting of Shareholders for the purpose of electing Trustees. If the Trustees shall fail to call such meeting or give notice thereof, then the Shareholder or Shareholders making the demand may call and give notice of such meeting at the expense of the Trust. The Trustees shall promptly call and give notice of a meeting of Shareholders for the purpose of voting upon removal of any Trustee of the Trust when requested to do so in writing by Shareholders holding not less than ten percent (10%) of the Shares then outstanding. If the Trustees shall fail to call or give notice of any meeting of Shareholders for a period of thirty (30) days after written application by Shareholders holding at least ten percent (10%) of the Shares then outstanding requesting that a meeting be called for any purpose requiring action by the Shareholders as provided in the Declaration or in these Bylaws, then Shareholders holding at least ten percent (10%) of the Shares then outstanding may call and give notice of such meeting. Notice of Shareholders meetings shall be given as provided in the Declaration.
SECTION 1.2 Presiding Officer: Secretary. The Chair of the Board shall preside at each Shareholders meeting or in the absence of the Chair of the Board, the Trustees present at the meeting shall elect one of their number as chairman of the meeting. The Trustees shall appoint a secretary to serve as the secretary for the meeting and to record the minutes thereof.
SECTION 1.3. Authority of Chairman of Meeting to Interpret Declaration and Bylaws. At any Shareholders meeting the chairman of the meeting shall be empowered to determine the construction or interpretation of the Declaration or these Bylaws, or any part thereof or
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hereof, and his rulings shall be final.
SECTION 1.4 Voting. Shareholders may vote by proxy and the form of any such proxy may be prescribed from time to time by the Trustees. At all meetings of the Shareholders, votes shall be taken by ballot for all matters which may be binding upon the Trustees pursuant to Section 7.1 of the Declaration. On other matters, votes of Shareholders need not be taken by ballot unless otherwise provided for by the Declaration or by vote of the Trustees, or as required by the Act or the Regulations, but the chairman of the meeting may in his discretion authorize any matter to be voted upon by ballot.
SECTION 1.5. Inspectors . At any meeting of Shareholders, the Trustees before or at the meeting may appoint one or more Inspectors of Election or Balloting to supervise the voting at such meeting or any adjournment thereof. If inspectors are not so appointed, the chairman of the meeting may, and on the request of any Shareholder present or represented and entitled to vote shall, appoint one or more Inspectors for such purpose. Each Inspector, before entering upon the discharge of his duties, shall take and sign an oath faithfully to execute the duties of Inspector of Election or Balloting, as the case may be, at such meeting with strict impartiality and according to the best of his ability. If appointed, Inspectors shall take charge of the polls and, when the vote is completed, shall make a certificate of the result of the vote taken and of such other facts as may be required by law.
SECTION 1.6. Shareholders Action in Writing. Nothing in this Article I shall limit the power of the Shareholders to take any action by means of written instruments without a meeting, as permitted by Section 7.6 of the Declaration.
ARTICLE II
TRUSTEES AND TRUSTEES MEETINGS
SECTION 2.1. Number of Trustees. There shall initially be one (1) Trustee, and the number of Trustees shall thereafter be such number, authorized by the Declaration as from time to time shall be fixed by a vote adopted by a Majority of the Trustees.
SECTION 2.2. Meetings of Trustees. An organizational meeting shall be held as soon as convenient to a Majority of the Trustees after the final adjournment of each meeting of Shareholders at which Trustees are elected, and no notice shall be required. Other regular and special meetings of the Trustees may be held at any time and at any place when called by the Chair of the Board or by any two (2) Trustees; provided , that notice of the time, place and purposes thereof is given to each Trustee in accordance with Section 2.3 hereof.
SECTION 2.3. Notice of Meetings. Notice of any regular or special meeting of the Trustees shall be sufficient if sent by mail at least five (5) days, or if given by telephone, telegraph, or in person at least one (1) day before the meeting. Notice of a meeting may be waived by any Trustee by written waiver of notice, executed by him before or after the meeting, and such waiver shall be filed with the records of the meeting. Attendance by a Trustee at a meeting shall constitute a waiver of notice, except where a Trustee attends a meeting for the purpose of protesting prior thereto or at its commencement the lack of notice.
SECTION 2.4. Chair of the Board . The Board of Trustees shall elect one independent member to serve as Chair of the Board whose duties shall include serving as the lead independent Trustee and who shall preside at each meeting of the Trustees as chairman of the meeting.
SECTION 2.5. Quorum. At any meeting of the Trustees, a Majority of the Trustees shall constitute a quorum. Any meeting may be adjourned from time to time by a majority of the votes cast upon the question, whether or not a quorum is present, and the meeting may be
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held as adjourned without further notice.
SECTION 2.6. Participation by Telephone. One or more of the Trustees may participate in a meeting thereof or of any Committee of the Trustees by means of a conference telephone or similar communications equipment allowing all persons participating in the meeting to hear each other at the same time. Participation by such means shall constitute presence in person at a meeting.
