April 26, 2021612671-3131AMERIPRISE FINANCIAL, INC.0000820027false00008200272021-04-262021-04-26

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 26, 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

Former name or former address, if changed since last report:			Not Applicable

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

Name of each exchange on which registered

Common Stock (par value $.01 per share)

AMP

New York Stock Exchange

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.			☐

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Item 2.02      Results of Operations and Financial Condition.

 

On April 26, 2021, Ameriprise Financial, Inc. (the “Company,” “we,” or “our”) issued a press release announcing its financial results for the first quarter of 2021. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference and furnished herewith.

 

Item 9.01      Financial Statements and Exhibits.

 

(d)         Exhibits.

 

Exhibit No.						Description
Exhibit 99.1						Press Release dated April 26, 2021 announcing financial results for the first quarter of 2021
Exhibit 104						Cover page (embedded within the Inline eXtensible Business Reporting Language)

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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 26, 2021

By:

/s/ Walter S. Berman

Walter S. Berman

Executive Vice President and

Chief Financial Officer