Registration
No. 333-
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION
STATEMENT
UNDER
THE
SECURITIES ACT OF 1933
AMERIPRISE
FINANCIAL, INC.
(Exact Name of Registrant as Specified in Its
Charter
)
DELAWARE
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13-3180631
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(State or Other Jurisdiction of Incorporation or Organization)
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(I.R.S. Employer Identification No.)
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55
Ameriprise Financial Center
Minneapolis,
Minnesota
(Address of Principal Executive Offices)
55474
(Zip Code)
Ameriprise Advisor Group Deferred Compensation Plan
(Full Title of the Plan)
John C.
Junek, Esq.
Executive Vice President and General Counsel
1099 Ameriprise Financial Center
Minneapolis, Minnesota 55474
(Name and Address of Agent for Service)
(612)
671-3131
(Telephone Number, Including Area Code, of Agent for Service)
Indicate
by check mark whether the registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting
company. See the definitions of large
accelerated filer, accelerated filer and smaller reporting company in Rule 12b-2
of the Exchange Act. (Check one):
Large accelerated filer
x
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Accelerated filer
o
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Non-accelerated filer
o
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Smaller reporting company
o
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(Do not check if a smaller
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reporting company)
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CALCULATION OF
REGISTRATION FEE
Title of Securities
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Amount
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Proposed Maximum
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Proposed Maximum
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Amount of
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to be
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to be
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Offering Price Per Share
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Aggregate Offering
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Registration
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Registered
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Registered (1)
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(2)
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Price (2)
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Fee (2)
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Ameriprise Financial Common Stock, par value $.01
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3,000,000
shares
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$
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26.08
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$
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78,240,000
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$
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4,365.79
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(1)
Consists of
common shares of Ameriprise Financial, Inc. (Common Stock) to be issued
pursuant to the Ameriprise Advisor Group Deferred Compensation Plan (the
Plan), together with an indeterminate number of shares that may be necessary
to adjust the number of shares reserved for issuance pursuant to the Plan as a
result of a stock split, stock dividend or similar adjustment of the
outstanding Common Stock.
(2)
Estimated solely for the
purpose of calculating the registration fee in accordance with Rule 457(h) under
the Securities Act of 1933 with respect to shares of Common Stock issuable
pursuant to the Plan and based upon the average of the high and low prices of a
share of Common Stock as reported on the New York Stock Exchange on May 4,
2009.
PART I
INFORMATION REQUIRED IN SECTION 10(a) PROSPECTUS
The information specified
in Part I of Form S-8 is not required to be filed with the Securities
and Exchange Commission (the Commission) either as part of this Registration
Statement or as prospectuses or prospectus supplements pursuant to the
introductory Note to Part I of Form S-8 and Rule 424 under the
Securities Act of 1933, as amended (the Securities Act). The information
required in the Section 10(a) prospectus is included in the documents
being maintained and delivered by Ameriprise Financial, Inc. (the Registrant)
as required by Part I of Form S-8 and by Rule 428 under the
Securities Act.
PART II
INFORMATION REQUIRED IN THE
REGISTRATION STATEMENT
Item
3.
Incorporation of
Documents by Reference.
The
following documents, heretofore filed by the Registrant with the Commission
pursuant to the Securities Exchange Act of 1934, as amended (the Exchange Act),
are incorporated herein by reference:
(a)
The Registrants Annual Report on Form 10-K
for the fiscal year ended December 31, 2008, as filed with the Commission
on March 2, 2009;
(b)
All other reports filed by the Registrant
pursuant to Section 13(a) or 15(d) of the Exchange Act since December 31,
2008; and
(c)
The description of the Registrants
Common Stock contained in the Registrants Form 10 Registration Statement
as filed with the Commission on August 19, 2005, including any amendment
or report filed for the purpose of updating such description.
All
documents subsequently filed by the Registrant with the Commission pursuant to
Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act subsequent to the
date of this Registration Statement and prior to the filing of a post-effective
amendment to this Registration Statement which indicates that all securities
offered have been sold or which deregisters all securities then remaining
unsold, shall be deemed to be incorporated by reference in this Registration
Statement and to be part hereof from the date of filing such documents. Any
statement contained in a document incorporated or deemed to be incorporated by
reference herein shall be deemed to be modified or superseded for purposes of
this Registration Statement to the extent that a statement contained herein, or
in any subsequently filed document which also is or is deemed to be
incorporated by reference herein, modifies or supersedes such statement. Any
such statement so modified or superseded shall not be deemed, except as so
modified or superseded, to constitute a part of this Registration Statement.
