Form NSAR-A Columbia ETF Trust For: Apr 30
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E-mailPAGE 1 000 A000000 04/30/2016 000 C000000 0001415845 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 COLUMBIA ETF TRUST 001 B000000 811-22154 001 C000000 6173859594 002 A000000 225 Franklin Street 002 B000000 Boston 002 C000000 MA 002 D010000 02110 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 COLUMBIA SELECT LARGE CAP VALUE ETF 007 C030100 Y 007 C010200 2 007 C020200 COLUMBIA LARGE CAP GROWTH ETF 007 C030200 Y 007 C010300 3 007 C020300 COLUMBIA SELECT LARGE CAP GROWTH ETF 007 C030300 Y 007 C010600 6 007 C020600 COLUMBIA INTERMEDIATE MUNICIPAL BOND ETF 007 C030600 N 007 C010700 7 007 C020700 COLUMBIA CORE BOND ETF 007 C030700 N 008 A00AA01 COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC 008 B00AA01 A 008 C00AA01 801-25943 008 D01AA01 BOSTON 008 D02AA01 MA 008 D03AA01 02110 010 A00AA01 THE BANK OF NEW YORK MELLON CORP. 010 B00AA01 333-144261 010 C01AA01 NEW YORK 010 C02AA01 NY 010 C03AA01 10286 011 A00AA01 ALPS DISTRIBUTORS, INC. 011 B00AA01 8-12135040 011 C01AA01 DENVER PAGE 2 011 C02AA01 CO 011 C03AA01 80203 012 A00AA01 THE BANK OF NEW YORK MELLON CORP. 012 B00AA01 85-1139600 012 C01AA01 NEW YORK 012 C02AA01 NY 012 C03AA01 10286 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 RIVERSOURCE DISTRIBUTORS, INC. 014 B00AA01 8-67196 014 A00AA02 AMERIPRISE FINANCIAL SERVICES, INC. 014 B00AA02 8-16791 014 A00AA03 AMERICAN ENTERPRISE INVESTMENT SERVICES, INC. 014 B00AA03 8-42582 014 A00AA04 COLUMBIA MGMT INVESTMENT DISTRIBUTORS, INC. 014 B00AA04 8-25845 015 A00AA01 THE BANK OF NEW YORK MELLON CORP. 015 B00AA01 C 015 C01AA01 NEW YORK 015 C02AA01 NY 015 C03AA01 10286 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 189 019 C00AA00 COLUMBIAFD 020 A000001 Barclays Capital, Inc. 020 B000001 06-1031656 020 C000001 4 020 A000002 Morgan Stanley & Co. Inc. 020 B000002 36-3145972 020 C000002 1 021 000000 5 022 A000001 Wells Fargo Bank N.A. 022 B000001 94-1347393 022 C000001 7051 022 D000001 6307 022 A000002 Morgan Stanley & Co., Inc 022 B000002 13-2655998 022 C000002 1658 022 D000002 2088 022 A000003 JP Morgan Chase & Co. 022 B000003 13-3200244 022 C000003 1670 022 D000003 1654 022 A000004 Goldman Sachs & Co 022 B000004 13-5108880 022 C000004 635 PAGE 3 022 D000004 556 022 A000005 Citigroup, Inc. 022 B000005 52-1568099 022 C000005 617 022 D000005 475 022 A000006 RBC Capital Markets, LLC 022 B000006 41-1228350 022 C000006 180 022 D000006 27 022 A000007 Bank of America Merrill Lynch 022 B000007 13-5674085 022 C000007 125 022 D000007 0 022 A000008 Robert W. Baird & Co., Inc 022 B000008 39-6037917 022 C000008 112 022 D000008 0 022 A000009 TD Securities (USA) LLC 022 B000009 20-1177269 022 C000009 50 022 D000009 0 022 A000010 Susquehanna 022 B000010 23-2666961 022 C000010 45 022 D000010 0 023 C000000 12150 023 D000000 11642 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 034 00AA00 N 035 00AA00 0 036 B00AA00 0 037 00AA00 N 038 00AA00 0 039 00AA00 N 040 00AA00 Y 041 00AA00 N 042 A00AA00 0 042 B00AA00 0 042 C00AA00 0 042 D00AA00 0 042 E00AA00 0 042 F00AA00 0 PAGE 4 042 G00AA00 0 042 H00AA00 0 043 00AA00 0 044 00AA00 0 049 00AA00 N 050 00AA00 N 051 00AA00 N 052 00AA00 N 053 A00AA00 Y 053 B00AA00 Y 053 C00AA00 N 054 A00AA00 Y 054 B00AA00 Y 054 C00AA00 Y 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 Y 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 Y 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 Y 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 