As filed with the Securities and Exchange Commission on October 31, 2022.
Registration Nos. 333-146374
811-22127
811-22127
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
Form N-1A
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 | ☒ |
Pre-Effective Amendment No. | ☐ |
Post-Effective Amendment No. 85 | ☒ |
and/or
REGISTRATION STATEMENT
UNDER
THE INVESTMENT COMPANY ACT OF 1940 | ☒ |
Amendment No. 86 | ☒ |
(Check Appropriate Box or Boxes)
COLUMBIA FUNDS VARIABLE SERIES TRUST II
(Exact Name of Registrant as Specified in Charter)
290 Congress Street, Boston, Massachusetts 02210
(Address of Principal Executive Offices) (Zip Code)
Registrant’s Telephone Number, Including Area Code: (800) 345-6611
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 |
(Name and Address of Agents for Service)
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d).
This Post-Effective Amendment relates to all series of the Registrant.
EXPLANATORY NOTE
This Post-Effective Amendment No. 85 to the Registration Statement on Form N-1A (File No. 333-146374) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended (the “Securities Act”), solely for the purpose of adding exhibits to such Registration Statement. Accordingly, this Post-Effective Amendment No. 85 consists only of a facing page, this explanatory note, and Part C of the Registration Statement on Form N-1A. This Post-Effective Amendment No. 85 does not change the form of any prospectus or Statement of Additional Information included in post-effective amendments previously filed with the Securities and Exchange Commission (the “SEC”). As permitted by Rule 462(d), this Post-Effective Amendment No. 85 shall become effective upon filing with the SEC.
PART C. OTHER INFORMATION
Item 28. Exhibits
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) | Amendment No. 1 to the Agreement and Declaration of Trust effective September 11, 2007 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Registration Statement on Form N-1A | (a)(1) | 9/28/2007 |
(a)(2) | Amendment No. 2 to the Agreement and Declaration of Trust effective April 9, 2008 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #2 on Form N-1A | (a)(2) | 4/21/2008 |
(a)(3) | Amendment No. 3 to the Agreement and Declaration of Trust effective January 8, 2009 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #5 on Form N-1A | (a)(3) | 4/29/2009 |
(a)(4) | Amendment No. 4 to the Agreement and Declaration of Trust effective January 14, 2010 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #8 on Form N-1A | (a)(4) | 4/14/2010 |
(a)(5) | Amendment No. 5 to the Agreement and Declaration of Trust effective April 6, 2010 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #9 on Form N-1A | (a)(5) | 4/30/2010 |
(a)(6) | Amendment No. 6 to the Agreement and Declaration of Trust effective November 11, 2010 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #15 on Form N-1A | (a)(6) | 4/29/2011 |
(a)(7) | Amendment No. 7 to the Agreement and Declaration of Trust effective January 13, 2011 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #15 on Form N-1A | (a)(7) | 4/29/2011 |
(a)(8) | Amendment No. 8 to the Agreement and Declaration of Trust effective September 15, 2011 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #20 on Form N-1A | (a)(8) | 3/2/2012 |
(a)(9) | Amendment No. 9 to the Agreement and Declaration of Trust effective January 12, 2012 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #20 on Form N-1A | (a)(9) | 3/2/2012 |
(a)(10) | Amendment No. 10 to the Agreement and Declaration of Trust effective June 14, 2012 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #31 on Form N-1A | (a)(10) | 4/26/2013 |
(a)(11) | Amendment No. 11 to the Agreement and Declaration of Trust effective September 13, 2012 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #31 on Form N-1A | (a)(11) | 4/26/2013 |
(a)(12) | Amendment No. 12 to the Agreement and Declaration of Trust effective January 16, 2013 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #31 on Form N-1A | (a)(12) | 4/26/2013 |
(a)(13) | Amendment No. 13 to the Agreement and Declaration of Trust effective April 17, 2013 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #31 on Form N-1A | (a)(13) | 4/26/2013 |
(a)(14) | Amendment No. 14 to the Agreement and Declaration of Trust effective April 11, 2014 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #38 on Form N-1A | (a)(14) | 4/29/2014 |
(a)(15) | Amendment No. 15 to the Agreement and Declaration of Trust effective April 14, 2015 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #46 on Form N-1A | (a)(15) | 5/15/2015 |
(a)(16) | Amendment No. 16 to the Agreement and Declaration of Trust effective April 19, 2016 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #50 on Form N-1A | (a)(16) | 4/28/2016 |
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)(17) | Amendment No. 17 to the Agreement and Declaration of Trust effective November 14, 2016 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #54 on Form N-1A | (a)(17) | 2/17/2017 |
(a)(18) | Amendment No. 18 to the Agreement and Declaration of Trust effective April 21, 2017 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #55 on Form N-1A | (a)(18) | 4/27/2017 |
(a)(19) | Amendment No. 19 to the Agreement and Declaration of Trust effective November 14, 2017 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #59 on Form N-1A | (a)(19) | 12/19/2017 |
(a)(20) | Amendment No. 20 to the Agreement and Declaration of Trust effective December 19, 2017 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #61 on Form N-1A | (a)(20) | 2/21/2018 |
(a)(21) | Amendment No. 21 to the Agreement and Declaration of Trust effective May 1, 2018 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #66 on Form N-1A | (a)(21) | 12/7/2018 |
(a)(22) | Amendment No. 22 to the Agreement and Declaration of Trust effective September 13, 2018 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #66 on Form N-1A | (a)(22) | 12/7/2018 |
(a)(23) | Amendment No. 23 to the Agreement and Declaration of Trust effective January 31, 2019 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #68 on Form N-1A | (a)(23) | 4/26/2019 |
(a)(24) | Amendment No. 24 to the Agreement and Declaration of Trust effective June 19, 2019 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #71 on Form N-1A | (a)(24) | 4/28/2020 |
(a)(25) | Amendment No. 25 to the Agreement and Declaration of Trust effective October 9, 2020 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #76 on Form N-1A | (a)(25) | 4/1/2021 |
(a)(26) | Amendment No. 26 to the Agreement and Declaration of Trust effective July 17, 2021 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #80 on Form N-1A | (a)(26) | 10/29/2021 |
