| THE SECURITIES ACT OF 1933 | ☒ |
| Pre-Effective Amendment No. | ☐ |
| Post-Effective Amendment No. 399 | ☒ |
| THE INVESTMENT COMPANY ACT OF 1940 | ☒ |
| Amendment No. 403 | ☒ |
| Daniel
J. Beckman c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
Ryan
C. Larrenaga, Esq. c/o Columbia Management Investment Advisers, LLC 290 Congress Street Boston, Massachusetts 02210 |
| Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
| Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
| (a)(1) | Second Amended and Restated Agreement and Declaration of Trust, effective August 10, 2005 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #40 on Form N-1A | (a)(1) | 9/16/2005 |
| (a)(2) | Amendment No. 1 to Second Amended and Restated Agreement and Declaration of Trust, effective September 19, 2005 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #40 on Form N-1A | (a)(2) | 9/16/2005 |
| (a)(3) | Amendment No. 2 to Second Amended and Restated Agreement and Declaration of Trust, effective December 13, 2017 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #313 on Form N-1A | (a)(3) | 1/16/2018 |
| (a)(4) | Amendment No. 3 to Second Amended and Restated Agreement and Declaration of Trust, effective March 7, 2018 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #318 on Form N-1A | (a)(4) | 3/29/2018 |
| (a)(5) | Amendment No. 4 to Second Amended and Restated Agreement and Declaration of Trust, effective December 13, 2018 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #342 on Form N-1A | (a)(5) | 12/21/2018 |
| (a)(6) | Amendment No. 5 to Second Amended and Restated Agreement and Declaration of Trust, effective June 12, 2019 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #351 on Form N-1A | (a)(6) | 6/21/2019 |
| (a)(7) | Amendment No. 6 to Second Amended and Restated Agreement and Declaration of Trust, effective December 11, 2019 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #369 on Form N-1A | (a)(7) | 12/20/2019 |
| (a)(8) | Amendment No. 7 to Second Amended and Restated Agreement and Declaration of Trust, effective October 9, 2020 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #383 on Form N-1A | (a)(8) | 12/23/2020 |
| (a)(9) | Amendment No. 8 to Second Amended and Restated Agreement and Declaration of Trust, effective July 19, 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #386 on Form N-1A | (a)(9) | 7/28/2021 |
| (a)(10) | Amendment No. 9 to Second Amended and Restated Agreement and Declaration of Trust, effective June 23, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (a)(10) | 7/18/2022 |
| (a)(11) | Amendment No. 10 to Second Amendment and Restated Declaration of Trust, effective September 1, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #398 on Form N-1A | (a)(11) | 9/26/2022 |
| (b) | By-Laws as amended November 2020 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #383 on Form N-1A | (b) | 12/23/2020 |
| (c) | Not Applicable. | ||||||
| (d)(1) | Amended and Restated Management Agreement, as of April 25, 2016, between Columbia Management Investment Advisers, LLC, Columbia Funds Variable Insurance Trust and the Registrant | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #257 on Form N-1A | (d)(1) | 4/27/2016 |
| (d)(1)(i) | Schedule A and Schedule B, effective July 1, 2022, to the Management Agreement (amended and restated), dated April 25, 2016, between Columbia Management Investment Advisers, LLC, the Registrant, and Columbia Funds Variable Insurance Trust | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (d)(1)(i) | 7/18/2022 |
| Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
| Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
| (h)(3)(ii) | Schedule A, as of July 1, 2022, to the Amended and Restated Fee Waiver and Expense Cap Agreement, effective June 15, 2021 and amended as of January 19, 2022, between Columbia Management Investment Advisers, LLC, Columbia Management Investment Distributors, Inc., Columbia Management Investment Services Corp., the Registrant, Columbia Funds Series Trust, Columbia Funds Series Trust II, Columbia Funds Variable Insurance Trust and Columbia Funds Variable Series Trust II | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (h)(3)(ii) | 7/18/2022 |
| (h)(4) | Agreement and Plan of Reorganization, dated October 9, 2012 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #175 on Form N-1A | (h)(8) | 5/30/2013 |
| (h)(5) | Agreement and Plan of Reorganization, dated December 20, 2010 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #15 on Form N-1A | (h)(9) | 4/29/2011 |
| (h)(6) | Agreement and Plan of Reorganization, dated December 17, 2015 | Incorporated by Reference | Columbia Funds Series Trust | 333-208706 | Registration Statement on Form N-14 | (4) | 12/22/2015 |
| (h)(7) | Agreement and Plan of Reorganization, dated February 20, 2020 | Incorporated by Reference | Columbia Funds Series Trust II | 333-236646 | Registration Statement on Form N-14 | (4) | 2/26/2020 |
| (h)(8) | Agreement and Plan of Reorganization, dated October 5, 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #390 on Form N-1A | (h)(8) | 12/22/2021 |
| (h)(9) | Amended and Restated Credit Agreement, as of October 28, 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #389 on Form N-1A | (h)(8) | 11/23/2021 |
| (h)(10) | Master Inter-Fund Lending Agreement, dated May 1, 2018 | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Post-Effective Amendment #179 on Form N-1A | (h)(11) | 5/25/2018 |
| (h)(10)(i) | Schedule A and Schedule B, effective July 1, 2022, to the Master Inter-Fund Lending Agreement dated May 1, 2018 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (h)(10)(i) | 7/18/2022 |
| (h)(11) | Fund of Fund Investment Management Agreement, dated January 19, 2022, between BlackRock ETF Trust, BlackRock ETF Trust II, iShares Trust, iShares, Inc., IShares U.S. ETF Trust and Columbia Funds Series Trust, Columbia Funds Series Trust I, Columbia Funds Series Trust II, Columbia Funds Variable Insurance Trust and Columbia Funds Variable Series Trust II | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #392 on Form N-1A | (h)(11) | 2/17/2022 |