Nothing
in this Registration Statement shall be deemed to incorporate information
furnished but not filed with the Commission pursuant to Item 2.02 or Item 7.01
of Form 8-K.
Item
4.
Description of
Securities.
Not
applicable.
Item
5.
Interests of Named
Experts and Counsel.
As of May 4, 2009,
John C. Junek, Esq., Executive Vice President and General Counsel of the
Registrant, who has rendered the opinion attached hereto as Exhibit 5.1,
beneficially owned shares of the Registrants Common Stock having a fair market
value of approximately $643,000.00, vested Stock Options having a value of
2
approximately $132,000.00,
and phantom share units in the Companys Deferred Compensation Plan and
Supplemental Retirement Plan having a value of approximately $260,000.00.
In addition, Mr. Junek holds unvested options to purchase shares of the
Registrants Common Stock granted under the Ameriprise Financial 2005 Incentive
Compensation Plan which are not included in his beneficially owned shares.
Item
6.
Indemnification of
Directors and Officers.
Article VI of the
Registrants Amended and Restated Bylaws provides as follows:
Section 6.01.
Nature Of Indemnity
. The Corporation shall indemnify any person
who was or is a party or is threatened to be made a party to any threatened,
pending or completed action, suit or proceeding (a Proceeding), whether
civil, criminal, administrative or investigative, by reason of the fact that he
or she is or was or has agreed to become a Director or officer of the
Corporation, or is or was serving or has agreed to serve at the request of the
Corporation as a Director or officer, of another corporation, partnership,
joint venture, trust or other enterprise, or by reason of any action alleged to
have been taken or omitted in such capacity, and may indemnify any person who
was or is a party or is threatened to be made a party to such a Proceeding by
reason of the fact that he or she is or was or has agreed to become an employee
or agent of the Corporation, or is or was serving or has agreed to serve at the
request of the Corporation as an employee or agent of another corporation,
partnership, joint venture, trust or other enterprise, against expenses
(including attorneys fees), judgments, fines and amounts paid in settlement
actually and reasonably incurred by him or her or on his or her behalf in
connection with such Proceeding and any appeal therefrom, if he or she acted in
good faith and in a manner he or she reasonably believed to be in or not
opposed to the best interests of the Corporation, and, with respect to any
criminal Proceeding, had no reasonable cause to believe his or her conduct was
unlawful; except that in the case of a Proceeding by or in the right of the
Corporation to procure a judgment in its favor (1) such indemnification
shall be limited to expenses (including attorneys fees) actually and reasonably
incurred by such person in the defense or settlement of such Proceeding, and (2) no
indemnification shall be made in respect of any claim, issue or matter as to
which such person shall have been adjudged to be liable to the Corporation
unless and only to the extent that the Delaware Court of Chancery or the court
in which such Proceeding was brought shall determine upon application that,
despite the adjudication of liability but in view of all the circumstances of
the case, such person is fairly and reasonably entitled to indemnity for such
expenses which the Delaware Court of Chancery or such other court shall deem
proper. Notwithstanding the foregoing, but subject to Section 6.05 of
these By-Laws, the Corporation shall not be obligated to indemnify a Director
or officer of the Corporation in respect of a Proceeding (or part thereof)
instituted by such Director or officer, unless such Proceeding (or part
thereof) has been authorized by the Board of Directors. The termination of any
Proceeding by judgment, order settlement, conviction, or upon a plea of nolo
contendere or its equivalent, shall not, of itself, create a presumption that
the person did not act in good faith and in a manner which he or she reasonably
believed to be in or not opposed to the best interests of the Corporation, and,
with respect to any criminal Proceeding, had reasonable cause to believe that
his or her conduct was unlawful.
Section 6.02.
Successful Defense
. To the extent that a
present or former Director or officer of the Corporation has been successful on
the merits or otherwise in defense of any Proceeding referred to in Section 6.01
hereof or in defense of any claim, issue or matter therein, such person shall
be indemnified against expenses (including attorneys fees) actually and
reasonably incurred by such person in connection therewith.
Section 6.03.
Determination That
Indemnification Is Proper
.
