Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (n-q)
2012年11月28日 - 5:53AM
Edgar (US Regulatory)
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OMB APPROVAL
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OMB Number:
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3235-0578
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Expires:
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April 30, 2013
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UNITED STATES
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Estimated average burden hours per response. . . . . . . . . . . . . . 5.6
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SECURITIES AND EXCHANGE COMMISSION
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Washington, D.C. 20549
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FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number
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811-04367
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Columbia Funds Series Trust I
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(Exact name of registrant as specified in charter)
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225 Franklin Street, Boston, Massachusetts
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02110
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(Address of principal executive offices)
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(Zip code)
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Scott R. Plummer
5228 Ameriprise Financial Center
Minneapolis, MN 55474
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(Name and address of agent for service)
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Registrants telephone number, including area code:
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1-612-671-1947
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Date of fiscal year end:
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December 31
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Date of reporting period:
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September 30, 2012
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Item 1. Schedule of Investments.
Portfolio of Investments
Columbia Real Estate Equity Fund
September 30, 2012 (Unaudited)
(Percentages represent value of investments compared to net assets)
Issuer
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Shares
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Value
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Common Stocks 98.2%
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FINANCIALS 98.2%
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Real Estate Investment Trusts (REITs) 98.2%
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American Campus Communities, Inc.
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306,889
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$
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13,466,289
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AvalonBay Communities, Inc.
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172,579
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23,469,018
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Boston Properties, Inc. (a)
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358,154
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39,615,414
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CBL & Associates Properties, Inc. (a)
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656,244
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14,004,247
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Coresite Realty Corp. (a)
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237,100
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6,387,474
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Corporate Office Properties Trust
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247,100
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5,922,987
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CubeSmart (a)
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1,294,570
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16,661,116
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DDR Corp. (a)
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1,355,672
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20,823,122
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DiamondRock Hospitality Co.
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660,126
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6,357,013
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Digital Realty Trust, Inc. (a)
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89,057
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6,220,632
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Douglas Emmett, Inc. (a)
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418,500
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9,654,795
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Duke Realty Corp.
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627,900
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9,230,130
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DuPont Fabros Technology, Inc. (a)
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492,700
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12,440,675
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EastGroup Properties, Inc.
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161,290
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8,580,628
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Education Realty Trust, Inc.
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333,500
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3,635,150
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Equity Residential
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536,074
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30,840,337
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Extra Space Storage, Inc.
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27,600
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917,700
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Federal Realty Investment Trust (a)
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116,200
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12,235,860
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First Industrial Realty Trust, Inc. (b)
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166,600
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2,189,124
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General Growth Properties, Inc.
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505,900
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9,854,932
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Glimcher Realty Trust
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1,118,200
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11,819,374
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HCP, Inc.
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482,809
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21,475,344
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Highwoods Properties, Inc. (a)
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199,400
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6,504,428
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Home Properties, Inc. (a)
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339,600
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20,807,292
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Host Hotels & Resorts, Inc. (a)
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824,356
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13,230,914
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Kimco Realty Corp. (a)
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277,100
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5,616,817
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LaSalle Hotel Properties (a)
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286,435
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7,644,950
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Lexington Realty Trust (a)
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290,284
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2,804,143
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National Retail Properties, Inc. (a)
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454,000
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13,847,000
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Omega Healthcare Investors, Inc. (a)
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158,800
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3,609,524
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Post Properties, Inc.
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413,678
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19,839,997
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ProLogis, Inc. (a)
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836,469
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29,301,509
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Public Storage
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116,359
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16,193,682
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Simon Property Group, Inc.
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527,554
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80,087,973
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SL Green Realty Corp. (a)
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162,278
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12,993,600
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Sovran Self Storage, Inc.
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30,200
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1,747,070
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Strategic Hotels & Resorts, Inc. (a)(b)
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538,200
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3,234,582
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Sunstone Hotel Investors, Inc. (b)
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529,500
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5,824,500
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Tanger Factory Outlet Centers (a)
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238,400
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7,707,472
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Ventas, Inc.