SECTION 2.7. Location of Meetings . Trustees meetings may be held at any place, within or without Massachusetts.
SECTION 2.8. Votes. Voting at Trustees meetings may be conducted orally, by show of hands, or, if requested by any Trustee, by written ballot. The results of all voting shall be recorded by the secretary of the meeting in the minute book.
SECTION 2.9. Rulings of Chairman . All other rules of conduct adopted and used at any Trustees meeting shall be determined by the chairman of such meeting, whose ruling on all procedural matters shall be final.
SECTION 2.10. Trustees Action in Writing. Nothing in this Article II shall limit the power of the Trustees to take action by means of a written instrument without a meeting, as provided in Section 4.2 of the Declaration.
SECTION 2.11. Resignations . Any Trustee may resign at any time by written instrument signed by him and delivered to the Chair of the Board or to a meeting of the Trustees. Such resignation shall be effective upon receipt unless specified to be effective at some other time.
ARTICLE III
OFFICERS
SECTION 3.1. Officers of the Trust . The officers of the Trust shall consist of a President, a Treasurer and such other officers as the Trustees may designate. Any person may hold more than one office.
SECTION 3.2. Time and Terms of Election . The President and the Treasurer shall be elected by the Trustees at their first meeting and shall hold office until their successors shall have been duly elected and qualified, and may be removed at any meeting by the affirmative vote of a Majority of the Trustees. All other officers of the Trust may be elected or appointed at any meeting of the Trustees. Such officers shall hold office for any term, or indefinitely, ads determined by the Trustees, and shall be subject to removal, with or without cause, at any time by the Trustees.
SECTION 3.3. Resignation and Removal . Any officer may resign at any time by giving written notice to the Trustees. Such resignation shall take effect at the time specified therein, and, unless otherwise specified therein, the acceptance of such resignation shall not be necessary to make it effective. If the office of any officer or agent becomes vacant by reason of death, resignation, retirement, disqualification, removal from office or otherwise, the Trustees may choose a successor, who shall hold office for the unexpired term in respect of which such vacancy occurred. Except to the extent expressly provided in a written agreement with the Trust, no officer resigning or removed shall have any right to any compensation for any period following such resignation or removal, or any right to damage on account of such removal.
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SECTION 3.4. Fidelity Bond . The Trustees may, in their discretion, direct any officer appointed by them to furnish at the expense of the Trust a fidelity bond approved by the Trustees, in such amount as the Trustees may prescribe.
SECTION 3.5. President . The President shall have general charge of the operations of the Trust and such other powers and duties as the Trustees may prescribe.
SECTION 3.6. Treasurer . The Treasurer shall be the chief financial officer of the Trust, and shall have the custody of the Trusts funds and Securities, and shall keep full and accurate accounts of receipts and disbursements in books belonging to the Trust and shall deposit all moneys, and other valuable effects in the name and to the credit of the Trust, in such depositories as may be designated by the Trustees, taking proper vouchers for such disbursements, and shall have such other duties and powers as may be prescribed from time to time by the Trustees.
SECTION 3.7. Execution of Deeds, etc . Except as the Trustees may generally or in particular cases otherwise authorize or direct, all deeds, leases, transfers, contracts, proposals, bonds, notes, checks, drafts and other obligations made, accepted or endorsed by the Trust shall be signed or endorsed on behalf of the Trust by the President, the Treasurer or such officers as the Trustees may designate.
SECTION 3.8. Power to Vote Securities . Unless otherwise ordered by the Trustees, the Treasurer shall have full power and authority on behalf of the Trust to give proxies for, and/or to attend and to act and to vote at, any meeting of stockholders of any corporation in which the Trust may hold stock, and at any such meeting the Treasurer or his proxy shall possess and may exercise any and all rights and powers incident to the ownership of such stock which, as the owner thereof, the Trust might have possessed and exercised if present. The Trustees, by resolution from time to time, or, in the absence thereof, the Treasurer, may confer like powers upon any other person or persons as attorneys and proxies of the Trust.
ARTICLE IV
COMMITTEES
SECTION 4.1 Power of Trustees to Designate Committees . The Trustees, by vote of a Majority of the Trustees, may elect an Executive Committee and any other Committees and may delegate thereto some or all of their powers except those which by law, by the Declaration or by these Bylaws may not be delegated; provided , that the Executive Committee shall not be empowered to elect the President or the Treasurer, to amend the Bylaws, to exercise the powers of the Trustees under this Section 4.1 or under Section 4.3 hereof, or to perform any act for which the action of a Majority of the Trustees is required by law, by the Declaration or by these Bylaws. The members of any Committee shall serve at the pleasure of the Trustees.