| (h)(12) | Fund of Fund Investment Management Agreement, dated December 21, 2021, between Fidelity Rutland Square Trust II and Columbia Funds Series Trust I and Columbia Funds Series Trust II | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #392 on Form N-1A | (h)(12) | 2/17/2022 |
| Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
| Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
| (h)(13) | Fund of Fund Investment Management Agreement, dated January 19, 2022, between Vanguard Funds and Columbia Funds Series Trust I, Columbia Funds Variable Insurance Trust and Columbia Funds Variable Series Trust II | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #392 on Form N-1A | (h)(13) | 2/17/2022 |
| (i)(1) | Opinion of Counsel of Ropes & Gray LLP | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #40 on Form N-1A | (i) | 9/16/2005 |
| (i)(2) | Opinion of Counsel of Ropes & Gray LLP | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #68 on Form N-1A | (i)(2) | 1/16/2008 |
| (i)(3) | Opinion of Counsel of Ropes & Gray LLP | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #81 on Form N-1A | (i)(3) | 11/25/2008 |
| (i)(4) | Opinion of Counsel of Ropes & Gray LLP | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #95 on Form N-1A | (i)(4) | 11/20/2009 |
| (i)(5) | Opinion of Counsel of Ropes & Gray LLP | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #143 on Form N-1A | (i)(5) | 3/14/2012 |
| (i)(6) | Opinion of Counsel of Ropes & Gray LLP, with respect to Columbia Adaptive Risk Allocation Fund | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #153 on Form N-1A | (i)(6) | 6/15/2012 |
| (i)(7) | Opinion of Counsel of Ropes & Gray LLP, with respect to Columbia Multi Strategy Alternatives Fund | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #219 on Form N-1A | (i)(8) | 1/27/2015 |
| (i)(8) | Opinion of Counsel of Ropes & Gray LLP, with respect to Columbia Multi-Asset Income Fund and Columbia U.S. Social Bond Fund | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #223 on Form N-1A | (i)(9) | 3/24/2015 |
| (i)(9) | Opinion of Counsel of Ropes & Gray LLP, with respect to Multi-Manager Directional Alternative Strategies Fund | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #276 on Form N-1A | (i)(10) | 9/30/2016 |
| (i)(10) | Opinion of Counsel of Ropes & Gray LLP, with respect to Columbia Adaptive Retirement 2020 Fund, Columbia Adaptive Retirement 2030 Fund, Columbia Adaptive Retirement 2040 Fund, Columbia Adaptive Retirement 2050 Fund, Columbia Adaptive Retirement 2060 Fund, Columbia Solutions Aggressive Portfolio and Columbia Solutions Conservative Portfolio | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #308 on Form N-1A | (i)(11) | 10/20/2017 |
| (i)(11) | Opinion of Counsel of Ropes & Gray LLP, with respect to Columbia Adaptive Retirement 2025 Fund, Columbia Adaptive Retirement 2035 Fund, Columbia Adaptive Retirement 2045 Fund and Columbia Adaptive Retirement 2055 Fund | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #313 on Form N-1A | (i)(12) | 1/16/2018 |
| (i)(12) | Opinion of Counsel of Ropes & Gray LLP, with respect to Multi-Manager International Equity Strategies Fund | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #324 on Form N-1A | (i)(13) | 5/4/2018 |
| Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
| Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
| (i)(13) | Opinion of Counsel of Ropes & Gray LLP, with respect to Overseas SMA Completion Portfolio | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #357 on Form N-1A | (i)(13) | 9/3/2019 |
| (i)(14) | Opinion of Counsel of Ropes & Gray LLP, with respect to Multisector Bond SMA Completion Portfolio | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #364 on Form N-1A | (i)(14) | 10/25/2019 |
| (j)(1) | Consent of Morningstar, Inc. | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #21 on Form N-1A | 11(b) | 8/30/1996 |
| (j)(2) | Consent of PricewaterhouseCoopers LLP: Not Applicable | ||||||
| (k) | Omitted Financial Statements: Not Applicable. | ||||||
| (l) | Initial Capital Agreement: Not Applicable. | ||||||
| (m)(1) | Amended and Restated Distribution Plan, as of June 15, 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #387 on Form N-1A | (m)(1) | 8/26/2021 |
| (m)(2) | Amended and Restated Shareholder Servicing Plan, as of July 1, 2022, for certain Fund share classes of the Registrant | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (m)(2) | 7/18/2022 |
| (m)(3) | Amended and Restated Shareholder Services Plan, as of July 10, 2020, for Registrant’s Class V (formerly known as Class T) | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #376 on Form N-1A | (m)(3) | 7/28/2020 |
| (m)(4) | Shareholder Servicing Plan Implementation Agreement, amended and restated as of June 14, 2017, for Registrant’s Class V (formerly known as Class T) shares between the Registrant and Columbia Management Investment Distributors, Inc | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #299 on Form N-1A | (m)(4) | 7/28/2017 |
| (m)(4)(i) | Restated Schedule I, effective July 1, 2022 to Shareholder Servicing Plan Implementation Agreement for Registrant’s Class V (formerly known as Class T) shares between the Registrant and Columbia Management Investment Distributors, Inc | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (m)(4)(i) | 7/18/2022 |
| (m)(5) | Shareholder Servicing Plan Implementation Agreement between Registrant and Columbia Management Investment Distributors, Inc. | Incorporated by Reference | Columbia Funds Series Trust | 333-89661 | Post-Effective Amendment #82 on Form N-1A | (m)(4) | 5/28/2010 |