(a)(27) | Amendment No. 27 to the Agreement and Declaration of Trust effective June 23, 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (a)(27) | 10/31/2022 |
(b) | By-laws, effective September 6, 2007, most recently amended October 2, 2020 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #76 on Form N-1A | (b) | 4/1/2021 |
(c) | Stock Certificate: Not Applicable. | ||||||
(d)(1) | Management Agreement (amended and restated), dated April 25, 2016, between Columbia Management Investment Advisers, LLC, Registrant, Columbia Funds Series Trust and Columbia Funds Series Trust II | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #50 on Form N-1A | (d)(1) | 4/28/2016 |
(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, Columbia Funds Series Trust and Columbia Funds Series Trust II | Incorporated by Reference | Columbia Funds Series Trust | 333-89661 | Post-Effective Amendment #203 on Form N-1A | (d)(1)(i) | 7/27/2022 |
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 | |||
(d)(19)(iii) | Amendment No. 8, as of September 8, 2021, to Amended and Restated Subadvisory Agreement, dated June 11, 2008, last amended August 28, 2020, between Columbia Management Investment Advisers, LLC and Threadneedle International Limited | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Post-Effective Amendment #233 on Form N-1A | (d)(7)(iii) | 10/19/2022 |
(d)(20) | Subadvisory Agreement, dated June 19, 2013, between Columbia Management Investment Advisers, LLC and Victory Capital Management Inc. | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #39 on Form N-1A | (d)(29) | 5/15/2014 |
(d)(20)(i) | Amendment No. 1, as of May 13, 2019, to Subadvisory Agreement, dated June 19, 2013, between Columbia Management Investment Advisers, LLC and Victory Capital Management Inc. | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #71 on Form N-1A | (d)(22)(i) | 4/28/2020 |
(d)(21) | Subadvisory Agreement, dated March 17, 2020, between Columbia Management Investment Advisers, LLC and Walter Scott & Partners Limited | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #73 on Form N-1A | (d)(24) | 5/15/2020 |
(d)(22) | Subadvisory Agreement, dated June 21, 2017, between Columbia Management Investment Advisers, LLC and Westfield Capital Management Company, L.P. | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #57 on Form N-1A | (d)(36) | 9/18/2017 |
(d)(23) | Subadvisory Agreement, dated March 19, 2019, between Columbia Management Investment Advisers, LLC and William Blair Investment Management, LLC | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #70 on Form N-1A | (d)(26) | 5/20/2019 |
(d)(23)(i) | Amendment No. 1, as of March 22, 2021, to the Subadvisory Agreement, dated March 19, 2019, between Columbia Management Investment Advisers, LLC and William Blair Investment Management, LLC | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #79 on Form N-1A | (d)(25)(i) | 4/28/2021 |
(e)(1) | Distribution Agreement, dated June 15, 2021, by and between Registrant, Columbia Funds Variable Insurance Trust and Columbia Management Investment Distributors, Inc. | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #80 on Form N-1A | (e)(1) | 10/29/2021 |
(e)(1)(i) | Schedule I, effective July 1, 2022, and Schedule II, dated September 7, 2010, to the Distribution Agreement, dated June 15, 2021, between Registrant, Columbia Funds Variable Insurance Trust and Columbia Management Investment Distributors, Inc. | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (e)(1)(i) | 10/31/2022 |
(f) | Deferred Compensation Plan, adopted as of December 31, 2020 | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Post-Effective Amendment #218 on Form N-1A | (f) | 2/25/2021 |
(g)(1) | Second Amended and Restated Master Global Custody Agreement with JPMorgan Chase Bank, N.A., dated March 7, 2011 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #39 on Form N-1A | (g)(1) | 5/15/2014 |
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)(9) | Master Inter-Fund Lending Agreement, dated May 1, 2018 | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Registration Statement on Form N-1A | (h)(11) | 5/25/2018 |
(h)(9)(i) | Schedule A and Schedule B, effective December 7, 2021, to the Master Inter-Fund Lending Agreement dated May 1, 2018 | Incorporated by Reference | Columbia Funds Series Trust II | 333-131683 | Post-Effective Amendment #227 on Form N-1A | (h)(9)(i) | 12/7/2021 |
(h)(10)(i) | 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 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)(10)(ii) | 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 |
(h)(10)(iii) | Fund of Fund Investment Management Agreement, dated January 11, 2022, between Legg Mason Partners Variable Equity Trust and Columbia Funds Variable Insurance Trust and Columbia Funds Variable Series Trust II | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #81 on Form N-1A | (h)(10)(iii) | 4/4/2022 |
(h)(10)(iv) | Fund of Fund Investment Management Agreement, dated January 19, 2022, between SPDR S&P 500 ETF Trust and SPDR Dow Jones Industrial Average ETF Trust and Columbia Funds Variable Insurance Trust and Columbia Funds Variable Series Trust II | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #81 on Form N-1A | (h)(10)(iv) | 4/4/2022 |
(i)(1) | Opinion and consent of counsel as to the legality of the securities being registered | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #38 on Form N-1A | (i) | 4/29/2014 |
(i)(2) | Opinion and consent of counsel as to the legality of the securities being registered for Columbia Variable Portfolio – Select Large Cap Equity Fund | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #59 on Form N-1A | (i)(2) | 12/19/2017 |
(j) | Consent of Independent Registered Public Accounting Firm: Not Applicable | ||||||
(k) | Omitted Financial Statements: Not Applicable. | ||||||
(l) | Initial Capital Agreement: Not Applicable. | ||||||
(m)(1) | Plan of Distribution and Agreement of Distribution, effective May 1, 2009, amended and restated March 7, 2011, between the Registrant and Columbia Management Investment Distributors, Inc. | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #38 on Form N-1A | (m)(1) | 4/29/2014 |
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 | |||
(m)(1)(i) | Schedule A, effective July 1, 2022, to the Plan of Distribution and Agreement of Distribution, effective May 1, 2009, amended and restated March 7, 2011, between the Registrant and Columbia Management Investment Distributors, Inc. | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (m)(1)(i) | 10/31/2022 |
