UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 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): June 17, 2009
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 8.01 Other Events.
On June 17, 2009, Ameriprise Financial, Inc., (the “Company”) completed the issuance and sale of its previously announced public offering of 36,000,000 shares of the Company’s common stock, par value $0.01 per share, at a price of $25.00 per share pursuant to the terms of an Underwriting Agreement (the “Underwriting Agreement”), dated as of June 11, 2009, with J.P. Morgan Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated as representatives of the several underwriters named therein. The Underwriting Agreement is included as Exhibit 1.1 to the Company’s Current Report on Form 8-K filed on June 16, 2009.
2
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, thereunto duly authorized.
| AMERIPRISE FINANCIAL, INC. | ||
|
|
| |
|
|
| |
|
|
| |
DATE: June 17, 2009 | By: | /s/ Walter S. Berman | |
|
| Name: | Walter S. Berman |
|
| Title: | Executive Vice President and Chief Financial Officer |
3