| (m)(5)(i) | Restated Schedule I, dated July 1, 2022, to Shareholder Servicing Plan Implementation Agreement, between the Registrant, Columbia Funds Series Trust and Columbia Management Investment Distributors, Inc. | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (m)(5)(i) | 7/18/2022 |
| (n) | Rule 18f – 3 Multi-Class Plan, amended and restated as of June 17, 2020 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #376 on Form N-1A | (n) | 7/28/2020 |
| (o) | Reserved | ||||||
| Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
| Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
| (p)(1) | Code of Ethics of Columbia Atlantic Board Funds adopted under Rule 17j-1, effective March 2019 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #349 on Form N-1A | (p)(1) | 4/25/2019 |
| (p)(2) | Columbia Threadneedle Investments Global Personal Account Dealing and Code of Ethics, effective December 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #392 on Form N-1A | (p)(2) | 2/17/2022 |
| (p)(3) | Code of Ethics of AQR Capital Management, LLC (a subadviser of Columbia Multi Strategy Alternatives Fund, Multi-Manager Alternative Strategies Fund and Multi-Manager Directional Alternative Strategies Fund), effective September 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #389 on Form N-1A | (p)(3) | 11/23/2021 |
| (p)(4) | Code of Ethics of Prudential Financial (for PGIM, Inc., a subadviser of Multi-Manager Total Return Bond Strategies Fund), dated August 29, 2018 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #338 on Form N-1A | (p)(6)(i) | 11/27/2018 |
| (p)(4)(i) | Code of Ethics of Prudential Financial, dated January 10, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (p)(4)(i) | 7/18/2022 |
| (p)(4)(ii) | Personal Securities Trading Standards of Prudential Financial (for PGIM, Inc., a subadviser of Multi-Manager Total Return Bond Strategies Fund), dated April 27, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #397 on Form N-1A | (p)(4)(ii) | 8/25/2022 |
| (p)(4)(iii) | U.S. Information Barrier Standards of Prudential Financial, dated January 10, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #397 on Form N-1A | (p)(4)(iii) | 8/25/2022 |
| (p)(5) | Code of Ethics of TCW Investment Management Company LLC (a subadviser of Multi-Manager Alternative Strategies Fund and Multi-Manager Total Return Bond Strategies Fund), dated June 27, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #397 on Form N-1A | (p)(5) | 8/25/2022 |
| (p)(6) | Code of Ethics of Water Island Capital, LLC (a subadviser of Multi-Manager Alternative Strategies Fund), effective June 7, 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #387 on Form N-1A | (p)(6) | 8/26/2021 |
| (p)(7) | Code of Ethics of Conestoga Capital Advisors, LLC (a subadviser of Multi-Manager Small Cap Equity Strategies Fund), dated April 13, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (p)(7) | 7/18/2022 |
| (p)(8) | Code of Ethics of Loomis, Sayles and Company, L.P. (a subadviser of Multi-Manager Growth Strategies Fund and Multi-Manager Total Return Bond Strategies Fund), effective January 14, 2000, as amended May 25, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #397 on Form N-1A | (p)(8) | 8/25/2022 |
| (p)(9) | Code of Ethics of Boston Partners Global Investors Inc. (a subadviser of Multi-Manager Directional Alternative Strategies Fund), effective May 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #387 on Form N-1A | (p)(10) | 8/26/2021 |
| (p)(10) | Code of Ethics of Allspring Global Investments, LLC (a subadviser of Multi-Manager Directional Alternative Strategies Fund) | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #389 on Form N-1A | (p)(11) | 11/23/2021 |
| Exhibit
Number |
Exhibit Description | Filed
Herewith or Incorporated by Reference |
Information About the Filing that Includes the Document Incorporated by Reference | ||||
| Registrant
that Made the Filing |
File
No. of Such Registrant |
Type
of Filing |
Exhibit
of Document in that Filing |
Filing
Date | |||
| (p)(11) | Code of Ethics of Los Angeles Capital Management LLC (a subadviser of Multi-Manager Growth Strategies Fund), effective June 24, 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #387 on Form N-1A | (p)(12) | 8/26/2021 |
| (p)(12) | Code of Ethics of Manulife Asset Management (US) LLC (a subadviser of Multi-Manager Alternative Strategies Fund), effective January 20, 2020 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #380 on Form N-1A | (p)(13) | 9/25/2020 |
| (p)(13) | Code of Ethics of Arrowstreet Capital, Limited Partnership (a subadviser of Multi-Manager International Equity Strategies Fund), effective April 13, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #397 on Form N-1A | (p)(13) | 8/25/2022 |
| (p)(14) | Code of Ethics of Baillie Gifford Overseas Limited (a subadviser of Multi-Manager International Equity Strategies Fund), effective May 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #397 on Form N-1A | (p)(14) | 8/25/2022 |
| (p)(15) | Code of Ethics of Causeway Capital Management LLC (a subadviser of Multi-Manager International Equity Strategies Fund), effective June 30, 2022 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #397 on Form N-1A | (p)(15) | 8/25/2022 |
| (p)(16) | Code of Ethics of AlphaSimplex Group, LLC (a subadviser of Multi-Manager Alternative Strategies Fund) | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #327 on Form N-1A | (p)(20) | 5/23/2018 |
| (p)(17) | Code of Ethics of Voya Investment Management Co. LLC (a subadviser of Multi-Manager Total Return Bond Strategies Fund), effective October 12, 2020 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #385 on Form N-1A | (p)(18) | 4/26/2021 |
| (p)(18) | Code of Ethics of J.P. Morgan Investment Management Inc. (a subadviser of Multi-Manager Directional Alternative Strategies Fund, Multi-Manager Small Cap Equity Strategies Fund), effective February 1, 2005, last revised December 18, 2020 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #76 on Form N-1A | (p)(10) | 4/1/2021 |
