-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CtOlM2yZ3Djx4hTj4/pUrnOTFrSlylW+C6xrEvdd7UG/qnAmJI0U2Qt0aSVroSNd XvL22CxqbJzN2EMzxpaEMA== 0001104659-05-051583.txt : 20051101 0001104659-05-051583.hdr.sgml : 20051101 20051101170615 ACCESSION NUMBER: 0001104659-05-051583 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20051101 ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20051101 DATE AS OF CHANGE: 20051101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 051170536 BUSINESS ADDRESS: STREET 1: 50591 AMERIPRISE FINANCIAL CENTER STREET 2: GENERAL COUNSEL'S OFFICE CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-4471 MAIL ADDRESS: STREET 1: 50591 AMERIPRISE FINANCIAL CENTER STREET 2: GENERAL COUNSEL'S OFFICE CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 8-K 1 a05-19402_18k.htm CURRENT REPORT OF MATERIAL EVENTS OR CORPORATE CHANGES

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 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):  November 1, 2005

 

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)

 

(IRS 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):

 

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

 

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

 

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

 

o                                    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 



 

Item 7.01               Regulation FD Disclosure.

 

On November 1, 2005, Ameriprise Financial, Inc. (the “Company”) issued the press release attached hereto as Exhibit 99.1 recommending that the Company’s stockholders reject the “mini-tender” offer by TRC Capital Corporation.  As described in the press release, the Company was previously notified of an unsolicited “mini-tender” offer by TRC Capital to purchase up to 2.5 million shares of the Company’s common stock, representing approximately 1 percent of the outstanding shares, for $31.10 net per share.

 

2



 

Item 9.01               Financial Statements and Exhibits.

 

(c)           Exhibits.

 

Exhibit No.

 

Description

 

 

 

99.1

 

Press Release dated November 1, 2005 recommending rejection of mini-tender offer

 

3



 

SIGNATURE

 

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, thereunto duly authorized.

 

 

AMERIPRISE FINANCIAL, INC.

 

(REGISTRANT)

 

 

 

 

DATE: November 1, 2005

By:

/s/ Andrew J. MacMillan

 

 

 

Name:

Andrew J. MacMillan, Senior Vice President – Corporate Communications & Government
Affairs

 

4



 

AMERIPRISE FINANCIAL, INC.
CURRENT REPORT ON FORM 8-K
Report Dated November 1, 2005

 

Exhibit No.

 

Description

 

 

 

99.1

 

Press Release dated November 1, 2005 recommending rejection of mini-tender offer

 

5


EX-99.1 2 a05-19402_1ex99d1.htm EXHIBIT 99

Exhibit 99.1

Ameriprise Financial, Inc.

108 Ameriprise Financial Center

Minneapolis, MN 55474

 

 

Contact:

 

Paul Johnson

 

Ameriprise Financial

 

612.671.0625

 

paul.w.johnson@ampf.com

 

 

 

News Release

 

 

Ameriprise Financial Recommends Rejection of “Mini-Tender” Offer From TRC Capital

 

 

Minneapolis — November 1, 2005 — Ameriprise Financial, Inc. (NYSE: AMP) today said that it has been notified of an unsolicited so-called “mini-tender” offer by TRC Capital Corporation to purchase up to 2.5 million shares of its common stock, representing approximately 1 percent of the outstanding shares. TRC Capital’s offer price of $31.10 net per share represents a 4.1 percent discount to the $32.43 per share closing price of Ameriprise Financial’s stock on October 18, 2005, the day prior to the date of the offer, and is more than 16.4 percent below yesterday’s $37.22 per share NYSE closing price.

 

Ameriprise Financial stated that it strongly recommends against stockholders tendering their shares in response to this unsolicited mini-tender offer, which is subject to numerous conditions. Ameriprise Financial noted that it is in no way associated with TRC Capital Corporation, the mini-tender offer or the offer documentation.

 

Ameriprise Financial understands that TRC Capital in the past has made similar unsolicited mini-tender offers involving the stock of a number of other companies. These offers seek to acquire less than 5 percent of a company’s outstanding shares and thereby avoid many procedural and disclosure requirements of the Securities and Exchange Commission (SEC) because they are below the SEC’s threshold to provide such disclosure and procedural protections for investors.

 

The SEC has issued an investor alert regarding these mini-tender offers, noting that in making the offers at below-market prices “bidders are hoping that they will catch investors off guard if the investors do not compare the offer price to the current market price.” The SEC’s advisory may be found on the SEC web site, at www.sec.gov/investor/pubs/minitend.htm.

 

Ameriprise Financial stockholders who already have tendered their shares are advised that they may withdraw their shares by providing the written notice described in the TRC Capital offering documents prior to the expiration of the offer currently scheduled for 12:01 AM, New York City Time on November 17, 2005.

 

Ameriprise Financial urges investors to obtain current market quotations for their shares of common stock, to consult their financial advisor and to exercise caution with respect to TRC Capital’s offer.

 



 

Ameriprise Financial draws the attention of broker-dealers and other market participants in the dissemination of the offer to the SEC’s recommendations to broker-dealers in these circumstances, which can be found on the SEC’s website at http://www.sec.gov/divisions/marketreg/minitenders/sia072401.htm and to Information Memo Number 01-27 issued by the NYSE on September 28, 2001 regarding the dissemination of mini-tender offer materials, which can be found under the “Market Professionals — Information Memos” tab on the NYSE’s website at http://www.nyse.com/. Ameriprise Financial requests that a copy of this press release be included with all distributions of materials relating to TRC Capital’s mini-tender offer.

 

Ameriprise Financial is one of the nation’s leading financial planning, asset management and insurance companies. Through its nationwide network of more than 10,000 financial advisors, Ameriprise Financial delivers solutions to clients through a comprehensive and personalized financial planning approach built on a long term relationship with a knowledgeable advisor. The company specializes in meeting the retirement-related financial needs of the mass affluent. For more information, visit www.ameriprise.com

 

#  #  #

Financial advisory services and investments available through Ameriprise Financial Services, Inc., Member NASD and SIPC. RiverSourceSM insurance and annuities issued by IDS Life Insurance Company, and in New York only, IDS Life Insurance Company of New York, Albany, New York. These companies are part of Ameriprise Financial, Inc.

 


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