-----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, Dv5LF5pw7R3ktB/s6eWV6H3lnek/jwyhOgIypf3BjyKvV84j/ARXX/IU9vT8BAb6 jRDheLhWxVhNyIIOhK/KZw== 0001104659-09-036427.txt : 20090603 0001104659-09-036427.hdr.sgml : 20090603 20090603143817 ACCESSION NUMBER: 0001104659-09-036427 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090603 DATE AS OF CHANGE: 20090603 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 09870955 BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-2018 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER 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-A12B 1 a09-14771_18a12b.htm 8-A12B

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-A

 

FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES

PURSUANT TO SECTION 12(b) OR 12(g) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

AMERIPRISE FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

 

13-3180631

(State or other jurisdiction of incorporation or organization)

 

(I.R.S. Employer Identification No.)

 

 

 

55 Ameriprise Financial Center, Minneapolis, Minnesota

 

55474

(Address of principal executive offices)

 

(Zip Code)

 

Securities to be registered pursuant to Section 12(b) of the Act:

 

Title of each class
to be so registered:

 

Name of each exchange on
which each class is to be registered:

7.75% Senior Notes due 2039

 

NEW YORK STOCK EXCHANGE

 

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective upon filing pursuant to General Instruction A.(c), check the following box.  x

 

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box.  o

 

Securities Act registration statement file number to which this form relates 333-158972

 

Securities to be registered pursuant to Section 12(g) of the Act:  None.

 

 

 


 

Item 1.            Description of Registrant’s Securities to be Registered.

 

The securities to be registered hereby are Ameriprise Financial, Inc.’s (the “Registrant”) 7.75% Senior Notes due 2039 (the “Senior Notes”).  For a description of the Senior Notes to be registered hereby, see the prospectus supplement filed by the Registrant with the Securities and Exchange Commission (the “Commission”) pursuant to Rule 424(b) on May 29, 2009 (the “Prospectus Supplement”) under the Securities Act of 1933, as amended.  The Prospectus Supplement relates to a prospectus filed with the Commission pursuant to Rule 424(b) on May 26, 2009 (the “Prospectus”) and relates to a registration statement filed on Form S-3, Registration No. 333-158972, which became effective on May 4, 2009 (the “1933 Registration Statement”).  The Prospectus and Prospectus Supplement relating to the Senior Notes are incorporated herein by reference.

 

Item 2.            Exhibits.

 

1.

 

Indenture dated as of May 5, 2006, between the Registrant and U.S. Bank National Association, a national banking association, as trustee (incorporated by reference to Exhibit 4.A to the 1933 Registration Statement).

 

 

 

2.

 

Form of Senior Note (incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed with the Commission on June 3, 2009).

 

 

 

3.

 

1933 Registration Statement, Prospectus and Prospectus Supplement.

 

2


 

SIGNATURE

 

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.

 

 

AMERIPRISE FINANCIAL, INC.

 

 

 

 

 

Dated: June 3, 2009

By

/s/ Joel L. Campbell

 

 

Name Joel L. Campbell

 

 

Title Assistant Treasurer

 

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