UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K/A
AMENDMENT NO. 1 TO CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): October 21, 2005
AMERIPRISE FINANCIAL, INC.
(Exact name of registrant as specified in its charter)
Delaware | | 001-32525 | | 13-3180631 |
(State or other jurisdiction
of incorporation) | | (Commission File Number) | | (IRS Employer
Identification No.) |
| | | | |
55 Ameriprise Financial Center
Minneapolis, Minnesota | | 55474 |
(Address of principal executive offices) | | (Zip Code) |
Registrant’s telephone number, including area code: (612) 671-3131
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):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 2.02 Results of Operations and Financial Condition.
On October 24, 2005, Ameriprise Financial, Inc. (the “Company”) filed a Form 8-K which furnished the Company’s Quarterly Statistical Supplement for the quarterly period ended September 30, 2005 by attaching it as Exhibit 99.2 thereto. The “Return on equity before discontinued operations” line item in the Financial Summary on page 2 contained inadvertent errors. The correct numbers for that line item are as follows:
| | 3Q | | 4Q | | 1Q | | 2Q | | 3Q | | 3Q’05 vs. 3Q’04 | | Full Year | |
| | 2004 | | 2004 | | 2005 | | 2005 | | 2005 | | % Inc/(Dec) | | 2004 | |
| | | | | | | | | | | | | | | |
Return on equity before discontinued operations *** | | 11.8 | % | 12.0 | % | 11.4 | % | 11.3 | % | 9.8 | % | | | 12.0 | % |
In addition, the Financial Summary did not include a line for “Effective tax rate” on page 2 after the line “Operating income margin**.” The information for the “Effective tax rate” is as follows:
| | 3Q | | 4Q | | 1Q | | 2Q | | 3Q | | 3Q’05 vs. 3Q’04 | | Full Year | |
| | 2004 | | 2004 | | 2005 | | 2005 | | 2005 | | % Inc/(Dec) | | 2004 | |
| | | | | | | | | | | | | | | |
Effective tax rate | | 27.7 | % | 12.9 | % | 29.3 | % | 21.5 | % | 32.2 | % | | | 25.8 | % |
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SIGNATURE
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, thereunto duly authorized.
| AMERIPRISE FINANCIAL, INC. |
| (REGISTRANT) |
| |
| |
DATE: November 17, 2005 | By: | /s/ Walter S. Berman | |
| | Name: Walter S. Berman |
| | Title: Executive Vice President and Chief Financial
Officer |
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