SECTION 4.2. Rules for Conduct of Committee Affairs: Quorum . Except as otherwise provided by the Trustees, each Committee elected or appointed pursuant to this Article IV may adopt such standing rules and regulations for the conduct of its affairs as it may deem desirable, subject to review and approval of such rules and regulations by the Trustees at the next succeeding meeting of the Trustees, but in the absence of any such action or any contrary provisions by the Trustees, the business of each Committee shall be conducted, so far as practicable, in the same manner as provided herein and in the Declaration for the Trustees. The quorum for any Committee is two (2) members regardless of the number of members serving on the Committee.
SECTION 4.3. Trustees May Alter, Abolish, etc., Committees . The Trustees may at
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any time alter or abolish any Committee, change the membership of any Committee, or revoke, rescind or modify any action of any Committee or the authority of any Committee with respect to any matter or class of matters; provided , that no such action shall impair the rights of any third parties.
SECTION 4.4. Minutes: Review by Trustees . Any Committee to which the Trustees delegate any of their powers or duties may, but need not, keep records of its meetings and shall report its actions to the Trustees.
ARTICLE V
SEAL
The seal of the Trust shall bear the word Seal, but the seal shall not be necessary to be placed on, and its absence shall not impair the validity of any document, instrument or other paper executed and delivered by or on behalf of the Trust.
ARTICLE VI
SHARES
SECTION 6.1. Issuance of Shares . The Trustees may issue Shares of any or all Series either in certificated or uncertificated form, they may issue certificates to the holders of Shares of a Series which was originally issued in uncertificated form, and if they have issued Shares of any Series in Certificated form, they may at any time discontinue the issuance of Share certificates for such Series and may, by written notice to such Shareholders of such Series require the surrender of their Share certificates to the Trust for cancellation, which surrender and cancellation shall not affect the ownership of Shares for such Series.
SECTION 6.2. Uncertificated Shares . For any Series of Shares for which the Trustees issue Shares without certificates, the Trust or the Transfer Agent may either issue receipts therefor or may keep accounts upon the books of the Trust for the record holders of such Shares, who shall in either case be deemed, for all purposes hereunder, to be the holders of such Shares as if they had received certificates therefor and shall be held to have expressly assented and agreed to the terms hereof and of the Declaration.
SECTION 6.3. Share Certificates . For any Series of Shares for which the Trustees shall issue Share certificates, each Shareholder of such Series shall be entitled to a certificate stating the number of Shares owned by him in such form as shall be prescribed from time to time by the Trustees. Such certificate shall be signed by such officers and agents as shall, from time to time, be designated by the Trustees. The signatures of such officers or agents may be facsimiles. In case any officer who has signed or whose facsimile signature has been placed on such certificate shall cease to be such officer before such certificate is issued, it may be issued by the Trust with the same effect as if he were such officer at the time of its issue.
SECTION 6.4 Lost, Stolen, etc., Certificates . If any certificate for certificated Shares shall be lost, stolen, destroyed or mutilated, the Trustees may authorize the issuance of a new certificate of the same tenor and for the same number of Shares in lieu thereof. The Trustees shall require the surrender of any mutilated certificate in respect of which a new certificate is issued, and may, in their discretion, before the issuance of a new certificate, require the owner of a lost, stolen, or destroyed certificate, or the owners legal representative, to make an affidavit or affirmation setting forth such facts as to the loss, theft or destruction as they deemnecessary, and to give the Trust a bond in such reasonable sum as the Trustees direct, in
- 5 -
order to indemnify the Trust.
SECTION 6.5 Record Transfer of Pledged Shares . A pledgee of Shares pledged as collateral security shall be entitled to a new certificate in his name as pledgee, in the case of certificated Shares, or to be registered as the holder in pledge of such Shares in the case of uncertificated Shares; provided , that the instrument of pledge substantially describes the debt or duty that is intended to be secured thereby. Any such new certificate shall express on its face that it is held as collateral security, and the name of the pledgor shall be stated thereon, and any such registration of uncertificated Shares shall be in a form which indicates that the registered holder holds such Shares in pledge. After such issue or registration, and unless and until such pledge is released, such pledgee and his successors and assigns shall alone be entitled to the rights of a Shareholder, and entitled to vote such Shares.
ARTICLE VII
CUSTODIAN
The Trust shall at all times employ a bank or trust company having a capital, surplus and undivided profits of at least Two Million Dollars ($2,000,000) as Custodian of the capital assets of the Trust. The Custodian shall be compensated for its services by the Trust upon such basis as shall be agreed upon from time to time between the Trust and the Custodian.
