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Ameriprise Financial Inc. – ‘8-K’ for 4/12/21

On: Monday, 4/12/21, at 7:18am ET · For: 4/12/21 · Accession #: 1104659-21-49103 · File #: 1-32525

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/12/21  Ameriprise Financial Inc.         8-K:7,8,9   4/12/21   11:240K                                   Toppan Merrill/FA

Current Report — Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     28K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML     22K 
 7: R1          Cover                                               HTML     46K 
 9: XML         IDEA XML File -- Filing Summary                      XML     11K 
 6: XML         XBRL Instance -- tm2112702d1_8k_htm                  XML     15K 
 8: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.LAB  XBRL Labels -- amp-20210412_lab                      XML     96K 
 5: EX-101.PRE  XBRL Presentations -- amp-20210412_pre               XML     64K 
 3: EX-101.SCH  XBRL Schema -- amp-20210412                          XSD     12K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               25±    33K 
11: ZIP         XBRL Zipped Folder -- 0001104659-21-049103-xbrl      Zip     17K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

iX: C: C: C: C: C: C: C: C:

i 0000820027 i flase 0000820027 2021-04-12 2021-04-12 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM i 8-K

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):		i April 12, 2021

i AMERIPRISE FINANCIAL, INC.
(Exact name of registrant as specified in its charter)

i Delaware	i 001-32525		i 13-3180631
(State or other jurisdiction of incorporation)	(Commission File Number)		(I.R.S. Employer Identification No.)

i 1099 Ameriprise Financial Center, i Minneapolis, i Minnesota		i 55474
(Address of principal executive offices)		(Zip Code)

Registrant’s telephone number, including area code		i 612 i 671-3131

Former name or former address, if changed since last report:

Not Applicable

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

i ¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class		Trading Symbol		Name of each exchange on which registered
i Common Stock (par value $.01 per share)		i AMP		i New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter)

Emerging growth company i ¨

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

Item 7.01 Regulation FD Disclosure.

On April 12, 2021, Ameriprise Financial, Inc. issued a press release to announce that it signed a definitive agreement with BMO Financial Group to acquire its EMEA asset management business. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is furnished herewith.

Item 8.01 Other Events.

On April 12, 2021, Ameriprise Financial, Inc. issued a press release to announce that it signed a definitive agreement with BMO Financial Group to acquire its EMEA asset management business.

Item 9.01

Financial Statements and Exhibits.

(d) Exhibits.

Exhibit No.		Description

Exhibit 99.1		Press Release dated April 12, 2021

Exhibit 104		Cover page is formatted in iXBRL (Inline eXtensible Business Reporting Language) and contained in Exhibit 101.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

	AMERIPRISE FINANCIAL, INC.
	(Registrant)


Date: April 12, 2021	By	/s/ *Walter S. Berman*
		Walter S. Berman
		Executive Vice President and Chief Financial Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on / For Period end:	4/12/21	SC 13G/A
		List all Filings

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Filing Submission 0001104659-21-049103 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)