(n) | Rule 18f – 3(d) Plan, amended and restated July 1, 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (n) | 10/31/2022 |
(o) | Reserved. | ||||||
(p)(1) | Code of Ethics adopted under Rule 17j-1 for Registrant, effective March 2019 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #68 on Form N-1A | (p)(1) | 4/26/2019 |
(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) | Allspring Global Investments, LLC Code of Ethics | Incorporated by Reference | Columbia Funds Series Trust I | 2-99356 | Post-Effective Amendment #389 on Form N-1A | (p)(11) | 11/23/2021 |
(p)(4) | American Century Investment Management, Inc. Code of Ethics, updated April 28, 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (p)(4) | 10/31/2022 |
(p)(5) | BlackRock Financial Management, Inc. Code of Ethics, effective April 30, 2020 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #76 on Form N-1A | (p)(5) | 4/1/2021 |
(p)(6) | BNY Mellon Code of Conduct (for Walter Scott & Partners Limited) effective August 2021 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #81 on Form N-1A | (p)(6) | 4/4/2022 |
(p)(7) | CenterSquare Investment Management LLC Code of Ethics, effective May 15, 2021 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #80 on Form N-1A | (p)(6) | 10/29/2021 |
(p)(8) | J.P. Morgan Investment Management Inc. Code of Ethics, 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)(9) | Massachusetts Financial Services Company Code of Ethics, effective October 15, 2021 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #81 on Form N-1A | (p)(10) | 4/4/2022 |
(p)(10) | Morgan Stanley Investment Management Inc. Code of Ethics, effective January 1, 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (p)(10) | 10/31/2022 |
(p)(11) | Principal Global Investors, LLC Code of Ethics as of July 1, 2021 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #84 on Form N-1A | (p)(21) | 10/31/2022 |
(p)(12) | Pzena Investment Management, LLC Code of Ethics revised June 2020 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #79 on Form N-1A | (p)(23) | 4/28/2021 |
(p)(13) | Schroder Investment Management North America Inc. Code of Ethics, effective May 1, 2017, revised May 2019 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #72 on Form N-1A | (p)(16) | 5/12/2020 |
(p)(14) | Scout Investments, Inc. Code of Ethics, effective August 2020 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #76 on Form N-1A | (p)(18) | 4/1/2021 |
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)(15) | Segall Bryant & Hamill, LLC Code of Ethics, effective March 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (p)(15) | 10/31/2022 |
(p)(16) | T. Rowe Price Group, Inc. and Its Affiliates Code of Ethics, as of March 7, 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (p)(16) | 10/31/2022 |
(p)(17) | TCW Investment Management Company LLC Code of Ethics, 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)(18) | Thompson, Siegel & Walmsley LLC Code of Ethics, updated March 25, 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (p)(18) | 10/31/2022 |
(p)(19) | Victory Capital Management Inc. Code of Ethics, effective January 1, 2022 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #81 on Form N-1A | (p)(19) | 4/4/2022 |
(p)(20) | Westfield Capital Management Company, L.P. Code of Ethics, as of May 13, 2022 | Filed Herewith | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #85 on Form N-1A | (p)(20) | 10/31/2022 |
(p)(21) | William Blair Investment Management, LLC Code of Ethics, as of July 31, 2018 | Incorporated by Reference | Columbia Funds Variable Series Trust II | 333-146374 | Post-Effective Amendment #70 on Form N-1A | (p)(24) | 5/20/2019 |
Item 29. Persons Controlled by or Under Common Control with the Registrant
Columbia Management Investment Advisers, LLC (the investment manager or Columbia Management), as sponsor of the Columbia funds, may make initial capital investments in Columbia funds (seed accounts). Columbia Management also serves as investment manager of certain Columbia funds-of-funds that invest primarily in shares of affiliated funds (the underlying funds). Columbia Management does not make initial capital investments or invest in underlying funds for the purpose of exercising control. However, since these ownership interests may be significant, in excess of 25%, such that Columbia Management may be deemed to control certain Columbia funds, procedures have been put in place to assure that public shareholders determine the outcome of all actions taken at shareholder meetings. Specifically, Columbia Management (which votes proxies for the seed accounts) and the Boards of Trustees of the affiliated funds-of-funds (which votes proxies for the affiliated funds-of-funds) vote on each proposal in the same proportion as the vote of the direct public shareholders vote; provided, however, that if there are no direct public shareholders of an underlying fund or if direct public shareholders represent only a minority interest in an underlying fund, the Fund may cast votes in accordance with instructions from the independent members of the Board.
Item 30. Indemnification
Article Five of the Bylaws of Registrant provides that Registrant shall indemnify each of its trustees and officers (including persons who serve at Registrant's request as directors, officers or trustees of another organization in which Registrant has any interest as a shareholder, creditor or otherwise) who are not employees or officers of any investment adviser to Registrant or any affiliated person thereof and its chief compliance officer, regardless of whether such person is an employee or officer of any investment adviser to Registrant or any affiliated person thereof, and each of its other trustees and officers (including persons who serve at Registrant's request as directors, officers or trustees of another organization in which Registrant has any interest as a shareholder, creditor or otherwise) (i.e., those who are employees or officers of any investment adviser to Registrant or any affiliated person thereof) (Covered Persons), to the fullest extent authorized by applicable law against all liabilities and expenses in connection with the defense or disposition of any proceeding in which such Covered Person may be or may have been involved or with which such Covered Person may be or may have been threatened, while in office or thereafter, by reason of any alleged act or omission as a trustee or officer or by reason of his or her being or having been such a Covered Person, all as more fully set forth in the Bylaws, which are filed as an exhibit to the registration statement.
