AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON
APRIL 26, 2006
REGISTRATION NO. 333-125500
(INVESTMENT COMPANY ACT REGISTRATION NO. 811-07024)
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U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM N-14
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REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
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PRE-EFFECTIVE AMENDMENT NO. ___
[X] POST-EFFECTIVE AMENDMENT NO. 1
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(CHECK APPROPRIATE BOX OR BOXES)
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COLUMBIA FUNDS SERIES TRUST I
ONE FINANCIAL CENTER
BOSTON, MASSACHUSETTS 02111
1-800-426-3750
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R. SCOTT HENDERSON, ESQUIRE
COLUMBIA MANAGEMENT GROUP, LLC
ONE FINANCIAL CENTER
BOSTON, MASSACHUSETTS 02111
(NAME AND ADDRESS OF AGENT FOR SERVICE)
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COPIES TO:
BRIAN D. MCCABE, ESQUIRE
ROPES & GRAY LLP
ONE INTERNATIONAL PLACE
BOSTON, MASSACHUSETTS 02110
CAMERON S. AVERY, ESQUIRE
BELL, BOYD & LLOYD LLC
70 WEST MADISON STREET, SUITE 3300
CHICAGO, IL 60602-4207
It is proposed that this filing will become effective immediately upon filing
pursuant to paragraph (d) of Rule 462 under the Securities Act of 1933, as
amended.
There have been no changes to the proxy statement/prospectus or statement of
additional information as filed with the Registrant's Registration Statement on
Form N-14 (File No. 333-125500), as filed by the Registrant's predecessor,
Columbia Funds Trust V, with the Commission on June 3, 2005 (Accession No.
0001193125-05-120094).
PART C. OTHER INFORMATION
Item 15. Indemnification
No change from the information set forth in Item 15 of Part C of the
Registrant's Registration Statement on Form N-14 (File No. 333-125500), as filed
with the Commission on June 3, 2005 (Accession No. 0001193125-05-120094), which
information is incorporated herein by reference.
Item 16. Exhibits
(1)(a) Amended Agreement and Declaration of Trust. (1)
(1)(b) Amendment No. 4 to the Agreement and Declaration of Trust. (2)
(1)(c) Amendment No. 5 to the Agreement and Declaration of Trust. (3)
(1)(d) Amendment No. 6 to the Agreement and Declaration of Trust. (6)
(2) By-Laws, as amended August 20, 2004. (7)
(3) Not applicable.
(4) Agreement and Plan or Reorganization -- incorporated by reference to
Exhibit A to Part A of the Registrant's Registration Statement on Form
N-14 (File No. 333-125500), as filed with the Commission on June 3,
2005 (Accession No. 0001193125-05-120094).
(5) Form of Specimen Share Certificate -- incorporated by reference to
Exhibit 4 in Part C, Item 24(b) of Post-Effective Amendment No. 45 to
the Registration Statement on Form N-1A of Columbia Funds Trust IV,
(File Nos. 2-62492 and 811-2865), filed with the Commission on or about
March 21, 1997.
(6)(a) Management Agreement. (5)
(6)(b) Amendment to Investment Management Agreement dated October 12, 2004.
(7)
(7)(a) Distribution Agreement between the Registrant and Columbia Funds
Distributor, Inc., dated April 30, 1999 as amended and restated
November 1, 2003 -- incorporated by reference to Exhibit (e)(1) in Part
C, Item 23 of Post-Effective Amendment No. 131 to the Registration
Statement on Form N-1A of Columbia Funds Trust III (File Nos. 2-15184
and 811-881), Filed with the Commission on or about January 28, 2004.
(7)(b) Appendix 1 to the Distribution Agreement between the Registrant and
Columbia Funds Distributor, Inc., dated November 1, 2003 --
incorporated by reference to Exhibit (e)(2) in Part C, Item 23 of
Post-Effective Amendment No. 131 to the Registration Statement on Form
N-1A of Columbia Funds Trust III (File Nos. 2-15184 and 811-881), filed
with the Commission on or about January 28, 2004.
(8) Not applicable.
(9)(a) Custodian Contract between Registrant and State Street Bank and Trust
Company dated October 10, 2001 -- incorporated by reference to Exhibit
(g) in Part C, Item 23 of Post-Effective Amendment No. 56 to the
Registration Statement on Form N-1A of Columbia Funds Trust II (File
Nos. 2-66976 and 811-3009), filed with the Commission on or about
October 26, 2001.