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805,274
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50,128,307
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Weingarten Realty Investors (a)
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428,302
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12,039,569
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Total
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598,964,690
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TOTAL FINANCIALS
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598,964,690
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Total Common Stocks
(Cost: $457,342,547)
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$
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598,964,690
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Shares
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Value
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Money Market Funds 1.1%
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Columbia Short-Term Cash Fund,
0.151% (c)(d)
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6,856,438
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$
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6,856,438
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Total Money Market Funds
(Cost: $6,856,438)
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$
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6,856,438
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Issuer
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Effective
Yield
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Par/
Principal/
Shares
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Value
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Investments of Cash Collateral Received for Securities on Loan 23.7%
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Asset-Backed Commercial Paper 2.1%
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Suncorp Metway Ltd.
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10/09/12
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0.450%
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4,996,062
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$
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4,996,062
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Surrey Funding Corp.
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10/03/12
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0.290%
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4,997,503
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4,997,503
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Working Capital Management Co. LP
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10/10/12
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0.240%
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2,720,474
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2,720,474
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Total
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12,714,039
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Certificates of Deposit 7.9%
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DZ Bank AG
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10/29/12
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0.380%
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3,000,000
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3,000,000
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12/06/12
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0.330%
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3,000,000
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3,000,000
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Development Bank of Singapore Ltd.
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10/09/12
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0.250%
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6,000,000
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6,000,000
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Landesbank Hessen Thuringen
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12/06/12
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0.480%
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5,000,000
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5,000,000
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N.V. Bank Nederlandse Gemeenten
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10/04/12
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0.240%
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5,000,000
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5,000,000
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National Bank of Canada
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11/09/12
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0.287%
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3,000,000
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3,000,000
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Norinchukin Bank
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11/09/12
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0.508%
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4,000,000
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4,000,000
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Skandinaviska Enskilda Banken
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10/31/12
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0.350%
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5,000,000
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5,000,000
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Standard Chartered Bank PLC
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10/05/12
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0.630%
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2,990,423
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2,990,423
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Sumitomo Mitsui Banking Corp.
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10/24/12
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0.330%
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5,000,000
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5,000,000
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United Overseas Bank Ltd.
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10/10/12
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0.240%
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6,000,000
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6,000,000
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Total
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47,990,423
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Commercial Paper 4.2%
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Bank of New Zealand
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11/02/12
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0.350%
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3,000,000
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3,000,000
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Foreningsparbanken (Swedbank)
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11/05/12
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0.340%
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4,995,514
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4,995,514
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Issuer
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Effective
Yield
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Par/
Principal/
Shares
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Value
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Investments of Cash Collateral Received for Securities on Loan (continued)
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Commercial Paper (continued)
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HSBC, Inc.
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11/20/12
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0.300%
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$
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4,996,250
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$
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4,996,250
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PB Capital Corp.
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10/29/12
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0.701%
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3,995,333
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3,995,333
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Rabobank
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03/07/13
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0.431%
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3,991,687
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3,991,687
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Societe Generale
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10/01/12
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0.180%
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4,999,925
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4,999,925
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Total
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25,978,709
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Repurchase Agreements 9.5%
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Mizuho Securities USA, Inc.
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dated 09/28/12, matures 10/01/12,
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repurchase price $10,000,250 (e)
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0.300%
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10,000,000
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10,000,000
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Issuer
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Effective
Yield
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Par/
Principal/
Shares
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Value
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Investments of Cash Collateral Received for Securities on Loan (continued)
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Repurchase Agreements (continued)
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Natixis Financial Products, Inc.
