Current Report Filing (8-k)
April 30 2021 - 4:01PM
Edgar (US Regulatory)
0000820027
false
0000820027
2021-04-28
2021-04-28
iso4217:USD
xbrli:shares
iso4217:USD
xbrli:shares
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
|
Ameriprise Financial (NYSE:AMP)
Historical Stock Chart
From Mar 2024 to Apr 2024
Ameriprise Financial (NYSE:AMP)
Historical Stock Chart
From Apr 2023 to Apr 2024