(9)(b) Appendix A to the Custodian Contract between Registrant and State Bank
and Trust Company -- incorporated by reference to Exhibit (j)(2) in
Part C, Item 24(2) of Post-Effective Amendment No. 6 to the
Registration Statement on Form N-2 of Columbia Floating Rate Fund (File
Nos. 333-51466 & 811-8953), filed with the Commission on or about
December 17, 2003.
(10)(a) Rule 12b-1 Distribution Plan dated July 1, 2001 as amended and restated
July 1, 2002, November 4, 2002, November 1, 2003 and May 11, 2004 --
incorporated by reference to Exhibit (m)(1) in Part C, Item 23 of
Post-Effective Amendment No. 64 to the Registration Statement on Form
N-1A of Columbia Funds Trust II (File Nos. 2-66976 and 811-3009), filed
with the Commission on or about July 29, 2004.
(10)(b) Appendix I to Rule 12b-1 Distribution Plan dated May 11, 2004 --
incorporated by reference to Exhibit (m)(2) in Part C, Item 23 of
Post-Effective Amendment No. 64 to the Registration Statement on Form
N-1A of Columbia Funds Trust II (File Nos. 2-66976 and 811-3009), filed
with the Commission on or about July 29, 2004.
(10)(c) 12b-1 Plan Implementing Agreement between the Registrant and Columbia
Funds Distributor, Inc., effective November 1, 2003 -- incorporated by
reference to Exhibit (k)(7) in Part C, Item 24(2) of Post-Effective
Amendment No. 5 to the Registration Statement on Form N-2 of Columbia
Floating Rate Advantage Fund (File Nos. 333-51788 and 811-09709), filed
with the Commission on or about December 17, 2003.
(10)(d) Appendix 1 to the 12b-1 Plan Implementing Agreement between the
Registrant and Columbia Funds Distributor, Inc., effective November 1,
2003 -- incorporated by reference to Exhibit (k)(8) in Part C,. Item
24(2) of Post-Effective Amendment No. 5 to the Registration Statement
on Form N-2 of Columbia Floating Rate Advantage Fund (File Nos.
333-51788 and 811-09709), filed with the Commission on or about
December 17, 2003.
(10)(e) Form of Selling Agreement with Columbia Funds Distributor, Inc. --
incorporated by reference to Exhibit 6(b) in Part C, Item 24(b) of
Post-Effective Amendment No. 49 to the Registration Statement on Form
N-1A of Columbia Funds Trust I (filed under former name Liberty Funds
Trust I) (File Nos. 2-41251 and 811-2214), filed with the Commission on
or about November 20, 1998.
(10)(f) Form of Asset Retention Agreement -- incorporated by reference to
Exhibit 6(d) in Part C, Item 24(b) of Post-Effective Amendment No. 10
to the Registration Statement on Form N-1A of Columbia Funds Trust VI,
(File Nos. 33-45117 and 811-6529), filed with the Commission on or
about September 27, 1996.
(10)(g) Rule 18f-3(d) Plan under the Investment Company Act of 1940 effective
April 22, 1996, and amended and restated December 12, 2001, July 26,
2002, November 1, 2002, November 1, 2003 and February 17, 2004 --
incorporated by reference to Exhibit (n) in Part C, Item 23 of
Post-Effective Amendment No. 132 to the Registration Statement on Form
N-1A of Columbia Funds Trust III (File Nos. 2-15184 and 811-881), filed
with the Commission on or about February 25, 2004.
(11)(a) Opinion of Ropes & Gray LLP -- incorporated by reference to Exhibit
11(a) to Part C, Item 16 of the Registrant's Registration Statement on
Form N-14 (File No. 333-125500), as filed with the Commission on June
3, 2005 (Accession No. 0001193125-05-120094)..
(11)(b) Consent of Ropes & Gray LLP -- incorporated by reference to Exhibit
11(b) to Part C, Item 16 of the Registrant's Registration Statement on
Form N-14 (File No. 333-125500), as filed with the Commission on June
3, 2005 (Accession No. 0001193125-05-120094).
(12)(a) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Nations Funds Trust (on behalf of Nations
Tennessee Intermediate Municipal Bond Fund) and Columbia Funds Trust V
(on behalf of Columbia Intermediate Tax-Exempt Bond Fund) -- Filed
herewith.
(12)(b) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Nations Funds Trust (on behalf of Nations
Intermediate Municipal Bond Fund) and Columbia Funds Trust V (on behalf
of Columbia Intermediate Tax-Exempt Bond Fund) -- Filed herewith.
(12)(c) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Nations Funds Trust (on behalf of Nations Kansas
Municipal Income Fund) and Columbia Funds Trust V (on behalf of
Columbia Intermediate Tax-Exempt Bond Fund) -- Filed herewith.