Section 17(h) of the Investment Company Act of 1940 (1940 Act) provides that no instrument pursuant to which Registrant is organized or administered shall contain any provision which protects or purports to protect any trustee or officer of Registrant against any liability to Registrant or its shareholders to which he or she would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his or her office.
The Registrant’s Declaration of Trust provides that nothing in the Declaration of Trust shall protect any trustee or officer against any liabilities to the Registrant or its shareholders to which he or she would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of his or her office or position with or on behalf of the Registrant and the Registrant’s Bylaws provides that no Covered Person shall be indemnified against any liability to the Registrant or its shareholders by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of such Covered Person’s office.
Pursuant to the Distribution Agreement, Columbia Management Investment Distributors, Inc. agrees to indemnify the Registrant, its officers and trustees against claims, demands, liabilities and expenses under specified circumstances, all as more fully set forth in the Registrant’s Distribution Agreement, which has been filed as an exhibit to the registration statement.
The Registrant may be party to other contracts that include indemnification provisions for the benefit of the Registrant’s trustees and officers.
The trustees and officers of the Registrant and the personnel of the Registrant’s investment adviser and principal underwriter are insured under an errors and omissions liability insurance policy. Registrant’s investment adviser, Columbia Management Investment Advisers, LLC, maintains investment advisory professional liability insurance to insure it, for the benefit of Registrant and its non-interested trustees, against loss arising out of any effort, omission, or breach of any duty owed to Registrant or any series of Registrant by Columbia Management Investment Advisers, LLC.
Insofar as indemnification for liabilities arising under the Securities Act of 1933 (the 1933 Act) may be permitted to trustees, officers and controlling persons of the Registrant by the Registrant pursuant to the Registrant’s organizational instruments or otherwise, the Registrant is aware that in the opinion of the Securities and Exchange Commission (SEC), such indemnification is against public policy as expressed in the 1933 Act and, therefore, is unenforceable.
Item 31. Business and Other Connections of the Investment Adviser
To the knowledge of the Registrant, none of the directors or officers of Columbia Management Investment Advisers, LLC (Columbia Management), the Registrant’s investment adviser, or any subadviser to a series of the Registrant, except as set forth below, are or have been, at any time during the Registrant’s past two fiscal years, engaged in any other business, profession, vocation or employment of a substantial nature.
(1) | 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. |
(2) | 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. |
(3) | American Century Investment Management, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of American Century Investment Management, Inc. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by American Century Investment Management, Inc. and is incorporated herein by reference. Information about the business of American Century Investment Management, Inc. and the directors and principal executive officers of American Century Investment Management, Inc. is also included in the Form ADV filed by American Century Investment Management, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-8174), which information is incorporated herein by reference. |
(4) | BlackRock Financial Management, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of BlackRock Financial Management, Inc. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by BlackRock Financial Management, Inc. and is incorporated herein by reference. Information about the business of BlackRock |
Financial Management, Inc. and the directors and principal executive officers of BlackRock Financial Management, Inc. is also included in the Form ADV filed by BlackRock Financial Management, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-48433), which information is incorporated herein by reference. |
(5) | BlackRock International Limited performs investment management services for the Registrant and certain other clients. Information regarding the business of BlackRock International Limited is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by BlackRock International Limited and is incorporated herein by reference. Information about the business of BlackRock International Limited and the directors and principal executive officers of BlackRock International Limited is also included in the Form ADV filed by BlackRock International Limited with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-51087), which information is incorporated herein by reference. |
(6) | CenterSquare Investment Management LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of CenterSquare Investment Management LLC is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by CenterSquare Investment Management LLC and is incorporated herein by reference. Information about the business of CenterSquare Investment Management LLC and the directors and principal executive officers of CenterSquare Investment Management LLC is also included in the Form ADV filed by CenterSquare Investment Management LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-111965), which information is incorporated herein by reference. |
(7) | 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. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are 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. |
(8) | Massachusetts Financial Services Company performs investment management services for the Registrant and certain other clients. Information regarding the business of Massachusetts Financial Services Company is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Massachusetts Financial Services Company and is incorporated herein by reference. Information about the business of Massachusetts Financial Services Company and the directors and principal executive officers of Massachusetts Financial Services Company is also included in the Form ADV filed by Massachusetts Financial Services Company with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-17352), which information is incorporated herein by reference. |
(9) | Morgan Stanley Investment Management Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Morgan Stanley Investment Management Inc. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Morgan Stanley Investment Management Inc. and is incorporated herein by reference. Information about the business of Morgan Stanley Investment Management Inc. and the directors and principal executive officers of Morgan Stanley Investment Management Inc. is also included in the Form ADV filed by Morgan Stanley Investment Management Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-15757), which information is incorporated herein by reference. |
(10) | Principal Global Investors, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Principal Global Investors, LLC is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Principal Global Investors, LLC and is incorporated herein by reference. Information about the business of Principal Global Investors, LLC and the directors and principal executive officers of Principal Global Investors, LLC is also included in the Form ADV filed by Principal Global Investors, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-55959), which information is incorporated herein by reference. |