ICI Mutual Insurance Company 080 B00AA00 n/a 080 C00AA00 50000 081 A00AA00 Y 081 B00AA00 120 PAGE 5 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 024 000100 N 028 A010100 0 028 A020100 0 028 A030100 0 028 A040100 0 028 B010100 0 028 B020100 0 028 B030100 0 028 B040100 0 028 C010100 0 028 C020100 0 028 C030100 0 028 C040100 5701 028 D010100 0 028 D020100 0 028 D030100 0 028 D040100 0 028 E010100 0 028 E020100 0 028 E030100 0 028 E040100 0 028 F010100 0 028 F020100 0 028 F030100 0 028 F040100 0 028 G010100 0 028 G020100 0 028 G030100 0 028 G040100 5701 028 H000100 0 029 000100 N 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 500000 048 A020100 0.770 048 B010100 500000 048 B020100 0.720 048 C010100 500000 048 C020100 0.670 048 D010100 1500000 048 D020100 0.620 PAGE 6 048 E010100 3000000 048 E020100 0.600 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 6000000 048 K020100 0.580 055 A000100 N 055 B000100 N 056 000100 Y 057 000100 N 058 A000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 0 062 A000100 N 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 0.0 062 Q000100 0.0 062 R000100 0.0 066 A000100 Y 066 B000100 N 066 C000100 Y 066 D000100 N 066 E000100 N 066 F000100 N 066 G000100 N 067 000100 N 068 A000100 N 068 B000100 N PAGE 7 069 000100 N 070 A010100 Y 070 A020100 N 070 B010100 Y 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 Y 070 F020100 N 070 G010100 Y 070 G020100 N 070 H010100 Y 070 H020100 N 070 I010100 Y 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 Y 070 L010100 Y 070 L020100 N 070 M010100 Y 070 M020100 N 070 N010100 Y 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 N 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 0 071 B000100 0 071 C000100 0 071 D000100 0 072 A000100 3 072 B000100 0 072 C000100 35 072 D000100 0 072 E000100 0 072 F000100 12 072 G000100 16 072 H000100 0 072 I000100 3 072 J000100 0 PAGE 8 072 K000100 0 072 L000100 1 072 M000100 1 072 N000100 0 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 6 072 S000100 0 072 T000100 0 072 U000100 0 072 V000100 0 072 W000100 5 072 X000100 44 072 Y000100 32 072 Z000100 23 072AA000100 0 072BB000100 133 072CC010100 0 072CC020100 0 072DD010100 135 072DD020100 0 072EE000100 9 073 A010100 0.8980 073 A020100 0.0000 073 B000100 0.0579 073 C000100 0.0000 074 A000100 0 074 B000100 0 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 0 074 K000100 0 074 L000100 0 074 M000100 0 074 N000100 0 074 O000100 0 074 P000100 0 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 0 074 S000100 0 074 T000100 0 074 U010100 0 PAGE 9 074 U020100 0 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 0 074 Y000100 0 075 A000100 0 075 B000100 6337 076 000100 0.00 024 000200 N 028 A010200 0 028 A020200 0 028 A030200 0 028 A040200 0 028 B010200 0 028 B020200 0 028 B030200 0 028 B040200 0 028 C010200 0 028 C020200 0 028 C030200 0 028 C040200 12302 028 D010200 0 028 D020200 0 028 D030200 0 028 D040200 0 028 E010200 0 028 E020200 0 028 E030200 0 028 E040200 0 028 F010200 0 028 F020200 0 028 F030200 0 028 F040200 0 028 G010200 0 028 G020200 0 028 G030200 0 028 G040200 12302 028 H000200 0 029 000200 N 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.000 048 A010200 500000 048 A020200 0.770 048 B010200 500000 048 B020200 0.720 048 C010200 500000 048 C020200 0.670 048 D010200 1500000 PAGE 10 048 D020200 0.620 048 E010200 3000000 048 E020200 0.600 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 6000000 048 K020200 0.580 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 0 062 A000200 