ARTICLE VIII
AMENDMENTS
SECTION 8.1. Bylaws Subject to Amendment . These Bylaws may be altered, amended or repealed, in whole or in part, at any time by vote of the holders of a majority of the Shares (or whenever there shall be more than one Series of Shares, of the holders of a majority of the Shares of each Series) issued, outstanding and entitled to vote. The Trustees, by vote of a Majority of the Trustees, may alter, amend or repeal these Bylaws, in whole or in part, including Bylaws adopted by the Shareholders, except with respect to any provision hereof which by law, the Declaration or these Bylaws requires action by the Shareholders; provided , that no later than the time of giving notice of the meeting of Shareholders next following the alteration, amended or repeal of these Bylaws, in whole or in part, notice thereof, stating the substance of such action shall be given to all Shareholders entitled to vote. Bylaws adopted by the Trustees may be altered, amended or repealed by the Shareholders.
SECTION 8.2. Notice of Proposal to Amend Bylaws Required . No proposal to amend or repeal these Bylaws or to adopt new Bylaws shall be acted upon at a meeting unless either (i) such proposal is stated in the notice or in the waiver of notice, as the case may be, of the meeting of the Trustees or Shareholders at which such action is taken, or (ii) all of the Trustees or Shareholders, as the case may be, are present at such meeting and all agree to consider such proposal without protesting the lack of notice.
ARTICLE IX
MISCELLANEOUS
SECTION 9.1. Fiscal Year . The fiscal year of the Trust shall begin on the first day of May in each year and end on the thirtieth day of April following.
SECTION 9.2. Discontinuation of Sale of Shares . If the sale of Shares issued by the Trust shall at any time be discontinued, the Trustees may in their discretion, pursuant to
- 6 -
resolution, deduct from the value of the assets of the Trust an amount equal to the brokerage commissions, transfer taxes, and charges, if any, which would be payable on the sale of Securities if they were then being sold.
SECTION 9.3. Business Day . A business day for the Trust shall be each day the New York Stock Exchange is open for business.
SECTION 9.4. Forum Selection . The state and federal courts sitting within the Commonwealth of Massachusetts shall be the sole and exclusive forums for any shareholder (including a beneficial owner of shares) to bring (i) any action or proceeding brought on behalf of the Trust, (ii) any action asserting a claim for breach of a fiduciary duty owed by any Trustee, officer or employee, if any, of the Trust to the Trust or the Trusts shareholders, (iii) any action asserting a claim against the Trust, its Trustees, officers or employees, if any, arising pursuant to any provision of the Massachusetts Business Corporation Act, the Massachusetts Uniform Trust Code or the Trusts Trust Instrument or bylaw; or (iv) any action asserting a claim against the Trust, its Trustees, officers or employees, if any, governed by the internal affairs doctrine. If any provision or provisions of this Section shall be held to be invalid, illegal or unenforceable as applied to any person or entity or circumstance for any reason whatsoever, then, to the fullest extent permitted by law, the validity, legality and enforceability of such provisions in any other circumstance and of the remaining provisions of this Section (including, without limitation, each portion of any sentence of this Section containing any such provision held to be invalid, illegal or unenforceable that is not itself held to be invalid, illegal or unenforceable), and the application of such provision to other persons or entities and circumstances, shall not in any way be affected or impaired thereby.
ARTICLE X
INDEMNIFICATION
SECTION 10.1. Each person made or threatened to be made a party to or is involved (including, without limitation, as a witness) in any actual or threatened action, suit or proceeding whether civil, criminal, administrative, arbitration, or investigative, including a proceeding by or in the right of the Trust by reason of the former or present capacity as a Trustee or officer of the Trust or who, while a Trustee or officer of the Trust, is or was serving at the request of the Trust or whose duties as a Trustee or officer involve or involved service as a director, officer, partner, trustee or agent of another organization or employee benefit plan whether the basis of any proceeding is alleged action in an official capacity or in any capacity while serving as a director, officer, partner, trustee or agent, shall be indemnified and held harmless by the Trust to the full extent authorized by the laws of The Commonwealth of Massachusetts, as the same or may hereafter be amended (but, in the case of any such amendment, only to the extent that such amendment permits the Trust to provide broader indemnification rights than the law permitted the Trust to provide prior to such amendment, or by any other applicable law as then in effect, against judgments, penalties, fines including , without limitation, excise taxes assessed against the person with respect to an employee benefit plan, settlements and reasonable expenses, including attorneys fees and disbursements, incurred in connection therewith) and such indemnification shall continue as to any person who has ceased to be a Trustee or officer and shall inure to the benefit of the persons heirs, executors and administrators provided, however, in an action brought again the Trust to enforce rights to indemnification, the Trustee or officer shall be indemnified only if the action was authorized by the Board of Trustees of the Trust. The right to indemnification conferred by this Section shall be a contract right and shall include the right to be paid by the Trust in advance of the final disposition of a proceeding for expenses incurred in connection therewith provided, however, such payment of expenses shall be made only upon receipt of a written undertaking by the Trustee or officer to repay all amounts so paid if it is ultimately determined that the Trustee or officer is not entitled to indemnification.