(11) | Pzena Investment Management, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Pzena Investment Management, LLC is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Pzena Investment Management, LLC and is incorporated herein by reference. Information about the business of Pzena Investment Management, LLC and the directors and principal executive officers of Pzena Investment Management, LLC is also included in the Form ADV filed by Pzena Investment Management, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-50838), which information is incorporated herein by reference. |
(12) | Schroder Investment Management North America Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Schroder Investment Management North America Inc. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Schroder Investment Management North America Inc. and is incorporated herein by reference. Information about the business of Schroder Investment Management North America Inc. and the directors and principal executive officers of Schroder Investment Management North America Inc. is also included in the Form ADV filed by Schroder Investment Management North America Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-15834), which information is incorporated herein by reference. |
(13) | Schroder Investment Management North America Ltd performs investment management services for the Registrant and certain other clients. Information regarding the business of Schroder Investment Management North America Ltd is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Schroder Investment Management North America Ltd and is incorporated herein by reference. Information about the business of Schroder Investment Management North America Ltd and the directors and principal executive officers of Schroder Investment Management North America Ltd is also included in the Form ADV filed by Schroder Investment Management North America Ltd with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-37163), which information is incorporated herein by reference. |
(14) | Scout Investments, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Scout Investments, Inc. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Scout Investments, Inc. and is incorporated herein by reference. Information about the business of Scout Investments, Inc. and the directors and principal executive officers of Scout Investments, Inc. is also included in the Form ADV filed by Scout Investments, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-60188), which information is incorporated herein by reference. |
(15) | Segall Bryant & Hamill, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Segall Bryant & Hamill, LLC is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Segall Bryant & Hamill, LLC and is incorporated herein by reference. Information about the business of Segall Bryant & Hamill, LLC and the directors and principal executive officers of Segall Bryant & Hamill, LLC is also included in the Form ADV filed by Segall Bryant & Hamill, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-47232), which information is incorporated herein by reference. |
(16) | T. Rowe Price Associates, Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of T. Rowe Price Associates, Inc. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by T. Rowe Price Associates, Inc. and is incorporated herein by reference. Information about the business of T. Rowe Price Associates, Inc. and the directors and principal executive officers of T. Rowe Price Associates, Inc. is also included in the Form ADV filed by T. Rowe Price Associates, Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-856), which information is incorporated herein by reference. |
(17) | 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 is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are 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. |
(18) | Thompson, Siegel & Walmsley LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of Thompson, Siegel & Walmsley LLC is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Thompson, Siegel & Walmsley LLC and is incorporated herein by reference. Information about the business of Thompson, Siegel & Walmsley LLC and the directors and principal executive officers of Thompson, Siegel & Walmsley LLC is also included in the Form ADV filed by Thompson, Siegel & Walmsley LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-6273), which information is incorporated herein by reference. |
(19) | Threadneedle International Limited performs investment management services for the Registrant and certain other clients. Information regarding the business of Threadneedle International Limited is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Threadneedle International |
Limited and is incorporated herein by reference. Information about the business of Threadneedle International Limited and the directors and principal executive officers of Threadneedle International Limited is also included in the Form ADV filed by Threadneedle International Limited with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-63196), which information is incorporated herein by reference. |
(20) | Victory Capital Management Inc. performs investment management services for the Registrant and certain other clients. Information regarding the business of Victory Capital Management Inc. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Victory Capital Management Inc. and is incorporated herein by reference. Information about the business of Victory Capital Management Inc. and the directors and principal executive officers of Victory Capital Management Inc. is also included in the Form ADV filed by Victory Capital Management Inc. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-46878), which information is incorporated herein by reference. |
(21) | Walter Scott & Partners Limited performs investment management services for the Registrant and certain other clients. Information regarding the business of Walter Scott & Partners Limited is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Walter Scott & Partners Limited and is incorporated herein by reference. Information about the business of Walter Scott & Partners Limited and the directors and principal executive officers of Walter Scott & Partners Limited is also included in the Form ADV filed by Walter Scott & Partners Limited with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-19420), which information is incorporated herein by reference. |
(22) | Westfield Capital Management Company, L.P. performs investment management services for the Registrant and certain other clients. Information regarding the business of Westfield Capital Management Company, L.P. is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by Westfield Capital Management Company, L.P. and is incorporated herein by reference. Information about the business of Westfield Capital Management Company, L.P. and the directors and principal executive officers of Westfield Capital Management Company, L.P. is also included in the Form ADV filed by Westfield Capital Management Company, L.P. with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-69413), which information is incorporated herein by reference. |