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dated 09/28/12, matures 10/01/12,
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repurchase price $5,000,146 (e)
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0.350%
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$
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5,000,000
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$
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5,000,000
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Nomura Securities
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dated 09/28/12, matures 10/01/12
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repurchase price $25,000,625 (e)
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0.300%
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25,000,000
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25,000,000
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Pershing LLC
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dated 09/28/12, matures 10/01/12
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repurchase price $6,000,125 (e)
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0.250%
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6,000,000
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6,000,000
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Royal Bank of Canada
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dated 09/28/12, matures 10/01/12,
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repurchase price $12,008,030 (e)
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0.200%
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12,007,830
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12,007,830
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Total
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58,007,830
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Total Investments of Cash Collateral Received for
Securities on Loan
(Cost: $144,691,001)
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$
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144,691,001
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Total Investments
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(Cost: $608,889,986) (f)
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$
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750,512,129(g)
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Other Assets & Liabilities, Net
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(140,568,011)
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Net Assets
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$
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609,944,118
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Notes to Portfolio of Investments
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(a)
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At September 30, 2012, security was partially or fully on loan.
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(b)
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Non-income producing.
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(c)
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The rate shown is the seven-day current annualized yield at September 30, 2012.
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(d)
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As defined in the Investment Company Act of 1940, an affiliated company is one in which the Fund owns 5% or more of its outstanding voting securities, or a company which is under common ownership or control with the Fund. Holdings and transactions in these affiliated companies during the period ended September 30, 2012, are as follows:
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Issuer
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Beginning
Cost ($)
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Purchase Cost
($)
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Proceeds from
Sales ($)
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Realized
Gain/
Loss ($)
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Ending
Cost ($)
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Capital Gain
Distributions
($)
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Dividends
or Interest
Income ($)
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Value ($)
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Columbia Short-Term Cash Fund
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153,606
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131,183,801
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(124,480,969
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6,856,438
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3,551
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6,856,438
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(e)
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The following table represents securities received as collateral for repurchase agreements. This collateral is deposited with the Funds custodian and, pursuant to the terms of the repurchase agreement, must have an aggregate value greater than or equal to the repurchase price plus accrued interest at all times. The value of securities and/or cash held as collateral for repurchase agreements is monitored on a daily basis to ensure the proper level of collateral.
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Mizuho Securities USA, Inc. (0.300%)
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Security Description
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Value ($)
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Fannie Mae REMICS
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1,083,938
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Federal Farm Credit Banks
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523,985
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Freddie Mac REMICS
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1,539,402
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Ginnie Mae I Pool
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5,448
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United States Treasury Note/Bond
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7,047,227
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Total Market Value of Collateral Securities
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10,200,000
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Natixis Financial Products, Inc. (0.350%)
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Security Description
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Value ($)
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Fannie Mae Pool
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282,335
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Fannie Mae REMICS
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1,216,650
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Fannie Mae-Aces
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12,659
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Freddie Mac Reference REMIC
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19
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Freddie Mac REMICS
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1,331,654
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Government National Mortgage Association
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2,256,832
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Total Market Value of Collateral Securities
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5,100,149
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Nomura Securities (0.300%)
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Security Description
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Value ($)
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Fannie Mae Pool
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1,953,557
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Freddie Mac Gold Pool
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1,266,534
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Ginnie Mae I Pool
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4,808,729
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Ginnie Mae II Pool
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17,471,180
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Total Market Value of Collateral Securities
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25,500,000
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Pershing LLC (0.250%)
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Security Description
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Value ($)
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Fannie Mae Pool
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784,584
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Fannie Mae REMICS
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1,215,941
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Federal Home Loan Banks
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225,671
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Freddie Mac Gold Pool
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565,213
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Freddie Mac Non Gold Pool
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253,108
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Freddie Mac REMICS
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414,364
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Ginnie Mae I Pool
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479,096
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Ginnie Mae II Pool
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783,293
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Government National Mortgage Association
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1,398,730
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Total Market Value of Collateral Securities
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6,120,000
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Royal Bank of Canada (0.200%)
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Security Description
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Value ($)
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United States Treasury Inflation Indexed Bonds
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12,247,988
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Total Market Value of Collateral Securities
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12,247,988
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(f)
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At September 30, 2012, the cost of securities for federal income tax purposes was approximately $608,890,000 and the approximate aggregate gross unrealized appreciation and depreciation based on that cost was:
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Unrealized Appreciation
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$
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142,709,000
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Unrealized Depreciation
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(1,087,000
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)
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Net Unrealized Appreciation
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$
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141,622,000
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(g)
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Investments are valued using policies described in the notes to financial statements in the most recent shareholder report.