- 7 -
SECTION 10.2. Each person who upon written request to the Trust has not received payment within thirty days may at any time thereafter bring suit against the Trust to recover any unpaid amount and, to the extent successful, in whole or in part, shall be entitled to be paid the expenses of prosecuting such suit. Each person shall be presumed to be entitled to indemnification upon filing a written request for payment and the Trust shall have the burden of proof to overcome the presumption that the Trustee or officer is not so entitled. Neither the determination by the Trust, whether by the Board of Trustees, special legal counsel or by Shareholder, nor the failure of the Trust to have made any determination shall be a defense or create the presumption that the Trustee or officer is not entitled to indemnification.
SECTION 10.3. The right to indemnification and to the payment of expenses prior to any final determination shall not be exclusive of any other right which any person may have or hereinafter acquire under any statute, provision of the Agreement and Declaration of Trust, bylaw, agreement, vote of Shareholders or otherwise and notwithstanding any provisions in this Article X, the Trust is not obligated to make any payment with respect to any claim for which payment is required to be made to or on behalf of the Trustee or officer under any insurance policy, except with respect to any excess beyond the amount of required payment under such insurance and no indemnification will be made in violation of the provisions of the Investment Company Act of 1940.
* * *
- 8 -
Exhibit (D)(4)
Schedules A and B Management Agreement CFST and CFST II
SCHEDULE A
As of January 1, 2016
Columbia Funds Series Trust
Series |
Effective Date |
|
Columbia AMT-Free California Intermediate Muni Bond Fund |
September 1, 2015 | |
Columbia AMT-Free Georgia Intermediate Muni Bond Fund |
September 1, 2015 | |
Columbia AMT-Free Maryland Intermediate Muni Bond Fund |
September 1, 2015 | |
Columbia AMT-Free North Carolina Intermediate Muni Bond Fund |
September 1, 2015 | |
Columbia AMT-Free South Carolina Intermediate Muni Bond Fund |
September 1, 2015 | |
Columbia AMT-Free Virginia Intermediate Muni Bond Fund |
September 1, 2015 | |
Columbia Short Term Municipal Bond Fund |
September 1, 2015 | |
Columbia Convertible Securities Fund |
July 1, 2015 | |
Columbia International Opportunities Fund |
July 1, 2015 | |
Columbia International Value Fund |
July 1, 2015 | |
Columbia Large Cap Enhanced Core Fund |
July 1, 2015 | |
Columbia Large Cap Growth Fund II |
July 1, 2015 | |
Columbia Large Cap Growth Fund III |
July 1, 2015 | |
Columbia Large Cap Growth Fund V |
July 1, 2015 | |
Columbia Large Cap Index Fund |
July 1, 2015 | |
Columbia Mid Cap Index Fund |
July 1, 2015 | |
Columbia Mid Cap Value Fund |
July 1, 2015 | |
Columbia Overseas Value Fund |
July 1, 2015 | |
Columbia Select International Equity Fund |
July 1, 2015 | |
Columbia Select Large Cap Equity Fund |
July 1, 2015 | |
Columbia Select Global Growth Fund |
July 1, 2015 | |
Columbia Short Term Bond Fund |
August 1, 2015 | |
Columbia Small Cap Index Fund |
July 1, 2015 | |
Columbia Small Cap Value Fund II |
July 1, 2015 |
Columbia Funds Series Trust II
Series |
Effective Date |
|
Active Portfolios Multi-Manager Value Fund |
October 1, 2015 | |
Columbia AMT-Free Tax-Exempt Bond Fund |
December 1, 2015 | |
Columbia Commodity Strategy Fund |
October 1, 2015 | |
Columbia Disciplined Core Fund* |
December 1, 2015 | |
Columbia Disciplined Growth Fund** |
December 1, 2015 | |
Columbia Disciplined Value Fund*** |
December 1, 2015 | |
Columbia Diversified Equity Income Fund |
October 1, 2015 | |
Columbia Dividend Opportunity Fund |
October 1, 2015 | |
Columbia Flexible Capital Income Fund |
October 1, 2015 | |
Columbia Floating Rate Fund |
December 1, 2015 | |
Columbia Global Equity Value Fund |
July 1, 2015 | |
Columbia Global Infrastructure Fund |
September 1, 2015 | |
Columbia Global Opportunities Fund |
December 1, 2015 | |
Columbia High Yield Bond Fund |
October 1, 2015 | |
Columbia Income Opportunities Fund |
December 1, 2015 | |
Columbia Inflation Protected Securities Fund |
December 1, 2015 | |
Columbia Large Cap Growth Fund IV |
January 1, 2016 |
A-1
Schedules A and B Management Agreement CFST and CFST II
Columbia Limited Duration Credit Fund |
December 1, 2015 | |
Columbia Minnesota Tax-Exempt Fund |
December 1, 2015 | |
Columbia Money Market Fund |
December 1, 2015 | |
Columbia Mortgage Opportunities Fund |
October 1, 2015 | |
Columbia Multi-Advisor Small Cap Value Fund |
October 1, 2015 | |
Columbia Select Large-Cap Value Fund |
October 1, 2015 | |
Columbia Select Smaller-Cap Value Fund |
October 1, 2015 | |
Columbia Seligman Communications and Information Fund |
October 1, 2015 | |