Any indemnification of a present or former Director or officer of the
Corporation under Section 6.01 hereof (unless ordered by a court) shall be
made by the Corporation unless a determination is made that indemnification of
the present or former Director or officer is not proper in the circumstances
because he or she has not met the applicable standard of conduct set forth in Section 6.01
hereof. Any indemnification of a present or former employee or agent of the
Corporation under Section 6.01 hereof (unless ordered by a court) may be
made by the Corporation upon a determination that indemnification of the
present or former employee or agent is proper in the circumstances because he
or she has met the applicable standard of conduct set forth in Section 6.01
hereof. Any such determination shall be made, with respect to a person who is a
Director or officer at the time of such determination, (1) by a majority
vote of the Directors who are not parties to such Proceeding, even though less
than a quorum, or (2) by a committee of such Directors designated by
majority vote of such Directors, even though less than a quorum, or (3) if
there are no such Directors, or if such Directors so direct, by independent
legal counsel in a written opinion, or (4) by the stockholders.
3
Section 6.04.
Advance Payment Of Expenses
. Expenses
(including attorneys fees) incurred by a Director or officer in defending any
civil, criminal, administrative or investigative Proceeding shall be paid by
the Corporation in advance of the final disposition of such Proceeding upon
receipt of an undertaking by or on behalf of the Director or officer to repay
such amount if it shall ultimately be determined that such person is not
entitled to be indemnified by the Corporation as authorized in this Article.
Such expenses (including attorneys fees) incurred by former Directors and
officers or other employees and agents may be so paid upon such terms and
conditions, if any, as the Corporation deems appropriate. The Board of
Directors may authorize the Corporations counsel to represent such Director,
officer, employee or agent in any Proceeding, whether or not the Corporation is
a party to such Proceeding.
Section 6.05.
Procedure For
Indemnification Of Directors And Officers
. Any indemnification of a Director or officer
of the Corporation under Sections 6.01 and 6.02, or advance of costs, charges
and expenses to a Director or officer under Section 6.04 of these By-Laws,
shall be made promptly, and in any event within thirty (30) days, upon the
written request of the Director or officer. If a determination by the
Corporation that the Director or officer is entitled to indemnification
pursuant to this Article VI is required, and the Corporation fails to
respond within thirty (30) days to a written request for indemnity, the
Corporation shall be deemed to have approved such request. If the Corporation
denies a written request for indemnity or advancement of expenses, in whole or
in part, or if payment in full pursuant to such request is not made within
thirty (30) days, the right to indemnification or advances as granted by this Article VI
shall be enforceable by the Director or officer in any court of competent
jurisdiction. Such persons costs and expenses incurred in connection with
successfully establishing his or her right to indemnification, in whole or in
part, in any such Proceeding shall also be indemnified by the Corporation. It
shall be a defense to any such Proceeding (other than an action brought to
enforce a claim for the advance of costs, charges and expenses under Section 6.04
of these By-Laws where the required undertaking, if any, has been received by
the Corporation) that the claimant has not met the standard of conduct set
forth in Section 6.01 of these By-Laws, but the burden of proving such
defense shall be on the Corporation. Neither the failure of the Corporation
(including its Board of Directors, its independent legal counsel, and its
stockholders) to have made a determination prior to the commencement of such
action that indemnification of the claimant is proper in the circumstances
because he or she has met the applicable standard of conduct set forth in Section 6.01
of these By-Laws, nor the fact that there has been an actual determination by
the Corporation (including its Board of Directors, its independent legal
counsel, and its stockholders) that the claimant has not met such applicable
standard of conduct, shall be a defense to the action or create a presumption
that the claimant has not met the applicable standard of conduct.
Section 6.06.
Survival; Preservation Of
Other Rights
. The foregoing
indemnification provisions shall be deemed to be a contract between the
Corporation and each Director, officer, employee and agent who serves in any
such capacity at any time while these provisions as well as the relevant
provisions of the Delaware General Corporation Law are in effect and any repeal
or modification thereof shall not affect any right or obligation then existing
with respect to any state of facts then or previously existing or any
Proceeding previously or thereafter brought or threatened based in whole or in
part upon any such state of facts. Such a contract right may not be modified
retroactively without the consent of such Director, officer, employee or agent.
The indemnification provided by this Article VI shall not be deemed
exclusive of any other rights to which those indemnified may be entitled under
any by-law, agreement, vote of stockholders or disinterested Directors or
otherwise, both as to action in such persons official capacity and as to
action in another capacity while holding such office, and shall continue as to
a person who has ceased to be a Director, officer, employee or agent and shall
inure to the benefit of the heirs, executors and administrators of such a
person.
Section 6.07.
Insurance
. The Corporation may purchase and maintain
insurance on behalf of any person who is or was or has agreed to become a
Director, officer, employee or agent of the Corporation, or is or was serving
at the request of the Corporation as a Director or officer, employee or agent
of another corporation, partnership, joint venture, trust or other enterprise
against any liability asserted against such person and incurred by such person
or on such persons behalf in any such capacity, or arising out of such persons
status as such, whether or not the Corporation would have the power to
indemnify him or her against such liability under the provisions of this Article VI.
