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Ameriprise Financial Inc. 
 MN
  SEC # 820027

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12,639  SEC Filings
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  from  1/4/94  to  3/27/24  (Yesterday)

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  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘144’ — Notice of a Proposed Sale of Securities by an Insider — Form 144 — Filed re:  Issuer / Subject Company — Filed by:  Alvero Gumer 
 
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notifications of all
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Filings
involving  Ameriprise Financial Inc. 

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Forms
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, Documents
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& Exhibits
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 in  2,111 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
3/15/24 New Document this Past Month!ARSUpdate:  Annual Reports to Security Holders  New Document this Past Month! 3
3/15/24 New Document this Past Month!DEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  New Document this Past Month! 10
3/15/24 New Document this Past Month!DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  New Document this Past Month!  — Financial Reports
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19
3/1/24 New Document this Past Month!PRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  New Document this Past Month!  — Financial Reports
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3
2/27/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G1,558
2/23/24S-3ASRRegistration:  Automatic Shelf Registration Statements by Well-Known Issuers — Form S-37
2/22/2410-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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19
2/14/2413F-HROwnership:  Quarterly Holdings and Combination Reports by Money Managers — Form 13F — Assets Under Management
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112
1/24/248-KUpdate:  Current Reports — Form 8-K — Press Releases
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& Conference Calls
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 — Financial Reports
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185

8-K Items: 
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6/11/21 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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26
11/23/11 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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1
2/1/17 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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1
1/24/24"Results of Operations and Financial Condition — Item 2.02 — Financial Reports
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74
6/11/21 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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7
10/3/05 OLD
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  Securities & Trading: 
Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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1
3/1/11 OLD
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ‘EX-16’
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3
4/28/23
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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20
10/5/18 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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8
8/8/17 OLD"Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans — Item 5.04  OLD 1
10/3/05 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD 1
6/8/23"Submission of Matters to a Vote of Security Holders — Item 5.0715
3/31/09 OLD
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  Asset-Backed Securities: 
Securities Act Updating Disclosure — Item 6.05  OLD 1
4/13/23
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  Disclosures: 
Regulation FD Disclosure — Item 7.01 — ‘EX-99’
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24
11/9/23
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  Events: 
Other Events — Item 8.0133
1/24/24
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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134

11/8/23424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities20
11/7/23FWPRegistration:  Prospectuses – Free Writing13
11/7/23424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events11
11/2/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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55
6/22/2311-KUpdate:  Annual Reports by Employee Stock Purchase, Savings and Similar Plans — Form 11-K18
4/28/23S-8 POSRegistration:  Post-Effective Amendment of a Form S-8 Registration1
4/28/23S-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-812
2/21/23 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 4
12/30/15 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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17
3/6/14 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD 1
10/24/13 OLD144Ownership:  Notice of a Proposed Sale of Securities by an Insider — Form 144  OLD 1
1/30/13 OLDNO ACTSEC:  SEC No-Action Letter re: a Shareholder Proposal  OLD 1
9/17/10 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 7
4/23/10 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 2
3/8/10 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 3
6/9/09 OLDCERTNYSTrading:  Certifications by the NYSE Approving Listings — Form CERT  OLD 2
6/3/09 OLD8-A12BRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
10/5/05 OLDS-3Registration:  Registration Statement – Securities for a Transaction — Form S-3  OLD 1
8/19/05 OLD10-12BRegistration:  Registration Statements — Form 10  OLD 8
12/9/03 OLD13F-EOwnership:  Quarterly Holdings Reports by Money Managers — Form 13F  OLD  — Assets Under Management
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22

Letters: 
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8/19/05 OLDCOVERComment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC3

Form-Specific Documents: 
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2/14/24INFO-TABLEPortfolio Securities Holdings – Info Tables — Form 13F — Assets Under Management
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44

