OTHER INFORMATION
−Removed: During the three months ended June 30, 2023, no director or officer of the Company adopted , modified or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
+Added: During the three months ended September 30, 2023, no director or officer of the Company adopted , modified or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
AMERIPRISE FINANCIAL, INC.
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All other exhibit numbers indicate exhibits previously filed and are hereby incorporated herein by reference.
−Removed: AMERIPRISE FINANCIAL, INC.
Amended and Restated Certificate of Incorporation of Ameriprise Financial, Inc.
9 unchanged sentences
The registrant agrees to furnish copies of these instruments to the SEC upon request.
−Removed: First Amendment to the Fourth Amended and Restated Credit Agreement, dated as of June 21, 2023, among Ameriprise Financial, Inc., as Borrower, the lenders party thereto, Wells Fargo Bank, National Association as Administrative Agent, and Bank of America, N.A., Citibank, N.A., Credit Suisse AG, New York Branch, HSBC Bank USA, National Association, JPMorgan Chase Bank, N.A., Goldman Sachs Bank USA, U.S.
−Removed: Bank National Association, The Bank of New York Mellon, Barclays Bank PLC, BNP Paribas, Societe Generale, and BMO Harris Bank N.A, as Lenders.
−Removed: Deferred Stock Unit Award Certificate - Threadneedle Deferral Plan
−Removed: Deferred Stock Option Award Certificate - Threadneedle Deferral Plan
−Removed: Form of Deferred Stock Option Award - Threadneedle Deferral Plan
−Removed: Ameriprise Financial Long-Term Incentive Award Program Guide
−Removed: Ameriprise Financial Performance Cash Unit Plan Supplement to the Long-Term Incentive Award Program Guide
−Removed: Ameriprise Financial Performance Share Unit Plan Supplement to the Long-Term Incentive Award Program Guide
−Removed: Ameriprise Financial Form of Award Certificate - EMEA Performance Share Unit Plan Award
Ameriprise Financial Form of Award Certificate - Restricted Stock Award
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Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
−Removed: 101 The following materials from Ameriprise Financial, Inc.’s Quarterly Report on Form 10-Q for the period ended June 30, 2023 are formatted in iXBRL (Inline eXtensible Business Reporting Language):
−Removed: (i) Consolidated Statements of Operations for the three and six months ended June 30, 2023 and 2022;
−Removed: (ii) Consolidated Statements of Comprehensive Income for the three and six months ended June 30, 2023 and 2022;
−Removed: (iii) Consolidated Balance Sheets at June 30, 2023 and December 31, 2022;
−Removed: (iv) Consolidated Statements of Equity for the three and six months ended June 30, 2023 and 2022;
−Removed: (v) Consolidated Statements of Cash Flows for the six months ended June 30, 2023 and 2022;
+Added: 101 The following materials from Ameriprise Financial, Inc.’s Quarterly Report on Form 10-Q for the period ended September 30, 2023 are formatted in iXBRL (Inline eXtensible Business Reporting Language):
+Added: (i) Consolidated Statements of Operations for the three and nine months ended September 30, 2023 and 2022;
+Added: (ii) Consolidated Statements of Comprehensive Income for the three and nine months ended September 30, 2023 and 2022;
+Added: (iii) Consolidated Balance Sheets at September 30, 2023 and December 31, 2022;
+Added: (iv) Consolidated Statements of Equity for the three and nine months ended September 30, 2023 and 2022;
+Added: (v) Consolidated Statements of Cash Flows for the nine months ended September 30, 2023 and 2022;
and (vi) Notes to the Consolidated Financial Statements.
−Removed: 104 The cover page from Ameriprise Financial, Inc.’s Quarterly Report on Form 10-Q for the period ended June 30, 2023 is formatted in iXBRL and contained in Exhibit 101.
+Added: 104 The cover page from Ameriprise Financial, Inc.’s Quarterly Report on Form 10-Q for the period ended September 30, 2023 is formatted in iXBRL and contained in Exhibit 101.
* Filed electronically herewithin.
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AMERIPRISE FINANCIAL, INC.
−Removed: August 8, 2023
+Added: November 2, 2023
/s/ Walter S.
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(Principal Financial Officer)
−Removed: August 8, 2023
+Added: November 2, 2023
Senior Vice President and Controller
1 unchanged sentence
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.