Section 6.08.
Severability
. If this Article VI or any portion hereof
shall be invalidated on any ground by any court of competent jurisdiction, then
the Corporation shall nevertheless indemnify each Director or officer and may
indemnify each employee or agent of the Corporation as to costs, charges and
expenses (including attorneys fees), judgments, fines and amounts paid in
settlement with respect to a Proceeding, whether civil, criminal,
4
administrative or investigative, including a
Proceeding by or in the right of the Corporation, to the fullest extent
permitted by any applicable portion of this Article VI that shall not have
been invalidated and to the fullest extent permitted by applicable law.
Section 145
of the Delaware General Corporation Law permits indemnification against
expenses, fines, judgments and settlements incurred by any director, officer or
employee of a company in the event of pending or threatened civil, criminal,
administrative or investigative proceedings, if such person was, or was
threatened to be made, a party by reason of the fact that he is or was a director,
officer or employee of the company. Section 145 also provides that the
indemnification provided for therein shall not be deemed exclusive of any other
rights to which those seeking indemnification may otherwise be entitled.
The
Plan provides for indemnification of each member of the committee responsible
for administering the Plan, and each of its designees to whom any duty of the
committee may be delegated, against any and all claims, losses, damages,
expenses or liabilities arising from any action or failure to act with respect
to the Plan, except in the case of willful misconduct by the committee or any
of its members or any such designee.
In
addition, the Registrant has purchased insurance policies that provide coverage
for its directors and officers in certain situations where the Registrant
cannot directly indemnify such directors or officers.
Item
7.
Exemption from
Registration Claimed.
Not
applicable.
Item
8.
Exhibits.
The following exhibits
are filed with or incorporated by reference into this Registration Statement
(numbering corresponds to Exhibit Table in Item 601 of Regulation S-K).
Exhibit No.
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Document
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4.1
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Ameriprise Advisor
Group Deferred Compensation Plan.
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4.2
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Amended and Restated
Certificate of Incorporation of the Registrant
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4.3
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Amended and Restated
Bylaws of the Registrant
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5.1
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Opinion of John C.
Junek, Esq., Executive Vice President and General Counsel of the
Registrant, regarding the validity of the securities being registered
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23.1
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Consent of
Ernst & Young LLP, Independent Registered Public Accounting Firm
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23.2
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Consent of John C.
Junek, Esq., Executive Vice President and General Counsel of the
Registrant (included in Exhibit 5.1)
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24.1
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Power of Attorney
(included on signature page)
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Item
9.
Undertakings.
(a)
The undersigned Registrant hereby
undertakes:
(1)
To file, during any period in which
offers or sales are being made, a post-effective amendment to this Registration
Statement:
(i)
To include any prospectus required by Section 10(a)(3) of
the Securities Act;
(ii)
To reflect in the prospectus any facts or
events arising after the effective date of the Registration Statement (or the
most recent post-effective amendment thereof) which, individually or in the
aggregate, represent a fundamental change in the information set forth in the
Registration Statement; and
(iii)
To include any material information with
respect to the plan of distribution not previously disclosed in this
Registration Statement or any material change to such information in this
Registration Statement;
5
provided,
however
, that
paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the information
required to be included in a post-effective amendment by those paragraphs is
contained in periodic reports filed with or furnished to the Commission by the
Registrant pursuant to Section 13 or 15(d) of the Exchange Act that
are incorporated by reference in the Registration Statement.
(2)
That, for the purpose of determining any
liability under the Securities Act, each such post-effective amendment shall be
deemed to be a new registration statement relating to the securities offered
therein, and the offering of such securities at that time shall be deemed to be
the initial
bona fide
offering
thereof.
(3)
To remove from registration by means of a
post-effective amendment any of the securities being registered which remain
unsold at the termination of the offering.
(b)
The undersigned Registrant hereby
undertakes that, for purposes of determining any liability under the Securities
Act, each filing of the Registrants annual report pursuant to Section 13(a) or
15(d) of the Exchange Act (and, where applicable, each filing of an
employee benefit plans annual report pursuant to Section 15(d) of
the Exchange Act) that is incorporated by reference in this Registration
Statement shall be deemed to be a new registration statement relating to the
securities offered therein, and the offering of such securities at that time
shall be deemed to be the initial
bona fide
offering thereof.