| (p)(19) | Code of Ethics of Hotchkis and Wiley Capital Management, LLC (a subadviser of Multi-Manager Small Cap Equity Strategies Fund), as of September 1, 2021 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #389 on Form N-1A | (p)(20) | 11/23/2021 |
| (p)(20) | Code of Ethics of PGIM Quantitative Solutions LLC, (a subadviser of Columbia Multi Strategy Alternatives Fund) | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #392 on Form N-1A | (p)(20) | 2/17/2022 |
| (p)(21) | Code of Ethics of Crabel Capital Management, LLC, (a subadviser of Multi-Manager Alternative Strategies Fund), effective April 2019 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #391 on Form N-1A | (p)(21) | 1/12/2022 |
| (p)(22) | Code of Ethics of Jacobs Levy Investment Management, Inc. (a subadviser of Multi-Manager Small Cap Equity Strategies Fund), effective January 2016 | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #395 on Form N-1A | (p)(22) | 7/18/2022 |
| (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 information 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) | Allspring Global Investments, LLC (formerly known as Wells Capital Management Incorporated), performs investment management services for the Registrant and certain other clients. Information regarding the business of Allspring Global Investments, LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Allspring Global Investments, LLC and is incorporated herein by reference. Information about the business of Allspring Global Investments, LLC and the directors and principal executive officers of Allspring Global Investments, LLC is also included in the Form ADV filed by Allspring Global Investments, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-21122), which information is incorporated herein by reference. |
| (c) | Alpha Simplex Group, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Alpha Simplex Group, LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Alpha Simplex Group, LLC and is incorporated herein by reference. Information about the business of Alpha Simplex Group, LLC and the directors and principal executive officers of Alpha Simplex Group, LLC is also included in the Form ADV filed by Alpha Simplex Group, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-62448), which information is incorporated herein by reference. |
| (d) | AQR Capital Management, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of AQR Capital Management, LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by AQR Capital Management, LLC and is incorporated herein by reference. Information about the business of AQR Capital Management, LLC and the directors and principal executive officers of AQR Capital Management, LLC is also included in the Form ADV filed by AQR Capital Management, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-55543), which information is incorporated herein by reference. |
| (e) | Arrowstreet Capital, Limited Partnership performs investment management services for the Registrant and certain other clients. Information regarding the business of Arrowstreet Capital, Limited Partnership and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Arrowstreet Capital, Limited Partnership and is incorporated herein by reference. Information about the business of Arrowstreet Capital, Limited Partnership and the directors and principal executive officers of Arrowstreet Capital, Limited Partnership is also included in the Form ADV filed by Arrowstreet Capital, Limited Partnership with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-56633), which information is incorporated herein by reference. |
| (f) | Baillie Gifford Overseas Limited performs investment management services for the Registrant and certain other clients. Information regarding the business of Baillie Gifford Overseas Limited and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Baillie Gifford Overseas Limited and is incorporated herein by reference. Information about the business of Baillie Gifford Overseas Limited and the directors and principal executive officers of Baillie Gifford Overseas Limited is also included in the Form ADV filed by Baillie Gifford Overseas Limited with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-21051), which information is incorporated herein by reference. |
| (g) | Boston Partners Global Investors, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Boston Partners Global Investors, Inc. and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Boston Partners Global Investors, Inc. and is incorporated herein by reference. Information about the business of Boston Partners Global Investors, Inc. and the directors and principal executive officers of Boston Partners Global Investors, Inc. is also included in the Form ADV filed by Boston Partners Global Investors, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-61786), which information is incorporated herein by reference. |
| (h) | Causeway Capital Management LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Causeway Capital Management LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Causeway Capital Management LLC and is incorporated herein by reference. Information about the business of Causeway Capital Management LLC and the directors and principal executive officers of Causeway Capital Management LLC is also included in the Form ADV filed by Causeway Capital Management LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-60343), which information is incorporated herein by reference. |
| (i) | Conestoga Capital Advisors, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Conestoga Capital Advisors, LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Conestoga Capital Advisors, LLC and is incorporated herein by reference. Information about the business of Conestoga Capital Advisors, LLC and the directors and principal executive officers of Conestoga Capital Advisors, LLC is also included in the Form ADV filed by Conestoga Capital Advisors, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-60133), which information is incorporated herein by reference. |
