-----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, KZ4aLW8Tsk8Z2/1BD4+didYVj/pcucj3CXlHf5aLGNMsxKMWuAQJp5B2slBPp9oh NlddsjBtYhdDlza1RMGW7w== 0001104659-05-056352.txt : 20051117 0001104659-05-056352.hdr.sgml : 20051117 20051117082021 ACCESSION NUMBER: 0001104659-05-056352 CONFORMED SUBMISSION TYPE: 8-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051021 ITEM INFORMATION: Results of Operations and Financial Condition FILED AS OF DATE: 20051117 DATE AS OF CHANGE: 20051117 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 051211283 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/A 1 a05-20500_18ka.htm AMENDMENT TO FORM 8-K

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM 8-K/A

 

AMENDMENT NO. 1 TO CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported):  October 21, 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 2.02                                             Results of Operations and Financial Condition.

 

On October 24, 2005, Ameriprise Financial, Inc. (the “Company”) filed a Form 8-K which furnished the Company’s Quarterly Statistical Supplement for the quarterly period ended September 30, 2005 by attaching it as Exhibit 99.2 thereto.  The “Return on equity before discontinued operations” line item in the Financial Summary on page 2 contained inadvertent errors.  The correct numbers for that line item are as follows:

 

 

 

3Q

 

4Q

 

1Q

 

2Q

 

3Q

 

3Q’05 vs. 3Q’04

 

Full Year

 

 

 

2004

 

2004

 

2005

 

2005

 

2005

 

% Inc/(Dec)

 

2004

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Return on equity before discontinued operations ***

 

11.8

%

12.0

%

11.4

%

11.3

%

9.8

%

 

 

12.0

%

 

In addition, the Financial Summary did not include a line for “Effective tax rate” on page 2 after the line “Operating income margin**.”  The information for the “Effective tax rate” is as follows:

 

 

 

3Q

 

4Q

 

1Q

 

2Q

 

3Q

 

3Q’05 vs. 3Q’04

 

Full Year

 

 

 

2004

 

2004

 

2005

 

2005

 

2005

 

% Inc/(Dec)

 

2004

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Effective tax rate

 

27.7

%

12.9

%

29.3

%

21.5

%

32.2

%

 

 

25.8

%

 

2


 

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 17, 2005

By:

/s/ Walter S. Berman

 

 

 

Name:   Walter S. Berman

 

 

Title:     Executive Vice President and Chief Financial
Officer

 

3

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