(12)(d) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Columbia Funds Trust V, on behalf of each of its
two series, Columbia Pennsylvania Intermediate Municipal Bond Fund and
Columbia Intermediate Tax-Exempt Bond Fund -- Filed herewith.
(13)(a) Pricing and Bookkeeping Agreement dated November 1, 2003 --
incorporated by reference to (h)(4) in Part C, Item 23 of
Post-Effective Amendment No. 132 to the Registration Statement on Form
N-1A of Columbia Funds Trust III (File Nos. 2-15184 and 811-881), filed
with the Commission on or about February 25, 2004.
(13)(b) Schedule A of Pricing and Bookkeeping Agreement dated November 1, 2003
-- incorporated by reference to Exhibit (h)(5) in Part C, Item 23 of
Post-Effective Amendment No. 132 to the Registration Statement on Form
N-1A of Columbia Funds Trust III (File Nos. 2-15184 and 811-881), filed
with the Commission on or about February 25, 2004.
(13)(c) Appendix I of Pricing and Bookkeeping Agreement dated November 1, 2003
-- incorporated by reference to Exhibit (h)(6) in Part C, Item 23 of
Post-Effective Amendment No. 132 to the Registration Statement on Form
N-1A of Columbia Funds Trust III (File Nos. 2-15184 and 811-881), filed
with the Commission on or about February 25, 2004.
(13)(d) Amended and Restated Shareholders' Servicing and Transfer Agent
Agreement dated November 1, 2003 -- incorporated by reference to
Exhibit (h)(1) in Part C, Item 23 of Post-Effective Amendment No. 132
to the Registration Statement on Form N-1A of Columbia Funds Trust III
(Filed Nos. 2-15184 and 811-881), filed with the Commission on or about
February 25, 2004.
(13)(e) Schedule A of Amended and Restated Shareholders' Servicing and Transfer
Agent Agreement dated November 1, 2003 -- incorporated by reference to
Exhibit (h)(2) in Part C, Item 23 of Post-Effective Amendment No. 132
to the Registration Statement on Form N-1A of Columbia Funds Trust III
(Filed Nos. 2-15184 and 811-881), filed with the Commission on or about
February 25, 2004.
(13)(f) Appendix I of Amended and Restated Shareholders' Servicing and Transfer
Agent Agreement dated November 1, 2003 - incorporated by reference to
Exhibit (h)(3) in Part C, Item 23 of Post-Effective Amendment No. 132
to the Registration Statement on Form N-1A of Columbia Funds Trust III
(Filed Nos. 2-15184 and 811-881), filed with the Commission on or about
February 25, 2004.
(13)(g) Credit Facility between Registrant and State Street Bank and Trust
Company dated July 23, 2004 -- incorporated by reference to Exhibit
(h)(7) in Part C, Item 23 of Post-Effective Amendment No. 64 to the
Registration Statement on Form N-1A of Columbia Funds Trust II (File
Nos. 2-66976 and 811-3009), filed with the Commission on or about July
29, 2004.
(14) Consent of Pricewaterhouse Coopers LLP, Independent Registered Public
Accounting Firm -- incorporated by reference to Exhibit 14 to Part C,
Item 16 of the Registrant's Registration Statement on Form N-14 (File
No. 333-125500), as filed with the Commission on June 3, 2005
(Accession No. 0001193125-05-120094).
(16) Power of Attorney for: Douglas A. Hacker, Janet Langford Kelly, Richard
W. Lowry, William E. Mayer, Charles R. Nelson, John J. Neuhauser,
Patrick J. Simpson, Thomas E. Stitzel, Thomas C. Theobald, Anne-Lee
Verville and Richard L. Woolworth -- incorporated by reference to
Exhibit 16 to Part C, Item 16 of the Registrant's Registration
Statement on Form N-14 (File No. 333-125500), as filed with the
Commission on June 3, 2005 (Accession No. 0001193125-05-120094).
(17) Not applicable.
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1. Incorporated by reference to Post-Effective Amendment No. 21 to the
Registration Statement filed on or about May 23, 1997.
2. Incorporated by reference to Post-Effective Amendment No. 25 to the
Registration Statement filed on or about May 28, 1999.
3. Incorporated by reference to Post-Effective Amendment No. 30 to the
Registration Statement filed on or about May 23, 2001.
4. Incorporated by reference to Post-Effective Amendment No. 37 to the
Registration Statement filed on or about October 30, 2002.
5. Incorporated by reference to Post-Effective Amendment No. 41 to the
Registration Statement filed on or about March 1, 2004.