N 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 0.0 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 066 A000200 Y 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N 067 000200 N 068 A000200 N PAGE 11 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 N 070 B010200 Y 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 Y 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 Y 070 L020200 N 070 M010200 Y 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 N 070 R020200 N 071 A000200 0 071 B000200 0 071 C000200 0 071 D000200 0 072 A000200 3 072 B000200 0 072 C000200 83 072 D000200 0 072 E000200 0 072 F000200 26 072 G000200 15 072 H000200 0 072 I000200 3 PAGE 12 072 J000200 2 072 K000200 0 072 L000200 0 072 M000200 1 072 N000200 0 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 6 072 S000200 0 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 7 072 X000200 60 072 Y000200 32 072 Z000200 55 072AA000200 0 072BB000200 748 072CC010200 0 072CC020200 0 072DD010200 32 072DD020200 0 072EE000200 162 073 A010200 0.1053 073 A020200 0.0000 073 B000200 0.5403 073 C000200 0.0000 074 A000200 0 074 B000200 0 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 0 074 K000200 0 074 L000200 0 074 M000200 0 074 N000200 0 074 O000200 0 074 P000200 0 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 0 074 S000200 0 074 T000200 0 PAGE 13 074 U010200 0 074 U020200 0 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 0 074 Y000200 0 075 A000200 0 075 B000200 13618 076 000200 0.00 024 000300 N 028 A010300 0 028 A020300 0 028 A030300 0 028 A040300 0 028 B010300 0 028 B020300 0 028 B030300 0 028 B040300 0 028 C010300 0 028 C020300 0 028 C030300 0 028 C040300 5805 028 D010300 0 028 D020300 0 028 D030300 0 028 D040300 0 028 E010300 0 028 E020300 0 028 E030300 0 028 E040300 0 028 F010300 0 028 F020300 0 028 F030300 0 028 F040300 0 028 G010300 0 028 G020300 0 028 G030300 0 028 G040300 5805 028 H000300 0 029 000300 N 045 000300 Y 046 000300 N 047 000300 Y 048 000300 0.000 048 A010300 500000 048 A020300 0.770 048 B010300 500000 048 B020300 0.720 048 C010300 500000 048 C020300 0.670 PAGE 14 048 D010300 1500000 048 D020300 0.620 048 E010300 3000000 048 E020300 0.600 048 F010300 0 048 F020300 0.000 048 G010300 0 048 G020300 0.000 048 H010300 0 048 H020300 0.000 048 I010300 0 048 I020300 0.000 048 J010300 0 048 J020300 0.000 048 K010300 6000000 048 K020300 0.580 055 A000300 N 055 B000300 N 056 000300 Y 057 000300 N 058 A000300 N 059 000300 Y 060 A000300 Y 060 B000300 Y 061 000300 0 062 A000300 N 062 B000300 0.0 062 C000300 0.0 062 D000300 0.0 062 E000300 0.0 062 F000300 0.0 062 G000300 0.0 062 H000300 0.0 062 I000300 0.0 062 J000300 0.0 062 K000300 0.0 062 L000300 0.0 062 M000300 0.0 062 N000300 0.0 062 O000300 0.0 062 P000300 0.0 062 Q000300 0.0 062 R000300 0.0 066 A000300 Y 066 B000300 N 066 C000300 Y 066 D000300 N 066 E000300 N 066 F000300 N 066 G000300 N 067 000300 N PAGE 15 068 A000300 N 068 B000300 N 069 000300 N 070 A010300 Y 070 A020300 N 070 B010300 Y 070 B020300 N 070 C010300 Y 070 C020300 N 070 D010300 Y 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 Y 070 H020300 N 070 I010300 Y 070 I020300 N 070 J010300 Y 070 J020300 N 070 K010300 Y 070 K020300 Y 070 L010300 Y 070 L020300 N 070 M010300 Y 070 M020300 N 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 N 070 Q010300 N 070 Q020300 N 070 R010300 N 070 R020300 N 071 A000300 0 071 B000300 0 071 C000300 0 071 D000300 0 072 A000300 3 072 B000300 0 072 C000300 5 072 D000300 0 072 E000300 0 072 F000300 13 072 G000300 16 072 