Ameriprise Financial (AMP) 8-K Submission of Matters to a Vote of Security Holders

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 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)		April 28, 2021
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)		(I.R.S. 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):

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

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

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

¨   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(s)	Name of each exchange on which registered:
Common Stock (par value $.01 per share)	AMP	The New York Stock Exchange, Inc.

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 ¨

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 5.07 Submission of Matters to a Vote of Security Holders.

The 2021 annual meeting of the stockholders of the Company was held on April 28, 2021. At the meeting, the holders of 104,292,958 shares of common stock, which represents approximately 89.4% percent of the 116,599,284 outstanding shares entitled to vote as of the March 1, 2021 record date, were represented in person or by proxy. Detailed voting results are set forth below.

Item 1 – Election of the Nine Director Nominees Named Below. The stockholders elected each director nominee for a term of one year to expire at the 2022 annual meeting of stockholders or until their successors are elected and qualified. The voting results were as follows:

Name	Votes For		Votes Against		Abstentions		Broker Non-Votes
James M. Cracchiolo		85,191,375		9,499,953		205,511		9,396,119
Dianne Neal Blixt		91,906,700		2,862,802		127,337		9,396,119
Amy DiGeso		93,126,511		1,640,902		129,426		9,396,119
Lon R. Greenberg		93,688,359		1,054,819		153,661		9,396,119
Jeffrey Noddle		88,536,285		6,211,902		148,652		9,396,119
Robert F. Sharpe, Jr.		67,449,625		27,222,308		224,906		9,396,119
Brian T. Shea		94,251,924		490,321		154,594		9,396,119
W. Edward Walter III		90,995,870		3,642,256		258,713		9,396,119
Christopher J. Williams		94,112,337		526,136		258,366		9,396,119

Item 2 – Nonbinding Advisory Vote to Approve the Compensation of Named Executive Officers. The stockholders approved, on an advisory basis, the compensation of its named executive officers.

Votes For		Votes Against		Abstentions		Broker Non-Votes
	83,268,804		11,316,317		311,718		9,396,119

Item 3 – Ratification of Audit Committee’s Selection of the Company’s Independent Registered Public Accounting Firm for 2021. The stockholders ratified the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2021.

Votes For		Votes Against		Abstentions
	102,599,609		1,469,210		224,139

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 30, 2021	By	/s/ Wendy B. Mahling
		Wendy B. Mahling
		Senior Vice President — Corporate Secretary & Securities and Corporate Law