(23) | William Blair Investment Management, LLC performs investment management services for the Registrant and certain other clients. Information regarding the business of William Blair Investment Management, LLC is set forth in the Prospectus(es) and Statement of Additional Information of the Registrant’s series that are subadvised by William Blair Investment Management, LLC and is incorporated herein by reference. Information about the business of William Blair Investment Management, LLC and the directors and principal executive officers of William Blair Investment Management, LLC is also included in the Form ADV filed by William Blair Investment Management, LLC with the SEC pursuant to the Investment Advisers Act of 1940 (File No. 801-80640), which information is incorporated herein by reference. |
Item 32. Principal Underwriter
(a) | Columbia Management Investment Distributors, Inc. acts as principal underwriter for the following investment companies, including the Registrant: |
Columbia Acorn Trust; Columbia Funds Series Trust; Columbia Funds Series Trust I; Columbia Funds Series Trust II; Columbia Funds Variable Series Trust II; Columbia Funds Variable Insurance Trust 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 |
Name and Principal Business Address* | Position and Offices with Principal Underwriter | Positions and Offices with Registrant | ||
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 | ||
Megan Garcy | 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. |
Item 33. Location of Accounts and Records
Persons maintaining physical possession of accounts, books and other documents required to be maintained by Section 31(a) of the Investment Company Act of 1940 and the Rules thereunder include:
■ | Registrant, 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, American Century Investment Management, Inc., 4500 Main Street, Kansas City, MO 64111-7709; |
■ | Registrant’s subadviser, BlackRock Financial Management, Inc., 55 East 52nd Street, New York, NY 10055; |
■ | Registrant’s sub-subadviser, BlackRock International Limited, Exchange Place One, 1 Semple Street, Edinburgh, EH3 8BL, Scotland; |
■ | Registrant’s subadviser, CenterSquare Investment Management LLC, 630 W Germantown Pike, Suite 300, Plymouth Meeting, PA 19462; |
■ | Registrant’s subadviser, J.P. Morgan Investment Management Inc., 383 Madison Avenue, New York, NY 10179; |
■ | Registrant’s subadviser, Massachusetts Financial Services Company, 111 Huntington Ave., Boston, MA 02199; |
■ | Registrant’s subadviser, Morgan Stanley Investment Management Inc., 522 Fifth Avenue, New York, NY 10036; |
■ | Registrant’s subadviser, Principal Global Investors, LLC, 711 High Street, Des Moines, IA 50392; |
■ | Registrant’s subadviser, Pzena Investment Management, LLC, 320 Park Avenue, 8th Floor, New York, NY 10022; |
■ | Registrant’s subadviser, Schroder Investment Management North America Inc., 7 Bryant Park, New York, NY 10018-3706; |
■ | Registrant’s sub-subadviser, Schroder Investment Management North America Ltd, 1 London Wall Place, London EC2Y 5AU, UK; |
■ | Registrant’s subadviser, Scout Investments, Inc., 1201 Walnut Street, 21st Floor, Kansas City, MO 64106; |
■ | Registrant’s subadviser, Segall Bryant & Hamill, LLC, 540 West Madison Street, Suite 1900, Chicago, IL 60661-2551; |
■ | Registrant’s subadviser, T. Rowe Price Associates, Inc., 100 East Pratt Street, Baltimore, MD 21202; |
■ | Registrant’s subadviser, TCW Investment Management Company LLC, 865 South Figueroa Street, Suite 1800, Los Angeles, CA 90017; |
■ | Registrant’s subadviser, Thompson, Siegel & Walmsley LLC, 6641 West Broad Street, Suite 600, Richmond, VA 23230; |
■ | Registrant’s subadviser, Threadneedle International Limited, Cannon Place, 78 Cannon Street, London EC4N 6AG, UK; |
■ | Registrant’s subadviser, Victory Capital Management Inc., 15935 La Cantera Parkway, San Antonio, TX 78256; |
■ | Registrant’s subadviser, Walter Scott & Partners Limited, One Charlotte Square, Edinburgh EH2 4DR, UK; |
■ | Registrant’s subadviser, Westfield Capital Management Company, L.P., One Financial Center, Boston, MA 02111; |
■ | Registrant’s subadviser, William Blair Investment Management, LLC, 150 North Riverside Plaza, Chicago, IL, 60606; |
■ | Former subadviser, AQR Capital Management, LLC, Two Greenwich Plaza, 3rd Floor, Greenwich, CT 06830; |
■ | Former subadviser, Dimensional Fund Advisors LP, 6300 Bee Cave Road, Building One, Austin, TX 78746; |
■ | Former subadviser, Columbia Wanger Asset Management, LLC, 71 S. Wacker Drive, Chicago, IL 60606; |
■ | Former subadviser, Barrow, Hanley, Mewhinney & Strauss, LLC, 2200 Ross Avenue, 31st Floor, Dallas, TX 75201-2761; |
■ | Former subadviser, BMO Asset Management Corp., 115 South LaSalle Street, 11th Floor, Chicago, IL, 60603; |
■ | Former subadviser, Eaton Vance Management, Two International Place, Boston, MA 02110; |
■ | Former subadviser, FIAM LLC (d/b/a Pyramis Global Advisors), 900 Salem Street, Smithfield, RI 02917; |
■ | Former subadviser, Donald Smith & Co., Inc., 152 West 57th Street, 22nd Floor, New York, NY 10019; |
■ | Former subadviser, Invesco Advisers, Inc., 1555 Peachtree Street, N.E., Atlanta, GA 30309; |
■ | Former sub-subadviser, Investment Counselors of Maryland, LLC, 300 East Lombard Street, Suite 810, Baltimore, MD 21202; |
■ | Former subadviser, Jacobs Levy Equity Management, Inc., 100 Campus Drive, 2nd Floor West, Florham Park, NJ 07932-0650; |
■ | Former subadviser, Jennison Associates LLC, 466 Lexington Avenue, New York, NY 10017; |
■ | Former subadviser, Kennedy Capital Management, Inc., 10829 Olive Boulevard, St. Louis, MO 63141; |
■ | Former subadviser, Loomis, Sayles & Company, L.P., One Financial Center, Boston, MA 02111-2621; |
■ | Former subadviser, Los Angeles Capital Management, LLC (formerly Los Angeles Capital Management and Equity Research, Inc.), 11150 Santa Monica Blvd., Suite 200, Los Angeles, CA 90025; |
■ | Former subadviser, The London Company of Virginia, 1800 Bayberry Court, Suite 301, Richmond, VA 23226; |
■ | Former subadviser, Marsico Capital Management, LLC, 1200 17th Street, Suite 1600, Denver, CO 80202; |
■ | Former subadviser, Mondrian Investment Partners Limited, 10 Gresham Street, 5th Floor, London EC2V7JD, UK; |
■ | Former subadviser, Nuveen Asset Management, LLC, 333 West Wacker Drive, Chicago, IL 60606; |
■ | Former subadviser, OppenheimerFunds, Inc. 225 Liberty Street, New York, NY 10281; |
■ | Former subadviser, Palisade Capital Management, L.L.C., One Bridge Plaza North, Suite 695, Fort Lee, NJ 07024; |
■ | Former subadviser, River Road Asset Management, LLC, 462 South Fourth Street, Suite 2000, Louisville, KY 40202-3466; |
■ | Former subadviser, Sit Investment Associates, Inc., 3300 IDS Center, 80 South Eighth Street, Minneapolis, MN 55402; |
■ | Former subadviser, Snow Capital Management L.P., 1605 Carmody Court, Suite 300, Sewickley, PA 15143-8992; |
■ | Former subadviser, Winslow Capital Management, LLC, 4400 IDS Center, 80 South Eighth Street, Minneapolis, MN 55402; |
■ | Allianz Global Investors U.S. LLC (a successor for former subadviser NFJ Investment Group LLC), 1633 Broadway, 43rd Floor, New York, NY 10019; |
■ | 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 Services, 2000 Crown Colony Dr., Quincy, MA 02169; and |
■ | Registrant’s custodian, JPMorgan Chase Bank, N.A., 1 Chase Manhattan Plaza, New York, NY 10005. |
In addition, Iron Mountain Records Management is an off-site storage facility housing historical records that are no longer required to be maintained on-site. Records stored at this facility include various trading and accounting records, as well as other miscellaneous records. The address for Iron Mountain Records Management is 920 & 950 Apollo Road, Eagan, MN 55121.