H000300 0 PAGE 16 072 I000300 3 072 J000300 0 072 K000300 0 072 L000300 0 072 M000300 1 072 N000300 0 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 6 072 S000300 0 072 T000300 0 072 U000300 0 072 V000300 0 072 W000300 9 072 X000300 48 072 Y000300 35 072 Z000300 -8 072AA000300 0 072BB000300 397 072CC010300 0 072CC020300 0 072DD010300 0 072DD020300 0 072EE000300 203 073 A010300 0.0000 073 A020300 0.0000 073 B000300 1.3563 073 C000300 0.0000 074 A000300 0 074 B000300 0 074 C000300 0 074 D000300 0 074 E000300 0 074 F000300 0 074 G000300 0 074 H000300 0 074 I000300 0 074 J000300 0 074 K000300 0 074 L000300 0 074 M000300 0 074 N000300 0 074 O000300 0 074 P000300 0 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 0 074 S000300 0 PAGE 17 074 T000300 0 074 U010300 0 074 U020300 0 074 V010300 0.00 074 V020300 0.00 074 W000300 0.0000 074 X000300 0 074 Y000300 0 075 A000300 0 075 B000300 6721 076 000300 0.00 024 000600 N 028 A010600 0 028 A020600 0 028 A030600 0 028 A040600 0 028 B010600 0 028 B020600 0 028 B030600 0 028 B040600 0 028 C010600 0 028 C020600 0 028 C030600 0 028 C040600 0 028 D010600 0 028 D020600 0 028 D030600 0 028 D040600 0 028 E010600 0 028 E020600 0 028 E030600 0 028 E040600 0 028 F010600 0 028 F020600 0 028 F030600 0 028 F040600 0 028 G010600 0 028 G020600 0 028 G030600 0 028 G040600 0 028 H000600 0 029 000600 N 045 000600 Y 046 000600 N 047 000600 Y 048 000600 0.000 048 A010600 500000 048 A020600 0.480 048 B010600 500000 048 B020600 0.475 048 C010600 1000000 PAGE 18 048 C020600 0.445 048 D010600 1000000 048 D020600 0.420 048 E010600 3000000 048 E020600 0.385 048 F010600 3000000 048 F020600 0.360 048 G010600 1000000 048 G020600 0.350 048 H010600 2000000 048 H020600 0.340 048 I010600 3000000 048 I020600 0.330 048 J010600 9000000 048 J020600 0.320 048 K010600 50000000 048 K020600 0.290 055 A000600 N 055 B000600 N 056 000600 Y 057 000600 N 058 A000600 N 059 000600 Y 060 A000600 Y 060 B000600 Y 061 000600 0 062 A000600 Y 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 0.0 062 F000600 0.0 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 0.0 062 K000600 0.0 062 L000600 0.0 062 M000600 0.0 062 N000600 0.0 062 O000600 98.6 062 P000600 0.0 062 Q000600 0.0 062 R000600 0.7 063 A000600 0 063 B000600 5.5 064 A000600 N 064 B000600 N 066 A000600 N 066 B000600 066 C000600 PAGE 19 066 D000600 066 E000600 066 F000600 066 G000600 067 000600 N 068 A000600 N 068 B000600 N 069 000600 N 070 A010600 Y 070 A020600 N 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 N 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 N 070 I010600 Y 070 I020600 N 070 J010600 Y 070 J020600 N 070 K010600 Y 070 K020600 Y 070 L010600 Y 070 L020600 N 070 M010600 Y 070 M020600 N 070 N010600 Y 070 N020600 N 070 O010600 Y 070 O020600 N 070 P010600 Y 070 P020600 N 070 Q010600 N 070 Q020600 N 070 R010600 N 070 R020600 N 071 A000600 687 071 B000600 535 071 C000600 5314 071 D000600 10 072 A000600 6 072 B000600 90 072 C000600 0 PAGE 20 072 D000600 0 072 E000600 0 072 F000600 13 072 G000600 36 072 H000600 0 072 I000600 6 072 J000600 1 072 K000600 0 072 L000600 5 072 M000600 6 072 N000600 0 072 O000600 0 072 P000600 0 072 Q000600 0 072 R000600 6 072 S000600 0 072 T000600 0 072 U000600 0 072 V000600 0 072 W000600 21 072 X000600 94 072 Y000600 83 072 Z000600 79 072AA000600 3 072BB000600 0 072CC010600 87 072CC020600 0 072DD010600 75 072DD020600 0 072EE000600 0 073 A010600 0.7533 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 074 A000600 0 074 B000600 0 074 C000600 0 074 D000600 5349 074 E000600 0 