Columbia Short-Term Cash Fund |
December 1, 2015 | |
Columbia Small/Mid Cap Value Fund |
October 1, 2015 | |
Columbia U.S. Government Mortgage Fund |
October 1, 2015 |
* | Prior to December 21, 2015, Columbia Large Core Quantitative Fund. |
** | Prior to December 21, 2015, Columbia Large Growth Quantitative Fund. |
*** | Prior to December 21, 2015, Columbia Large Value Quantitative Fund. |
A-2
Schedules A and B Management Agreement CFST and CFST II
SCHEDULE B
Fee Schedule
As of January 1, 2016
For the following funds, the asset charge for each calendar day of each year shall be equal to the total of 1/365 th (1/366 th in each leap year) of the amount computed in accordance with the fee schedule in the table below:
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
Active Portfolios Multi-Manager Value Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.720
0.670 0.620 0.570 0.550 0.530 0.520 |
%
% % % % % % |
|||
Columbia AMT-Free Tax-Exempt Bond Fund | December 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.480
0.475 0.445 0.420 0.385 0.360 0.350 0.340 0.330 0.320 0.300 0.290 |
%
% % % % % % % % % % % |
|||
Columbia AMT-Free California Intermediate Muni Bond Fund | September 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.470
0.465 0.415 0.380 0.350 0.330 0.320 0.310 |
%
% % % % % % % |
|||
Columbia AMT-Free Georgia Intermediate Muni Bond Fund | September 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.470
0.465 0.415 0.380 0.350 0.330 0.320 0.310 |
%
% % % % % % % |
|||
Columbia AMT-Free Maryland Intermediate Muni Bond Fund | September 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.470
0.465 0.415 0.380 0.350 0.330 0.320 0.310 |
%
% % % % % % % |
B-1
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
Columbia AMT-Free North Carolina Intermediate Muni Bond Fund | September 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.470
0.465 0.415 0.380 0.350 0.330 0.320 0.310 |
%
% % % % % % % |
|||
Columbia AMT-Free South Carolina Intermediate Muni Bond Fund | September 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.470
0.465 0.415 0.380 0.350 0.330 0.320 0.310 |
%
% % % % % % % |
|||
Columbia AMT-Free Virginia Intermediate Muni Bond Fund | September 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.470
0.465 0.415 0.380 0.350 0.330 0.320 0.310 |
%
% % % % % % % |
|||
Columbia Commodity Strategy Fund* | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.630
0.580 0.550 0.520 0.500 0.490 |
%
% % % % % |
|||
Columbia Convertible Securities Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 |
|
0.820
0.770 0.720 0.670 |
%
% % % |
|||
Columbia Disciplined Core Fund | December 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.750
0.700 0.650 0.600 0.580 0.560 0.550 |
%
% % % % % % |
|||
Columbia Disciplined Growth Fund | December 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.750
0.700 0.650 0.600 0.580 0.560 0.550 |
%
% % % % % % |
|||
Columbia Disciplined Value Fund | December 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 $6,000 - $12,000 >$12,000 |
|
0.750
0.700 0.650 0.600 0.580 0.560 0.550 |
%
% % % % % % |
B-2
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
Columbia Diversified Equity Income Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.720
0.670 0.620 0.570 0.550 0.530 0.520 |
%
% % % % % % |
|||
Columbia Dividend Opportunity Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.720
0.670 0.620 0.570 0.550 0.530 0.520 |
%
% % % % % % |
|||
Columbia Flexible Capital Income Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $3,000 >$3,000 - $6,000 >$6,000 |
|
0.650
0.630 0.610 0.570 0.540 |
%
% % % % |
|||
Columbia Floating Rate Fund | December 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $750 >$750 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.660
0.645 0.635 0.625 0.610 0.600 0.565 0.540 0.525 0.500 0.485 0.475 0.465 0.440 0.425 0.400 |
%
% % % % % % % % % % % % % % % |
|||
Columbia Global Equity Value Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.720
0.670 0.620 0.570 0.550 0.530 0.520 |
%
% % % % % % |
|||
Columbia Global Infrastructure Fund | September 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.710
0.705 0.650 0.600 0.590 0.540 0.530 |
%
% % % % % % |
B-3
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
Columbia Global Opportunities Fund |
December 1, 2015 |
Category 1 Assets invested in underlying funds (including ETFs) that pay a management services fee to the Investment Manager |
|
0.00 |
% |
|||
Category 2 Assets invested in securities (other than underlying mutual funds (including ETFs) that pay a management services fee to the Investment Manager), including other funds advised by the Investment Manager that do not pay a management services fee, derivatives and individual securities.