| (j) | Crabel Capital Management, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Crabel Capital Management, LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Crabel Capital Management, LLC and is incorporated herein by reference. Information about the business of Crabel Capital Management, LLC and the directors and principal executive officers of Crabel Capital Management, LLC is also included in the Form ADV filed by Crabel Capital Management, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-110141), which information is incorporated herein by reference. |
| (k) | Hotchkis and Wiley Capital Management, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Hotchkis and Wiley Capital Management, LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Hotchkis and Wiley Capital Management, LLC and is incorporated herein by reference. Information about the business of Hotchkis and Wiley Capital Management, LLC and the directors and principal executive officers of Hotchkis and Wiley Capital Management, LLC is also included in the Form ADV filed by Hotchkis and Wiley Capital Management, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-60512), which information is incorporated herein by reference. |
| (l) | Jacobs Levy Equity Management, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Jacobs Levy Equity Management, Inc. and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Jacobs Levy Equity Management, Inc. and is incorporated herein by reference. Information about the business of Jacobs Levy Equity Management, Inc. and the directors and principal executive officers of Jacobs Levy Equity Management, Inc. is also included in the Form ADV filed by Jacobs Levy Equity Management, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-28257), which information is incorporated herein by reference. |
| (m) | J.P. Morgan Investment Management Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of J.P. Morgan Investment Management Inc. and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by J.P. Morgan Investment Management Inc. and is incorporated herein by reference. Information about the business of J.P. Morgan Investment Management Inc. and the directors and principal executive officers of J.P. Morgan Investment Management Inc. is also included in the Form ADV filed by J.P. Morgan Investment Management Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-21011), which information is incorporated herein by reference. |
| (n) | Loomis, Sayles and Company, L.P. performs investment management services for the Registrant and certain other clients. Information regarding the business of Loomis, Sayles and Company, L.P. and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Loomis, Sayles and Company, L.P. and is incorporated herein by reference. Information about the business of Loomis, Sayles and Company, L.P. and the directors and principal executive officers of Loomis, Sayles and Company, L.P. is also included in the Form ADV filed by Loomis, Sayles and Company, L.P. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-170), which information is incorporated herein by reference. |
| (o) | Los Angeles Capital Management and Equity Research, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Los Angeles Capital Management and Equity Research, Inc. and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Los Angeles Capital Management and Equity Research, Inc. and is incorporated herein by reference. Information about the business of Los Angeles Capital Management and Equity Research, Inc. and the directors and principal executive officers of Los Angeles Capital Management and Equity Research, Inc. is also included in the Form ADV filed by Los Angeles Capital Management and Equity Research, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-60934), which information is incorporated herein by reference. |
| (p) | Manulife Investment Management (US) LLC (formerly known as Manulife Asset Management (US) LLC) performs investment management services for the Registrant and certain other clients. Information regarding the business of Manulife Investment Management (US) LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Manulife Investment Management (US) LLC and is incorporated herein |
| by reference. Information about the business of Manulife Investment Management (US) LLC and the directors and principal executive officers of Manulife Investment Management (US) LLC is also included in the Form ADV filed by Manulife Investment Management (US) LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-42023), which information is incorporated herein by reference. |
| (q) | PGIM, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of PGIM, Inc. and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by PGIM, Inc. and is incorporated herein by reference. Information about the business of PGIM, Inc. and the directors and principal executive officers of PGIM, Inc. is also included in the Form ADV filed by PGIM, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-22808), which information is incorporated herein by reference. |
| (r) | PGIM Quantitative Solutions LLC (formerly known as QMA LLC), performs investment management services for the Registrant and certain other clients. Information regarding the business of PGIM Quantitative Solutions LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by PGIM Quantitative Solutions LLC and is incorporated herein by reference. Information about the business of PGIM Quantitative Solutions LLC and the directors and principal executive officers of PGIM Quantitative Solutions LLC is also included in the Form ADV filed by PGIM Quantitative Solutions LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-62692), which information is incorporated herein by reference. |