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Generally accepted accounting principles (GAAP) require disclosure regarding the inputs and valuation techniques used to measure fair value and any changes in valuation inputs or techniques. In addition, investments shall be disclosed by major category.
The Fund categorizes its fair value measurements according to a three-level hierarchy that maximizes the use of observable inputs and minimizes the use of unobservable inputs by prioritizing that the most observable input be used when available. Observable inputs are those that market participants would use in pricing an investment based on market data obtained from sources independent of the reporting entity. Unobservable inputs are those that reflect the Funds assumptions about the information market participants would use in pricing an investment. An investments level within the fair value hierarchy is based on the lowest level of any input that is deemed significant to the asset or liabilitys fair value measurement. The input levels are not necessarily an indication of the risk or liquidity associated with investments at that level. For example, certain U.S. government securities are generally high quality and liquid, however, they are reflected as Level 2 because the inputs used to determine fair value may not always be quoted prices in an active market.
Fair value inputs are summarized in the three broad levels listed below:
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Level 1 - Valuations based on quoted prices for investments in active markets that the Fund has the ability to access at the measurement date (including NAV for open-end mutual funds). Valuation adjustments are not applied to Level 1 investments.
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·
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Level 2 Valuations based on other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risks, etc.).
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·
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Level 3 Valuations based on significant unobservable inputs (including the Funds own assumptions and judgment in determining the fair value of investments).
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Inputs that are used in determining fair value of an investment may include price information, credit data, volatility statistics, and other factors. These inputs can be either observable or unobservable. The availability of observable inputs can vary between investments, and is affected by various factors such as the type of investment, and the volume and level of activity for that investment or similar investments in the marketplace. The inputs will be considered by the Investment Manager, along with any other relevant factors in the calculation of an investments fair value. The Fund uses prices and inputs that are current as of the measurement date, which may include periods of market dislocations. During these periods, the availability of prices and inputs may be reduced for many investments. This condition could cause an investment to be reclassified between the various levels within the hierarchy.
Investments falling into the Level 3 category are primarily supported by quoted prices from brokers and dealers participating in the market for those investments. However, these may be classified as Level 3 investments due to lack of market transparency and corroboration to support these quoted prices. Additionally, valuation models may be used as the pricing source for any remaining investments classified as Level 3. These models rely on one or more significant unobservable inputs and/or significant assumptions by the Investment Manager. Inputs used in valuations may include, but are not limited to, financial statement analysis, capital account balances, discount rates and estimated cash flows, and comparable company data.
Under the direction of the Funds Board of Trustees (the Board), the Investment Managers Valuation Committee (the Committee) is responsible for carrying out the valuation procedures approved by the Board. The Committee consists of voting and non-voting members from various groups within the Investment Managers organization, including operations and accounting, trading and investments, compliance, risk management and legal.
The Committee meets at least monthly to review and approve valuation matters, which may include a description of specific valuation determinations, data regarding pricing information received from approved pricing vendors and brokers and the results of Board-approved valuation control policies and procedures (the Policies). The Policies address, among other things, instances when market quotations are readily available, including recommendations of third party pricing vendors and a determination of appropriate pricing methodologies; events that require specific valuation determinations and assessment of fair value techniques; securities with a potential for stale pricing, including those that are illiquid, restricted, or in default; and the effectiveness of third-party pricing vendors, including periodic reviews of vendors. The Committee meets more frequently, as needed, to discuss additional valuation matters, which may include the need to review back-testing results, review time-sensitive information or approve related valuation actions. The Committee reports to the Board, with members of the Committee meeting with the Board at each of its regularly scheduled meetings to discuss valuation matters and actions during the period, similar to those described earlier.