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.720
0.670 0.620 0.570 0.550 0.530 0.520 |
%
% % % % % % |
|||||
Columbia High Yield Bond Fund | October 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $750 >$750 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.660
0.645 0.635 0.625 0.610 0.600 0.565 0.540 0.525 0.500 0.485 0.475 0.465 0.440 0.425 0.400 |
%
% % % % % % % % % % % % % % % |
|||
Columbia Income Opportunities Fund | December 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $750 >$750 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.660
0.645 0.635 0.625 0.610 0.600 0.565 0.540 0.525 0.500 0.485 0.475 0.465 0.440 0.425 0.400 |
%
% % % % % % % % % % % % % % % |
B-4
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
Columbia Inflation Protected Securities Fund | December 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.510
0.505 0.475 0.450 0.415 0.390 0.375 0.370 0.360 0.350 0.340 0.330 0.310 0.290 |
%
% % % % % % % % % % % % % |
|||
Columbia Limited Duration Credit Fund | December 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.430
0.425 0.415 0.410 0.395 0.380 0.365 0.360 0.350 0.340 0.330 0.320 0.300 0.280 |
%
% % % % % % % % % % % % % |
|||
Columbia International Opportunities Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.870
0.820 0.770 0.720 0.700 0.680 0.670 |
%
% % % % % % |
|||
Columbia International Value Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.870
0.820 0.770 0.720 0.700 0.680 0.670 |
%
% % % % % % |
|||
Columbia Large Cap Enhanced Core Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.750
0.700 0.650 0.600 0.580 0.560 0.550 |
%
% % % % % % |
|||
Columbia Large Cap Growth Fund II (formerly Columbia Marsico 21st Century Fund) |
July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.770
0.720 0.670 0.620 0.600 0.580 0.570 |
%
% % % % % % |
B-5
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
Columbia Large Cap Growth Fund III (formerly Columbia Marsico Focused Equities Fund) |
July 1, 2015 |
0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.770
0.720 0.670 0.620 0.600 0.580 0.570 |
%
% % % % % % |
|||
Columbia Large Cap Growth Fund IV (formerly Columbia Marsico Flexible Capital Fund) |
January 1, 2016 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.770
0.720 0.670 0.620 0.600 0.580 0.570 |
%
% % % % % % |
|||
Columbia Large Cap Growth Fund V (formerly Columbia Marsico Growth Fund) |
July 1, 2015 |
0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.770
0.720 0.670 0.620 0.600 0.580 0.570 |
%
% % % % % % |
|||
Columbia Large Cap Index Fund (1) | July 1, 2015 | ALL | 0.20 | % | ||||
Columbia Mid Cap Index Fund | July 1, 2015 | ALL | 0.20 | % | ||||
Columbia Mid Cap Value Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $12,000 >$12,000 |
|
0.820
0.770 0.720 0.670 0.660 0.650 |
%
% % % % % |
|||
Columbia Minnesota Tax-Exempt Fund | December 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $1,000 >$1,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $12,000 >$12,000 |
|
0.470
0.465 0.415 0.380 0.340 0.330 0.320 0.310 |
%
% % % % % % % |
|||
Columbia Money Market Fund | December 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $2,000 >$2,000 - $2,500 >$2,500 - $3,000 >$3,000 - $5,000 >$5,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 |
|
0.390
0.385 0.363 0.345 0.328 0.310 0.300 0.280 0.260 0.255 0.230 0.220 0.210 0.200 0.190 0.180 |
%
% % % % % % % % % % % % % % % |
B-6
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
Columbia Mortgage Opportunities Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 |
|
0.650
0.645 0.630 0.620 0.595 0.580 0.565 0.555 0.545 0.535 |
%
% % % % % % % % % |
|||
Columbia Multi-Advisor Small Cap Value Fund | October 1, 2015 |
$0 - $250 >$250 - $500 >$500 - $750 >$750 - $1,000 >$1,000 - $3,000 >$3,000 - $12,000 >$12,000 |
|
1.050
1.025 0.995 0.970 0.940 0.930 0.920 |
%
% % % % % % |
|||
Columbia Overseas Value Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.870
0.820 0.770 0.720 0.700 0.680 0.670 |
%
% % % % % % |
|||
Columbia Select Global Growth Fund (formerly Columbia Marsico Global Fund) |
July 1, 2015 |
0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.870
0.820 0.770 0.720 0.700 0.680 0.670 |
%
% % % % % % |
|||
Columbia Select International Equity Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.870
0.820 0.770 0.720 0.700 0.680 0.670 |
%
% % % % % % |
|||
Columbia Select Large Cap Equity Fund | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.770
0.720 0.670 0.620 0.600 0.580 0.570 |
%
% % % % % % |
|||
Columbia Select Large-Cap Value Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $3,000 >$3,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.770
0.715 0.615 0.600 0.580 0.570 |
%
% % % % % |
|||