074 F000600 0 074 G000600 0 074 H000600 0 074 I000600 39 074 J000600 0 074 K000600 16 074 L000600 67 074 M000600 6 074 N000600 5477 074 O000600 0 074 P000600 15 074 Q000600 0 PAGE 21 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 36 074 S000600 0 074 T000600 5426 074 U010600 100 074 U020600 0 074 V010600 54.25 074 V020600 0.00 074 W000600 0.0000 074 X000600 134 074 Y000600 0 075 A000600 0 075 B000600 5377 076 000600 0.00 024 000700 Y 025 A000701 Goldman Sachs & Co. 025 B000701 13-5108880 025 C000701 D 025 D000701 45 025 A000702 Citigroup, Inc. 025 B000702 52-1568099 025 C000702 D 025 D000702 38 025 A000703 JP Morgan Chase & Co. 025 B000703 13-3224016 025 C000703 D 025 D000703 34 025 A000704 Morgan Stanley & Co. 025 B000704 13-2655998 025 C000704 D 025 D000704 10 025 A000705 Bank of America 025 B000705 13-4078651 025 C000705 D 025 D000705 52 025 A000706 Deutchse Bank Securities Corp. 025 B000706 13-2730828 025 C000706 D 025 D000706 50 028 A010700 0 028 A020700 0 028 A030700 0 028 A040700 0 028 B010700 0 028 B020700 0 028 B030700 0 028 B040700 0 028 C010700 0 028 C020700 0 PAGE 22 028 C030700 0 028 C040700 0 028 D010700 0 028 D020700 0 028 D030700 0 028 D040700 0 028 E010700 0 028 E020700 0 028 E030700 0 028 E040700 0 028 F010700 0 028 F020700 0 028 F030700 0 028 F040700 0 028 G010700 0 028 G020700 0 028 G030700 0 028 G040700 0 028 H000700 0 029 000700 N 045 000700 Y 046 000700 N 047 000700 Y 048 000700 0.000 048 A010700 500000 048 A020700 0.500 048 B010700 500000 048 B020700 0.495 048 C010700 1000000 048 C020700 0.480 048 D010700 1000000 048 D020700 0.460 048 E010700 3000000 048 E020700 0.450 048 F010700 1500000 048 F020700 0.430 048 G010700 1500000 048 G020700 0.415 048 H010700 1000000 048 H020700 0.410 048 I010700 2000000 048 I020700 0.400 048 J010700 8000000 048 J020700 0.390 048 K010700 50000000 048 K020700 0.340 055 A000700 N 055 B000700 N 056 000700 Y 057 000700 N 058 A000700 N PAGE 23 059 000700 Y 060 A000700 Y 060 B000700 Y 061 000700 0 062 A000700 Y 062 B000700 0.0 062 C000700 0.0 062 D000700 0.0 062 E000700 0.0 062 F000700 0.0 062 G000700 0.0 062 H000700 0.0 062 I000700 0.0 062 J000700 0.0 062 K000700 0.0 062 L000700 0.0 062 M000700 29.8 062 N000700 30.2 062 O000700 1.3 062 P000700 34.9 062 Q000700 0.5 062 R000700 22.7 063 A000700 0 063 B000700 11.1 064 A000700 N 064 B000700 N 066 A000700 N 066 B000700 066 C000700 066 D000700 066 E000700 066 F000700 066 G000700 067 000700 N 068 A000700 N 068 B000700 N 069 000700 N 070 A010700 Y 070 A020700 N 070 B010700 Y 070 B020700 N 070 C010700 Y 070 C020700 N 070 D010700 Y 070 D020700 N 070 E010700 Y 070 E020700 N 070 F010700 Y 070 F020700 N 070 G010700 Y 070 G020700 N PAGE 24 070 H010700 Y 070 H020700 N 070 I010700 Y 070 I020700 N 070 J010700 Y 070 J020700 N 070 K010700 Y 070 K020700 Y 070 L010700 Y 070 L020700 N 070 M010700 Y 070 M020700 N 070 N010700 Y 070 N020700 N 070 O010700 Y 070 O020700 N 070 P010700 Y 070 P020700 N 070 Q010700 N 070 Q020700 N 070 R010700 N 070 R020700 N 071 A000700 11493 071 B000700 11491 071 C000700 7457 071 D000700 154 072 A000700 6 072 B000700 81 072 C000700 0 072 D000700 0 072 E000700 0 072 F000700 19 072 G000700 35 072 H000700 0 072 I000700 6 072 J000700 4 072 K000700 0 072 L000700 6 072 M000700 6 072 N000700 0 072 O000700 0 072 P000700 0 072 Q000700 0 072 R000700 7 072 S000700 0 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 32 072 X000700 115 072 Y000700 97 PAGE 25 072 Z000700 63 072AA000700 29 072BB000700 0 072CC010700 149 072CC020700 0 072DD010700 63 072DD020700 0 072EE000700 42 073 A010700 