For investments categorized as Level 3, the Committee monitors information similar to that described above, which may include: (i) data specific to the issuer or comparable issuers, (ii) general market or specific sector news and (iii) quoted prices and specific or similar security transactions. The Committee considers this data and any changes from prior periods in order to assess the reasonableness of observable and unobservable inputs, any assumptions or internal models used to value those securities and changes in fair value. This data is also used to corroborate, when available, information received from approved pricing vendors and brokers. Various factors impact the frequency of monitoring this information (which may occur as often as daily). However, the Committee may determine that changes to inputs, assumptions and models are not required as a result of the monitoring procedures performed.
The following table is a summary of the inputs used to value the Funds investments at September 30, 2012:
Description
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Level 1
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Level 2
|
|
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Level 3
|
|
|
|
|
|
|
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Quoted Prices in
|
|
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Other Significant
|
|
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Significant
|
|
|
|
|
|
|
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Active Markets for
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|
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Observable
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|
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Unobservable
|
|
|
|
|
|
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Identical Assets ($)
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Inputs ($)
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Inputs ($)
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Total ($)
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Equity Securities
|
|
|
|
|
|
|
|
|
|
|
|
|
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Common Stocks
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Financials
|
|
|
598,964,690
|
|
|
|
|
|
|
|
|
598,964,690
|
|
Total Equity Securities
|
|
|
598,964,690
|
|
|
|
|
|
|
|
|
598,964,690
|
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Other
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Money Market Funds
|
|
|
6,856,438
|
|
|
|
|
|
|
|
|
6,856,438
|
|
Investments of Cash Collateral Received for Securities on Loan
|
|
|
|
|
|
144,691,001
|
|
|
|
|
|
144,691,001
|
|
Total Other
|
|
|
6,856,438
|
|
|
144,691,001
|
|
|
|
|
|
151,547,439
|
|
Total
|
|
|
605,821,128
|
|
|
144,691,001
|
|
|
|
|
|
750,512,129
|
|
See the Portfolio of Investments for all investment classifications not indicated in the table.
The Funds assets assigned to the Level 2 input category are generally valued using the market approach, in which a securitys value is determined through reference to prices and information from market transactions for similar or identical assets.
There were no transfers of financial assets between Levels 1 and 2 during the period.
Item 2. Controls and Procedures.
(a)
The registrants principal executive officer and principal financial officers, based on their evaluation of the registrants disclosure controls and procedures as of a date within 90 days of the filing of this report, have concluded that such controls and procedures are adequately designed to ensure that information required to be disclosed by the registrant in Form N-Q is accumulated and communicated to the registrants management, including the principal executive officer and principal financial officer, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure.
(b)
There was no change in the registrants internal control over financial reporting that occurred during the registrants last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrants internal control over financial reporting.
Item 3. Exhibits.
Certifications pursuant to Rule 30a-2(a) under the Investment Company Act of 1940 (17 CFR 270.30a-2(a)) attached hereto as Exhibit 99.CERT.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(registrant)
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Columbia Funds Series Trust I
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By (Signature and Title)
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/s/ J. Kevin Connaughton
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J. Kevin Connaughton, President and Principal Executive Officer
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Date
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November 20, 2012
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|
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|
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Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
By (Signature and Title)
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/s/ J. Kevin Connaughton
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J. Kevin Connaughton, President and Principal Executive Officer
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Date
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November 20, 2012
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|
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By (Signature and Title)
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/s/ Michael G. Clarke
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Michael G. Clarke, Treasurer and Chief Financial Officer
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Date
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November 20, 2012
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Tri Continental (NYSE:TY)
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Tri Continental (NYSE:TY)
過去 株価チャート
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