| (s) | TCW Investment Management Company LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of TCW Investment Management Company LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by TCW Investment Management Company LLC and is incorporated herein by reference. Information about the business of TCW Investment Management Company LLC and the directors and principal executive officers of TCW Investment Management Company LLC is also included in the Form ADV filed by TCW Investment Management Company LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-29075), which information is incorporated herein by reference. |
| (t) | Threadneedle International Limited may perform investment management services for the Registrant and certain other clients. Information regarding the business of Threadneedle International Limited and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series 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 information is incorporated herein by reference. |
| (u) | Voya Investment Management Co. LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Voya Investment Management Co. LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Voya Investment Management Co. LLC and is incorporated herein by reference. Information about the business of Voya Investment Management Co. LLC and the directors and principal executive officers of Voya Investment Management Co. LLC is also included in the Form ADV filed by Voya Investment Management Co. LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-9046), which information is incorporated herein by reference. |
| (v) | Water Island Capital, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Water Island Capital, LLC and certain of its officers is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series subadvised by Water Island Capital, LLC and is incorporated herein by reference. Information about the business of Water Island Capital, LLC and the directors and principal executive officers of Water Island Capital, LLC is also included in the Form ADV filed by Water Island Capital, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-57341), which information is incorporated herein by reference. |
| (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 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 and Director | Senior Vice President | ||
| Scott E. Couto | President and Director | None | ||
| Jason S. Bartylla | Chief Financial Officer | None | ||
| Michael E. DeFao | Vice President, Chief Legal Officer and Assistant Secretary | Vice President and Assistant Secretary | ||
| Stephen O. Buff | Vice President, Chief Compliance Officer | None | ||
| James Bumpus | Vice President and Head of Intermediary Markets | None | ||
| Thomas A. Jones | Vice President and Head of Strategic Relations | None | ||
| Gary Rawdon | Vice President – Sales Governance and Administration | None | ||
| Leslie A. Walstrom | Global Head of Marketing | None | ||
| Daniel J. Beckman | Vice President and Head of North America Product and Director | Board
Member, President and Principal Executive Officer | ||
| Marc Zeitoun | Chief Operating Officer, North American Distribution | None | ||
| Wendy B. Mahling | Secretary | None | ||
| Amy L. Hackbarth | Vice President and Assistant Secretary | None | ||
| Mark D. Kaplan | Vice President and Assistant Secretary | None | ||
| Nancy W. LeDonne | Vice President and Assistant Secretary | None | ||
| Ryan C. Larrenaga | Vice President and Assistant Secretary | Senior Vice President, Chief Legal Officer and Secretary | ||
| Joseph L. D’Alessandro | Vice President and Assistant Secretary | Assistant Secretary | ||
| Christopher O. Petersen | Vice President and Assistant Secretary | Senior Vice President and Assistant Secretary | ||
| Shweta J. Jhanji | Vice President and 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 290 Congress Street, Boston, MA 02210. |
| (c) | Not Applicable. |
| ■ | Registrant, 290 Congress Street, Boston, MA, 02210; |
| ■ | Registrant’s investment adviser and administrator, Columbia Management Investment Advisers, LLC, 290 Congress Street, Boston, MA, 02210; |
| ■ | Registrant’s subadviser, Allspring Global Investments, LLC (formerly known as Wells Capital Management Incorporated), 525 Market Street, San Francisco, CA 94105; |
| ■ | Registrant’s subadviser, Alpha Simplex Group, LLC, 200 State Street, Boston MA 02109; |
| ■ | Registrant’s subadviser, Arrowstreet Capital, Limited Partnership, 200 Clarendon Street, 30th Floor, Boston, MA 02116; |
| ■ | Registrant’s subadviser, AQR Capital Management, LLC, Two Greenwich Plaza, 3rd Floor, Greenwich, CT 06830; |
| ■ | Registrant’s subadviser, Baillie Gifford Overseas Limited, Calton Square, 1 Greenside Row, Edinburgh, EH1 3AN, United Kingdom; |
| ■ | Registrant’s subadviser, Boston Partners Global Investors, Inc., 1 Beacon Street, 30th Floor, Boston, MA 02108; |
| ■ | Registrant’s subadviser, Causeway Capital Management LLC, 11111 Santa Monica Blvd., 15th Floor, Los Angeles, CA 90025; |
| ■ | Registrant’s subadviser, Conestoga Capital Advisors, LLC, 550 East Swedesford Road, Suite 120, Wayne, PA 19087; |
| ■ | Registrant’s subadviser, Crabel Capital Management, LLC, 1999 Avenue of the Stars, Suite 2550, Los Angeles, CA 90067; |
| ■ | Registrant’s subadviser, Hotchkis and Wiley Capital Management, LLC, 601 South Figueroa Street, Los Angeles, CA 90017; |
| ■ | Registrant’s subadviser, Jacobs Levy Equity Management, Inc., 100 Campus Drive, 4th Floor East, Florham Park, NJ 07932; |
| ■ | Registrant’s subadviser, J.P. Morgan Investment Management Inc., 383 Madison Avenue, New York, NY 10179; |
| ■ | Registrant’s subadviser, Loomis, Sayles and Company, L.P., One Financial Center, Boston, MA 02111; |
| ■ | Registrant’s subadviser, Los Angeles Capital Management LLC, 11150 Santa Monica Blvd., Suite 200, Los Angeles, CA 90025; |