(c)
Insofar as indemnification for
liabilities arising under the Securities Act may be permitted to directors,
officers and controlling persons of the Registrant pursuant to the foregoing
provisions, or otherwise, the Registrant has been advised that in the opinion
of the Commission such indemnification is against public policy as expressed in
the Securities Act and is, therefore, unenforceable. In the event that a claim
for indemnification against such liabilities (other than the payment by the
Registrant of expenses incurred or paid by a director, officer or controlling
person of the Registrant in the successful defense of any action, suit or
proceeding) is asserted by such director, officer or controlling person in connection
with the securities being registered, the Registrant will, unless in the
opinion of its counsel the matter has been settled by controlling precedent,
submit to a court of appropriate jurisdiction the question whether such
indemnification by it is against public policy as expressed in the Securities
Act and will be governed by the final adjudication of such issue.
6
SIGNATURES
Pursuant to the
requirements of the Securities Act of 1933, the Registrant certifies that it
has reasonable grounds to believe that it meets all the requirements for filing
on Form S-8, and has duly caused this Registration Statement to be signed
on its behalf by the undersigned, thereunto duly authorized, in the City of
Minneapolis, State of Minnesota, on the 7th day of May, 2009.
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AMERIPRISE
FINANCIAL, INC.
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/s/ John C. Junek
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JOHN C. JUNEK
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Executive Vice
President and General Counsel
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POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE
PRESENTS, that each person whose signature appears below on this Registration
Statement constitutes and appoints James M. Cracchiolo and John C. Junek, and
each of them, each with full power to act as his or her true and lawful
attorney-in-fact and agent, with full power of substitution and resubstitution,
for him or her and in his or her name, place and stead, in any and all
capacities (unless revoked in writing) to sign any and all amendments or
post-effective amendments related to this Registration Statement, and to file
the same, with all exhibits thereto, and other documents in connection
therewith, with the Securities and Exchange Commission, granting unto said
attorney-in-fact and agents, full power and authority to do and perform each
and every act and thing appropriate or necessary to be done in connection
therewith, as fully to all intents and purposes as he or she might or could do
in person, hereby ratifying and confirming all that said attorney-in-fact and
agents, or their or his or her substitute or substitutes, may lawfully do or
cause to be done by virtue hereof.
Pursuant to the
requirements of the Securities Act of 1933, this Form S-8 Registration
Statement has been signed below by the following persons in the capacities
indicated as of May 7, 2009.
Signature
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Title
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/s/ James M. Cracchiolo
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JAMES M. CRACCHIOLO
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Chairman of the Board,
President and Chief Executive Officer
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(Principal Executive
Officer and Director)
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/s/ Walter S. Berman
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WALTER S. BERMAN
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Executive Vice
President and Chief Financial Officer
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(Principal Financial
Officer)
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/s/ David K. Stewart
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DAVID K. STEWART
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Vice President and
Controller (Chief Accounting Officer)
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/s/ Warren D. Knowlton
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WARREN D. KNOWLTON
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Director
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/s/ W. Walker Lewis
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W. WALKER LEWIS
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Director
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/s/ Siri S. Marshall
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SIRI S. MARSHALL
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Director
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/s/ Jeffrey Noddle
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JEFFREY NODDLE
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Director
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/s/ H. Jay Sarles
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H. JAY SARLES
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Director
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/s/ Robert F.
Sharpe, Jr.
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ROBERT F. SHARPE, JR.
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Director
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/s/ William H. Turner
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WILLIAM H. TURNER
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Director
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8
EXHIBIT INDEX
Exhibit
Number
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Description
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Method of Filing
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4.1
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Ameriprise Advisor
Group Deferred Compensation Plan.
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Filed electronically
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4.2
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Amended and Restated
Certificate of Incorporation of the Registrant (incorporated by
reference to Exhibit 3.1 to the Registrants Current Report on
Form 8-K, File No. 1-32525, filed on October 4, 2005).
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Incorporated by
reference
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4.3
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Amended and Restated
Bylaws of the Registrant (incorporated by reference to Exhibit 3.2 of
the Registrants Annual Report on Form 10-K, file No. 1-32525,
filed on February 27, 2007)
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Incorporated by
reference
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5.1
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Opinion of John C.
Junek, Esq., Executive Vice President and General Counsel of the
Registrant, regarding the validity of securities being registered
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Filed electronically
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23.1
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Consent of
Ernst & Young LLP, Independent Registered Public Accounting Firm
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Filed electronically
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23.2
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Consent of John C.
Junek, Esq., Executive Vice President and General Counsel of the
Registrant (included in Exhibit 5.1)
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Filed electronically
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24.1
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Power of Attorney
(included on signature page)
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Filed electronically
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9
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