6. Incorporated by reference to Post-Effective Amendment No. 42 to the
Registration Statement filed on or about July 29, 2004.
7. Incorporated by reference to Post-Effective Amendment No. 44 to the
Registration Statement filed on or about February 25, 2005.
Item 17. Undertakings
(1) The undersigned registrant agrees that prior to any public reoffering
of the securities registered through the use of a prospectus which is a
part of this registration statement by any person or party who is
deemed to be an underwriter within the meaning of Rule 145(c) of the
Securities Act, the reoffering prospectus will continue the information
called for by the applicable registration form for the reofferings by
persons who may be deemed underwriters, in addition to the information
called for by the other items of the applicable form.
(2) The undersigned registrant agrees that every prospectus that is filed
under paragraph (1) above will be filed as a part of an amendment to
the registration statement and will not be used until the amendment is
effective, and that, in determining any liability under the 1933 Act,
each post-effective amendment shall be deemed to be a new registration
statement for the securities offered therein, and the offering of the
securities at that time shall be deemed to be the initial bona fide
offering of them.
NOTICE
A copy of the Agreement and Declaration of Trust, as amended, of Columbia Funds
Series Trust I (the "Trust") is on file with the Secretary of The Commonwealth
of Massachusetts and notice is hereby given that this instrument has been
executed on behalf of the Trust by an officer of the Trust as an officer and by
its Trustees as trustees and not individually, and the obligations of or arising
out of this instrument are not binding upon any of the Trustees, officers or
shareholders individually but are binding only upon the assets and property of
the Trust.
SIGNATURES
As required by the Securities Act of 1933, as amended, this
Registration Statement has been signed on behalf of the Registrant, in the City
of Boston and The Commonwealth of Massachusetts, on the 17th day of April, 2006.
COLUMBIA FUNDS SERIES TRUST I
By: /s/ Christopher L. Wilson
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Name: Christopher L. Wilson
Title: President
As required by the Securities Act of 1933, as amended, this
Registration Statement has been signed by the following persons in their
capacities and on the dates indicated.
Signature Title Date
- --------------------------- --------------------------------------- --------------
/s/ Christopher L. Wilson
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Christopher L. Wilson President (Chief Executive Officer) April 17, 2006
/s/ J. Kevin Connaughton
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J. Kevin Connaughton Treasurer (Principal Financial Officer) April 17, 2006
/s/ Michael G. Clarke
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Michael G. Clarke Chief Accounting Officer (Principal April 17, 2006
Accounting Officer)
/s/ Douglas A. Hacker*
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Douglas A. Hacker Trustee April 17, 2006
/s/ Janet Langford Kelly*
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Janet Langford Kelly Trustee April 17, 2006
/s/ Richard W. Lowry* Trustee
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Richard W. Lowry April 17, 2006
/s/ William E. Mayer*
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William E. Mayer Trustee April 17, 2006
/s/ Charles R. Nelson*
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Charles R. Nelson Trustee April 17, 2006
/s/ John J. Neuhauser*
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John J. Neuhauser Trustee April 17, 2006
/s/ Patrick J. Simpson*
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Patrick J. Simpson Trustee April 17, 2006
/s/ Thomas E. Stitzel*
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Thomas E. Stitzel Trustee April 17, 2006
/s/ Thomas C. Theobald*
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Thomas C. Theobald Trustee April 17, 2006
/s/ Anne-Lee Verville*
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Anne-Lee Verville Trustee April 17, 2006
/s/ Richard L. Woolworth*
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Richard L. Woolworth Trustee April 17, 2006
*By: /s/ J. Kevin Connaughton,
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Attorney-in-Fact
April 17, 2006
EXHIBIT INDEX
(12)(a) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Nations Funds Trust (on behalf of Nations
Tennessee Intermediate Municipal Bond Fund) and Columbia Funds Trust V
(on behalf of Columbia Intermediate Tax-Exempt Bond Fund)
(12)(b) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Nations Funds Trust (on behalf of Nations
Intermediate Municipal Bond Fund) and Columbia Funds Trust V (on behalf
of Columbia Intermediate Tax-Exempt Bond Fund)
(12)(c) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Nations Funds Trust (on behalf of Nations Kansas
Municipal Income Fund) and Columbia Funds Trust V (on behalf of
Columbia Intermediate Tax-Exempt Bond Fund)
(12)(d) Opinion of Ropes & Gray LLP as to tax matters with respect to the
transaction involving Columbia Funds Trust V, on behalf of each of its
two series, Columbia Pennsylvania Intermediate Municipal Bond Fund and
Columbia Intermediate Tax-Exempt Bond Fund