Certain information on the above-referenced physical possession of accounts, books and other documents is also included in the Registrant’s filings on Form N-CEN filed with the Securities and Exchange Commission on March 15, 2022.
Item 34. Management Services
Not Applicable.
Item 35. Undertakings
Not Applicable.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant, COLUMBIA FUNDS VARIABLE SERIES TRUST II, has duly caused this Amendment to its Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the City of Boston, and the Commonwealth of Massachusetts on the 31st day of October, 2022.
COLUMBIA FUNDS VARIABLE SERIES TRUST II | |
By: | /s/ Daniel J. Beckman |
Daniel J. Beckman Trustee and President |
Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement has been signed below by the following persons in the capacities indicated on the 31st day of October, 2022.
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. |
COLUMBIA FUNDS SERIES TRUST
COLUMBIA FUNDS SERIES TRUST I
COLUMBIA FUNDS SERIES TRUST II
COLUMBIA FUNDS VARIABLE INSURANCE TRUST
COLUMBIA FUNDS VARIABLE SERIES TRUST II
COLUMBIA ETF TRUST
COLUMBIA ETF TRUST I
COLUMBIA ETF TRUST II
(each a “Registrant”)
POWER OF ATTORNEY
Each of the undersigned constitutes and appoints Michael G. Clarke, Joseph D’Alessandro, Paul B. Goucher, Michael E. DeFao, Ryan C. Larrenaga, John M. Loder, Brian D. McCabe, Christopher O. Petersen, and Megan E. Garcy, each individually, his or her true and lawful attorney-in-fact and agent (each an “Attorney-in-Fact”) with power of substitution or resubstitution, in any and all capacities, including without limitation in the undersigned’s capacity as a trustee of each Registrant, in the furtherance of the business and affairs of each Registrant: (i) to execute any and all instruments which said Attorney-in-Fact may deem necessary or advisable or which may be required to comply with the Securities Act of 1933, the Investment Company Act of 1940, the Securities Exchange Act of 1934 (together the “Acts”) and any other applicable federal securities laws, or rules, regulations or requirements of the U.S. Securities and Exchange Commission (“SEC”) in respect thereof, in connection with the filing and effectiveness of each Registrant’s Registration Statement regarding the registration of each Registrant or its shares of beneficial interest, and any and all amendments thereto, including without limitation any reports, forms or other filings required by the Acts or any other applicable federal securities laws, or rules, regulations or requirements of the SEC; and (ii) to execute any and all federal, state or foreign regulatory or other required filings, including all applications with regulatory authorities, state charter or organizational documents and any amendments or supplements thereto, to be executed by, on behalf of, or for the benefit of, each Registrant. The undersigned hereby grants to each Attorney-in-Fact full power and authority to do and perform each and every act and thing contemplated above, as fully and to all intents and purposes as the undersigned might or could do in person, and hereby ratifies and confirms all that said Attorneys-in-Fact, individually or collectively, may lawfully do or cause to be done by virtue hereof.
This Power of Attorney shall not be revoked with respect to any undersigned trustee by any subsequent power of attorney the undersigned may execute unless such subsequent power of attorney specifically refers to this Power of Attorney or specifically states that the instrument is intended to revoke all prior general powers of attorney or all prior powers of attorney (and unless otherwise required by a provision of law that cannot be waived). This Power of Attorney shall terminate automatically with respect to a Registrant if the undersigned ceases to hold the above-referenced office of the Registrant.
Dated: January 1, 2021
[REMAINDER OF THIS PAGE IS LEFT BLANK INTENTIONALLY]
/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 |
COLUMBIA FUNDS SERIES TRUST
COLUMBIA FUNDS SERIES TRUST I
COLUMBIA FUNDS SERIES TRUST II
COLUMBIA FUNDS VARIABLE INSURANCE TRUST
COLUMBIA FUNDS VARIABLE SERIES TRUST II
COLUMBIA ETF TRUST
COLUMBIA ETF TRUST I
COLUMBIA ETF TRUST II
(each a “Registrant”)
POWER OF ATTORNEY
The undersigned does hereby constitute and appoint Joseph D’Alessandro, Paul B. Goucher, Ryan C. Larrenaga, Christopher O. Petersen, Michael E. DeFao and Megan E. Garcy, each individually, his true and lawful attorney-in-fact and agent (each an “Attorney-in-Fact”) with power of substitution or resubstitution, in any and all capacities, including without limitation in the undersigned’s capacity as Chief Financial Officer, Principal Financial Officer and Senior Vice President of each Registrant, in the furtherance of the business and affairs of each Registrant: (i) to execute any and all instruments which said Attorney-in-Fact may deem necessary or advisable or which may be required to comply with the Securities Act of 1933, the Investment Company Act of 1940, the Securities Exchange Act of 1934 (together the “Acts”) and any other applicable federal securities laws, or rules, regulations or requirements of the U.S. Securities and Exchange Commission (“SEC”) in respect thereof, in connection with the filing and effectiveness of each Registrant’s Registration Statement regarding the registration of each Registrant or its shares of beneficial interest, and any and all amendments thereto, including without limitation any reports, forms or other filings required by the Acts or any other applicable federal securities laws, or rules, regulations or requirements of the SEC; and (ii) to execute any and all federal, state or foreign regulatory or other required filings, including all applications with regulatory authorities, state charter or organizational documents and any amendments or supplements thereto, to be executed by, on behalf of, or for the benefit of, each Registrant. The undersigned hereby grants to each Attorney-in-Fact full power and authority to do and perform each and every act and thing contemplated above, as fully and to all intents and purposes as the undersigned might or could do in person, and hereby ratifies and confirms all that said Attorneys-in-Fact, individually or collectively, may lawfully do or cause to be done by virtue hereof.