| ■ | Registrant’s subadviser, Manulife Investment Management (US) LLC, 197 Clarendon St # 4, Boston, MA 02116; |
| ■ | Registrant’s subadviser, PGIM, Inc./Prudential Financial, Inc., 655 Broad Street, Newark, NJ 07102; |
| ■ | Registrant’s subadviser, PGIM Quantitative Solutions LLC (formerly known as QMA LLC), Gateway Center Two, Newark, NJ 07102; |
| ■ | Registrant’s subadviser, TCW Investment Management Company LLC, 865 South Figueroa Street, Suite 1800, Los Angeles, CA 90017; |
| ■ | Registrant’s subadviser, Voya Investment Management Co. LLC, 230 Park Avenue, New York, NY 10169; |
| ■ | Registrant’s subadviser, Water Island Capital, LLC, 41 Madison Avenue, 42nd floor, New York, NY 10010; |
| ■ | Registrant’s former provider of advisory service as delegated by former subadviser, DGHM, Real Estate Management Services Group, LLC, 1100 Fifth Avenue South, Suite 305, Naples, FL 34102; |
| ■ | Registrant’s former subadviser, BMO Asset Management Corp., 115 South LaSalle Street, 11th Floor, Chicago, IL 60603; |
| ■ | Registrant’s former subadviser, Dalton, Greiner, Hartman, Maher & Co., 565 Fifth Avenue, Suite 2101, New York, NY 10017; |
| ■ | Registrant’s former subadviser, EAM Investors, LLC, 2533 South Coast Highway 101, Suite 240, Cardiff-by-the-Sea, CA 92007; |
| ■ | Registrant’s former subadviser, Federated Investment Management Company, Federated Investors Tower, 1001 Liberty Avenue, Pittsburgh, PA 15222-3779; |
| ■ | Registrant’s former subadviser, Wasatch Advisors Inc, 505 Wakara Way, 3rd Floor, Salt Lake City, UT 84108; |
| ■ | Registrant’s principal underwriter, Columbia Management Investment Distributors, Inc., 290 Congress Street, Boston, MA, 02210; |
| ■ | Registrant’s transfer agent, Columbia Management Investment Services Corp., 290 Congress Street, Boston, MA, 02210; |
| ■ | Registrant’s sub-transfer agent, DST Asset Manager Solutions, Inc., 2000 Crown Colony Dr., Quincy, MA 02169; |
| ■ | Registrant’s custodian, JP Morgan Chase Bank, N.A., 1 Chase Manhattan Plaza 19th Floor, New York, NY 10005; and |
| ■ | Registrant’s former custodian, State Street Bank and Trust Company, State Street Financial Center, One Lincoln Street, Boston, MA 02111. |
| COLUMBIA FUNDS SERIES TRUST I | |
| By: | /s/ Daniel J. Beckman |
| Daniel
J. Beckman Trustee and President | |
| Signature | Capacity | Signature | Capacity |
| /s/ Daniel J. Beckman | Trustee
and President (Principal Executive Officer) |
/s/ J. Kevin Connaughton* | Trustee |
| Daniel J. Beckman | J. Kevin Connaughton | ||
| /s/ Michael G. Clarke* | Chief
Financial Officer, Principal Financial Officer and Senior Vice President |
/s/ Olive M. Darragh* | Trustee |
| Michael G. Clarke | Olive M. Darragh | ||
| /s/ Joseph Beranek* | Treasurer,
Chief Accounting Officer (Principal Accounting Officer) and Principal Financial Officer |
/s/ Patricia M. Flynn* | Trustee |
| Joseph Beranek | Patricia M. Flynn | ||
| /s/ Catherine James Paglia* | Co-Chair of the Board | /s/ Brian J. Gallagher* | Trustee |
| Catherine James Paglia | Brian J. Gallagher | ||
| /s/ Douglas A. Hacker* | Co-Chair of the Board | /s/ Nancy T. Lukitsh* | Trustee |
| Douglas A. Hacker | Nancy T. Lukitsh | ||
| /s/ George S. Batejan* | Trustee | /s/ David M. Moffett* | Trustee |
| George S. Batejan | David M. Moffett | ||
| /s/ Kathleen A. Blatz* | Trustee | /s/ Minor M. Shaw* | Trustee |
| Kathleen A. Blatz | Minor M. Shaw | ||
| /s/ Pamela G. Carlton* | Trustee | /s/ Natalie A. Trunow* | Trustee |
| Pamela G. Carlton | Natalie A. Trunow | ||
| /s/ Janet Langford Carrig* | Trustee | /s/ Sandra Yeager* | Trustee |
| Janet Langford Carrig | Sandra Yeager |
| * | By:
Name: |
/s/ Joseph D’Alessandro | |
| Joseph
D’Alessandro** Attorney-in-fact |
|||
| ** | Executed by Joseph D’Alessandro on behalf of Michael G. Clarke pursuant to a Power of Attorney, dated February 1, 2021, on behalf of Joseph Beranek pursuant to a Power of Attorney, dated January 3, 2020, and on behalf of each of the Trustees pursuant to a Trustees Power of Attorney, dated January 1, 2021. | ||
| /s/ George S. Batejan | Trustee | /s/ Nancy T. Lukitsh | Trustee |
| George S. Batejan | Nancy T. Lukitsh | ||
| /s/ Kathleen A. Blatz | Trustee | /s/ David M. Moffett | Trustee |
| Kathleen A. Blatz | David M. Moffett | ||
| /s/ Pamela G. Carlton | Trustee | /s/ Patricia M. Flynn | Trustee |
| Pamela G. Carlton | Patricia M. Flynn | ||
| /s/ Janet L. Carrig | Trustee | /s/ Catherine James Paglia | Trustee |
| Janet L. Carrig | Catherine James Paglia | ||
| /s/ J. Kevin Connaughton | Trustee | /s/ Christopher O. Petersen | Trustee |
| J. Kevin Connaughton | Christopher O. Petersen | ||
| /s/ Olive M. Darragh | Trustee | /s/ Anthony M. Santomero | Trustee |
| Olive M. Darragh | Anthony M. Santomero | ||
| /s/ Patricia M. Flynn | Trustee | /s/ Minor M. Shaw | Trustee |
| Patricia M. Flynn | Minor M. Shaw | ||
| /s/ Brian J. Gallagher | Trustee | /s/ Natalie A. Trunow | Trustee |
| Brian J. Gallagher | Natalie A. Trunow | ||
| /s/ Douglas Hacker | Trustee | /s/ Sandra Yeager | Trustee |
| Douglas Hacker | Sandra Yeager |
| (d)(19)(i) | Amendment No. 1, dated September 9, 2022, to the Amended and Restated Subadvisory Agreement between Columbia Management Investment Advisers, LLC and J.P. Morgan Investment Management Inc., on behalf of Multi-Manager Directional Alternative Strategies Fund, Multi-Manager Growth Strategies Fund and Multi-Manager Small Cap Equity Strategies Fund, dated November 23, 2021 |
AMENDMENT NO. 1
TO THE AMENDED AND RESTATED SUBADVISORY AGREEMENT
This Amendment No. 1 (the “Amendment”), made and entered into as of September 9, 2022, is made a part of the Amended and Restated Subadvisory Agreement between Columbia Management Investment Advisers, LLC, a Minnesota limited liability company (“Investment Manager”) and J.P. Morgan Investment Management Inc., a Delaware corporation (“Subadviser”), dated November 23, 2021 (the “Agreement”).