Columbia Select Smaller-Cap Value Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $3,000 >$3,000 - $12,000 |
|
0.870
0.820 0.770 0.760 |
%
% % % |
B-7
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
>$12,000 | 0.750 | % | ||||||
Columbia Seligman Communications and Information Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $3,000 >$3,000 - $4,000 >$4,000 - $6,000 >$6,000 - $12,000 >$12,000 |
|
0.915
0.910 0.905 0.865 0.815 0.765 0.755 |
%
% % % % % % |
|||
Columbia Short Term Bond Fund | August 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.430
0.425 0.415 0.410 0.395 0.380 0.365 0.360 0.350 0.340 0.330 0.320 0.300 0.280 |
%
% % % % % % % % % % % % % |
|||
Columbia Short-Term Cash Fund | December 1, 2015 | All | 0.00 | % | ||||
Columbia Short Term Municipal Bond Fund | September 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 >$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $10,000 >$10,000 - $12,000 >$12,000 - $15,000 >$15,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.430
0.425 0.415 0.410 0.395 0.380 0.365 0.360 0.350 0.340 0.330 0.320 0.300 0.280 |
%
% % % % % % % % % % % % % |
|||
Columbia Small Cap Index Fund (1) | July 1, 2015 | ALL | 0.20 | % | ||||
Columbia Small Cap Value Fund II | July 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $3,000 >$3,000 - $12,000 >$12,000 |
|
0.870
0.820 0.770 0.760 0.750 |
%
% % % % |
|||
Columbia Small/Mid Cap Value Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $1,500 >$1,500 - $3,000 >$3,000 - $12,000 >$12,000 |
|
0.820
0.770 0.720 0.670 0.660 0.650 |
%
% % % % % |
|||
Columbia U.S. Government Mortgage Fund | October 1, 2015 |
$0 - $500 >$500 - $1,000 >$1,000 - $2,000 >$2,000 - $3,000 >$3,000 - $6,000 |
|
0.500
0.495 0.480 0.460 0.450 |
%
% % % % |
B-8
Schedules A and B Management Agreement CFST and CFST II
Fund |
Schedule B Effective Date |
Net Assets (millions) |
Annual rate at each
asset level Asset Charge |
|||||
>$6,000 - $7,500 >$7,500 - $9,000 >$9,000 - $12,000 >$12,000 - $20,000 >$20,000 - $24,000 >$24,000 - $50,000 >$50,000 |
|
0.430
0.415 0.410 0.390 0.380 0.360 0.340 |
%
% % % % % % |
* | When calculating asset levels for purposes of determining fee breakpoints, asset levels are based on net assets of the Fund, including assets invested in any wholly-owned subsidiary advised by the Investment Manager (Subsidiaries). Fees payable by the Fund under this agreement shall be reduced by any management fees paid to the Investment Manager by any Subsidiaries under separate management agreements with the Subsidiaries. |
(1) | The Investment Manager has agreed to pay all operating expenses of the Fund with the exception of brokerage fees and commissions, taxes, interest, fees and expenses of Trustees who are not officers, directors or employees of the Investment Manager or its affiliates, distribution (12b-1) and/or shareholder servicing fees, and any extraordinary non-recurring expenses that may arise, including but not limited to, litigation expenses. |
The computation shall be made for each calendar day on the basis of net assets as of the close of the preceding day. In the case of the suspension of the computation of net asset value, the fee for each calendar day during such suspension shall be computed as of the close of business on the last full day on which the net assets were computed. Net assets as of the close of a full day shall include all transactions in shares of the Fund recorded on the books of the Fund for that day.
IN WITNESS THEREOF, the parties hereto have executed the foregoing Schedule A and Schedule B as of December 18, 2015.
COLUMBIA FUNDS SERIES TRUST
COLUMBIA FUNDS SERIES TRUST II
By: |
/s/ Christopher O. Petersen |
|
Name: | Christopher O. Petersen | |
Title: | President |
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
By: |
/s/ Amy K. Johnson |
|
Name: | Amy K. Johnson | |
Title: | Managing Director and Chief Operating Officer |
B-9
Exhibit (J)
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We hereby consent to the incorporation by reference in this Registration Statement on Form N-1A of our report dated October 22, 2015, relating to the financial statements and financial highlights, which appear in the August 31, 2015 Annual Report to Shareholders of Columbia Large Cap Growth Fund IV (formerly known as Columbia Marsico Flexible Capital Fund) (one of the funds constituting Columbia Funds Series Trust II), which are also incorporated by reference into the Registration Statement. We also consent to the references to us under the headings Financial Highlights, Independent Registered Public Accounting Firm and Organization and Management of Wholly-Owned Subsidiaries in such Registration Statement.
/s/ PricewaterhouseCoopers LLP
Minneapolis, Minnesota
December 17, 2015