This Power of Attorney shall not be revoked by any subsequent power of attorney I may execute unless such subsequent power of attorney specifically refers to this Power of Attorney or specifically states that the instrument is intended to revoke all prior general powers of attorney or all prior powers of attorney (and unless otherwise required by a provision of law that cannot be waived). This Power of Attorney shall terminate automatically with respect to a Registrant if the undersigned ceases to hold the above-referenced office(s) of a Registrant.
Dated: February 1, 2021
/s/ Michael G. Clarke
Michael G. Clarke
Michael G. Clarke
COLUMBIA FUNDS SERIES TRUST
COLUMBIA FUNDS SERIES TRUST II
COLUMBIA FUNDS VARIABLE SERIES TRUST II
COLUMBIA SELIGMAN PREMIUM TECHNOLOGY GROWTH FUND, INC.
TRI-CONTINENTAL COPORATION
(each a “Registrant”)
POWER OF ATTORNEY
The undersigned does hereby constitute and appoint Michael G. Clarke, Marybeth Pilat, Joseph D’Alessandro, Paul B. Goucher, Ryan C. Larrenaga, Christopher O. Petersen, Michael E. DeFao and Megan E. Garcy, each individually, his true and lawful attorney-in-fact and agent (each an “Attorney-in-Fact”) with power of substitution or resubstitution, in any and all capacities, including without limitation in the undersigned’s capacity as Treasurer, Chief Accounting Officer (Principal Accounting Officer), and Principal Financial Officer of each Registrant, in the furtherance of the business and affairs of each Registrant: (i) to execute any and all instruments which said Attorney-in-Fact may deem necessary or advisable or which may be required to comply with the Securities Act of 1933, the Investment Company Act of 1940, the Securities Exchange Act of 1934 (together the “Acts”) and any other applicable federal securities laws, or rules, regulations or requirements of the U.S. Securities and Exchange Commission (“SEC”) in respect thereof, in connection with the filing and effectiveness of each Registrant’s Registration Statement regarding the registration of each Registrant or its shares of beneficial interest, and any and all amendments thereto, including without limitation any reports, forms or other filings required by the Acts or any other applicable federal securities laws, or rules, regulations or requirements of the SEC; and (ii) to execute any and all federal, state or foreign regulatory or other required filings, including all applications with regulatory authorities, state charter or organizational documents and any amendments or supplements thereto, to be executed by, on behalf of, or for the benefit of, each Registrant. The undersigned hereby grants to each Attorney-in-Fact full power and authority to do and perform each and every act and thing contemplated above, as fully and to all intents and purposes as the undersigned might or could do in person, and hereby ratifies and confirms all that said Attorneys-in-Fact, individually or collectively, may lawfully do or cause to be done by virtue hereof.
This Power of Attorney shall not be revoked by any subsequent power of attorney I may execute unless such subsequent power of attorney specifically refers to this Power of Attorney or specifically states that the instrument is intended to revoke all prior general powers of attorney or all prior powers of attorney (and unless otherwise required by a provision of law that cannot be waived). This Power of Attorney shall terminate automatically with respect to a Registrant if the undersigned ceases to hold the above-referenced office(s) of the Registrant.
Dated: January 3, 2020
/s/ Joseph Beranek
Joseph Beranek
Joseph Beranek
Exhibit Index
Exhibits Related to Item 28 of Part C
(a)(27) | Amendment No. 27 to the Agreement and Declaration of Trust effective June 23, 2022 |
(d)(16)(iv) | Amendment No. 4, dated June 23, 2022, to the Subadvisory Agreement, dated September 14, 2016, as amended July 24, 2018, November 9, 2018 and March 19, 2019 between Columbia Management Investment Advisers, LLC and T. Rowe Price Associates, Inc. |
(d)(16)(v) | Amendment No. 5, dated September 9, 2022, to the Subadvisory Agreement, dated September 14, 2016, as amended July 24, 2018, November 9, 2018, March 19, 2019 and June 23, 2022 between Columbia Management Investment Advisers, LLC and T. Rowe Price Associates, Inc. |
(e)(1)(i) | Schedule I, effective July 1, 2022, and Schedule II, dated September 7, 2010, to the Distribution Agreement, dated June 15, 2021, between Registrant, Columbia Funds Variable Insurance Trust and Columbia Management Investment Distributors, Inc. |
(h)(1)(i) | Schedule A, effective July 1, 2022, and Schedule B, effective July 1, 2017, to the Shareholder Services Agreement by and between the Registrant, Columbia Funds Variable Insurance Trust and Columbia Management Investment Services Corp., dated June 15, 2021 |
(m)(1)(i) | Schedule A, effective July 1, 2022, to the Plan of Distribution and Agreement of Distribution, effective May 1, 2009, amended and restated March 7, 2011, between the Registrant and Columbia Management Investment Distributors, Inc. |
(n) | Rule 18f – 3(d) Plan, amended and restated July 1, 2022 |
(p)(4) | American Century Investment Management, Inc. Code of Ethics, updated April 28, 2022 |
(p)(10) | Morgan Stanley Investment Management Inc. Code of Ethics, effective January 1, 2022 |
(p)(15) | Segall Bryant & Hamill, LLC Code of Ethics, effective March 2022 |
(p)(16) | T. Rowe Price Group, Inc. and Its Affiliates Code of Ethics, as of March 7, 2022 |
(p)(18) | Thompson, Siegel & Walmsley LLC Code of Ethics, updated March 25, 2022 |
(p)(20) | Westfield Capital Management Company, L.P. Code of Ethics, as of May 13, 2022 |