WHEREAS, Investment Manager desires to retain Subadviser to provide investment advisory services to an additional mutual fund, Multi-Manager Growth Strategies Fund, and Subadviser is willing to render such investment advisory services; and
WHEREAS, Investment Manager and Subadviser desire to amend the Agreement, including Schedule A thereto, to add, effective October 3, 2022, Multi-Manager Growth Strategies Fund as a “Fund” covered by the Agreement.
NOW, THEREFORE, the parties, intending to be legally bound, agree as follows:
| 1. | Inclusion of additional Fund. All references to the “Fund” in the Agreement shall mean, and it hereby does mean, each “Fund” identified on the amended Schedule A attached to this Amendment. |
Schedule A. Schedule A to the Agreement shall be, and hereby is, deleted and replaced with the Schedule A attached hereto.
| 2. | Duration and Termination. Section 9(a) shall be, and hereby is, deleted and replaced with the following: |
“Unless sooner terminated as provided herein, this Agreement, with respect to each Fund (except with respect to the Multi-Manager Directional Alternative Strategies Fund and the Multi-Manager Growth Strategies Fund) identified on Schedule A (as amended from time to time), shall continue from the date of its execution only so long as such continuance is specifically approved at least annually in conformity with the requirements of the 1940 Act and, if applicable, any guidance provided or relief granted by the SEC. With respect to the Multi-Manager Directional Alternative Strategies Fund and the Multi-Manager Growth Strategies Fund, unless sooner terminated as provided herein, this Agreement shall
continue for an initial two years from the effective date as stated on Schedule A. Thereafter, if not terminated with respect to a Fund, this Agreement shall continue automatically for successive periods of 12 months each, provided that such continuance is specifically approved at least annually (i) by a vote of a majority of the Board members who are not parties to this Agreement or interested persons (as defined in the 1940 Act) of any such party, and (ii) by the Board or by a vote of the holders of a majority of the outstanding voting securities (as defined in the 1940 Act) of the Fund.
| 3. | Notices. Section 13 to the Agreement shall be, and hereby is, amended by deleting the addresses for Subadviser and Investment Manager and replacing them with the following: |
Subadviser:
Ana Brands
Vice President, Client Account Manager
J.P. Morgan Investment Management, Inc.
277 Park Avenue
New York, NY 10172
Ph: (212) 622-4458
Email: ana.m.brands@jpmorgan.com
Investment Manager:
David Weiss
Global Head of Multi-Manager Solutions
Ameriprise Financial, Inc.
290 Congress Street
Boston, MA 02210
Tel: (617) 385-9606
Email: David.Weiss@columbiathreadneedle.com
with a copy to:
Ryan C. Larrenaga
Vice President and Chief Counsel
Ameriprise Financial, Inc.
290 Congress Street
Boston, MA 02210
Tel: (617) 385-9536
Email: RYAN.C.LARRENAGA@columbiathreadneedle.com
| 4. | Miscellaneous. Capitalized terms not otherwise defined herein shall have the meanings set forth in the Agreement. This Amendment may be executed in counterparts, each of which will be deemed an original and all of which together will be deemed to be one and the same agreement. As modified herein, the Agreement is confirmed and remains in full force and effect. |
[REMAINDER OF THIS PAGE HAS BEEN LEFT BLANK INTENTIONALLY]
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by their officers designated below as of the day and year first above written.
| Columbia Management Investment Advisers, LLC | J.P. Morgan Investment Management Inc. | |||||||
| By: |
/s/ David Weiss | By: |
/s/ Ana Brands | |||||
| Signature | Signature | |||||||
| Name: |
David Weiss | Name: | Ana Brands | |||||
| Printed | Printed | |||||||
| Title: |
Assistant Secretary | Title: |
Vice President | |||||
AMENDMENT NO. 1
TO THE AMENDED AND RESTATED SUBADVISORY AGREEMENT
[REDACTED DATA]