0.4165 073 A020700 0.0000 073 B000700 0.2810 073 C000700 0.0000 074 A000700 0 074 B000700 0 074 C000700 0 074 D000700 7593 074 E000700 0 074 F000700 0 074 G000700 0 074 H000700 0 074 I000700 1786 074 J000700 0 074 K000700 18 074 L000700 50 074 M000700 6 074 N000700 9453 074 O000700 1542 074 P000700 16 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 42 074 S000700 0 074 T000700 7853 074 U010700 150 074 U020700 0 074 V010700 52.35 074 V020700 0.00 074 W000700 0.0000 074 X000700 169 074 Y000700 0 075 A000700 0 075 B000700 7696 076 000700 0.00 SIGNATURE Michael G. Clarke TITLE Treasurer
77E. Information Regarding Pending and Settled Legal Proceedings In December 2005, without admitting or denying the allegations, American Express Financial Corporation (AEFC, which is now known as Ameriprise Financial, Inc. (Ameriprise Financial)), entered into settlement agreements with the Securities and Exchange Commission (SEC) and Minnesota Department of Commerce (MDOC) related to market timing activities. As a result, AEFC was censured and ordered to cease and desist from committing or causing any violations of certain provisions of the Investment Advisers Act of 1940, the 1940 Act, and various Minnesota laws. AEFC agreed to pay disgorgement of $10 million and civil money penalties of $7 million. AEFC also agreed to retain an independent distribution consultant to assist in developing a plan for distribution of all disgorgement and civil penalties ordered by the SEC in accordance with various undertakings detailed at http://www.sec.gov/litigation/admin/ia-2451.pdf. Ameriprise Financial and its affiliates have cooperated with the SEC and the MDOC in these legal proceedings, and have made regular reports to the Funds' Board of Trustees. Ameriprise Financial and certain of its affiliates have historically been involved in a number of legal, arbitration and regulatory proceedings, including routine litigation, class actions, and governmental actions, concerning matters arising in connection with the conduct of their business activities. Ameriprise Financial believes that the Funds are not currently the subject of, and that neither Ameriprise Financial nor any of its affiliates are the subject of, any pending legal, arbitration or regulatory proceedings that are likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds. Ameriprise Financial is required to make quarterly (10-Q), annual (10-K) and, as necessary, 8-K filings with the Securities and Exchange Commission on legal and regulatory matters that relate to Ameriprise Financial and its affiliates. Copies of these filings may be obtained by accessing the SEC website at www.sec.gov. There can be no assurance that these matters, or the adverse publicity associated with them, will not result in increased fund redemptions, reduced sale of fund shares or other adverse consequences to the Funds. Further, although we believe proceedings are not likely to have a material adverse effect on the Funds or the ability of Ameriprise Financial or its affiliates to perform under their contracts with the Funds, these proceedings are subject to uncertainties and, as such, we are unable to estimate the possible loss or range of loss that may result. An adverse outcome in one or more of these proceedings could result in adverse judgments, settlements, fines, penalties or other relief that could have a material adverse effect on the consolidated financial condition or results of operations of Ameriprise Financial.
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