General Exhibits: 
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2/23/24EX-23Consents of Experts and Counsel62
2/23/24EX-FILING FEESFiling Fees5
2/23/24EX-5Opinions of Counsel re: Legality39
2/23/24EX-24Powers of Attorney7
2/23/24EX-25Statements of Eligibility to Act as a Trustee — Forms T-1 & T-228
2/22/24EX-13Annual and Quarterly Reports to Security Holders19
2/22/24EX-3Articles of Incorporation/Organization and Bylaws21
2/22/24EX-97Clawback Policy re: Recovery of Erroneously Awarded Compensation1
2/22/24EX-10Material Contracts124
2/22/24EX-21Subsidiaries Lists23
11/9/23EX-4Instruments, Including Indentures, Defining the Rights of Security Holders49
11/9/23EX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)15
5/26/06 OLDEX-8Opinion of Counsel re: Tax Matters  OLD 1
8/19/05 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 4

Additional Exhibits: 
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2/27/24EX-99Miscellaneous Exhibits, such as Press Releases — Press Releases
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& Conference Calls
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2,021

Financials: 
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3/15/24 New Report this Past Month!XML  &  R#IDEA Financial Reports Info  New Report this Past Month!  — Financial Reports
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6,101
3/15/24 New Exhibit this Past Month!EX-101.*XBRL Data  (XBRL Files)  New Exhibit this Past Month! 477
3/15/24 New Exhibit this Past Month!JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  New Exhibit this Past Month! 61
3/15/24 New Folder this Past Month!ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  New Folder this Past Month! 
95
3/1/24 New Workbook this Past Month!EXCELIDEA Workbooks of Financial Reports Info  New Workbook this Past Month!  — Workbooks of Financial Reports
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104
2/22/24EX-31Certifications — §302 – SOA’02148
2/22/24EX-32Certifications — §906 – SOA’0274
2/28/18 OLDEX-12Statements re: Computations of Ratios  OLD 19
3/1/11 OLDEX-16Letters re: Changes in Accountants  OLD 6

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3/15/24 New Graphic this Past Month!GRAPHICPhotos, Images and Graphs  New Graphic this Past Month! 2,783

History as a Money Manager:  Assets Under Management
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 ·  Related Money Managers


1 Related Manager who also Reported Holdings for this Manager

As Of
  
 
Quarter
(Ended)
  Holdings
Form 13F
  Assets
(Millions)
  Reporting Manager
Manager with whom Investment Discretion is Shared
2/12/2412/31/23  99 of 3,386  $5,725  
 SD
 
Dorsey & Whitney Trust Co. LLC


Forms
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, Documents
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& Exhibits
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 in  1,662 Filings
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 Filed re:  Issuer / Subject Company


        
New Filing!  List all Money Managers that own this Security Issuer:  CUSIP 03076C
 

        
Latest Filing  Type    Category    Description        Documents
     
3/27/24 New Document this Past Month!144Ownership:  Notices of Proposed Sales of Securities by Insiders — Form 144  New Document this Past Month! 24
3/1/24 New Document this Past Month!4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  New Document this Past Month! 1,481
2/13/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G65
11/7/23FWPRegistration:  Prospectuses – Free Writing13
9/15/22 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 47
6/18/14 OLD25-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD 1
2/14/06 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 8

Letters: 
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1/27/16 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC23

General Exhibits: 
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1/30/24EX-24Powers of Attorney164

Additional Exhibits: 
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6/18/14 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 7

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11/7/23GRAPHICPhotos, Images and Graphs12


        

Filings History

Year    # of Filings
In descending order
2024 113
2023 163
2022 163
2021 167
2020 154
2019 141
2018 152
2017 187
2016 176
2015 216
2014 272
2013 290
2012 308
2011 286
2010 194
2009 152
2008 134
2007 118
2006 556
2005 1,127
2004 984
2003 839
2002 718
2001 676
2000 802
1999 767
1998 613
1997 687
1996 601
1995 509
1994 374

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