-----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, Pz95EbwkpiXI9PvSUjgzVlL6lfPMTGRBNykqI6ieo2vR+f/6RGuUjt0CpVx1tr3n f2UyTy4ZOY19O1YtQ3d9Xg== 0001104659-09-041210.txt : 20090701 0001104659-09-041210.hdr.sgml : 20090701 20090701094148 ACCESSION NUMBER: 0001104659-09-041210 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20090701 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090701 DATE AS OF CHANGE: 20090701 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-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 09920791 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-K 1 a09-17345_18k.htm 8-K

 

 

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) July 1, 2009

 

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, MN

 

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 8.01.

Other Events.

 

 

 

On July 1, 2009, Ameriprise Financial, Inc. announced that it had commenced a cash tender offer for up to $250 million aggregate principal amount of its outstanding 5.35% Senior Notes due November 15, 2010. A copy of a press release dated July 1, 2009 related to the tender offer is filed with this Current Report as Exhibit 99.1.

 

 

Item 9.01

Financial Statements and Exhibits.

 

 

(d) Exhibits

The following exhibits are filed herewith:

 

 

99.1

Press release of Ameriprise Financial, Inc. dated July 1, 2009.

 

2



 

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: July 1, 2009

By

/s/ Walter S. Berman

 

 

Walter S. Berman
Executive Vice President and Chief Financial Officer

 

3



 

EXHIBIT INDEX

 

Exhibit

 

Description

 

Method of Filing

99.1

 

Press release of Ameriprise Financial, Inc. dated July 1, 2009.

 

Filed Electronically

 


EX-99.1 2 a09-17345_1ex99d1.htm EX-99.1

Exhibit 99.1

 

Ameriprise Financial, Inc.

Ameriprise Financial Center

Minneapolis, MN  55474

 

 

News Release

 

Ameriprise Financial Announces Offer To Purchase For Cash Up To

$250,000,000 Aggregate Principal Amount of Its

5.35% Senior Notes due November 15, 2010

 

MINNEAPOLIS — July 1, 2009 — Ameriprise Financial, Inc. (NYSE: AMP) today announced that it has commenced a fixed price cash tender offer to purchase up to $250,000,000 aggregate principal amount of its 5.35% Senior Notes due November 15, 2010 (the “Notes”). The terms and conditions of the tender offer are described in the Offer to Purchase, dated as of July 1, 2009, and the related Letter of Transmittal.

 

Title of Security
CUSIP No./ISIN
No.

 

Principal
Amount
Outstanding

 

Maximum
Principal
Amount to be
Accepted

 

Tender Offer
Consideration*

 

Early
Tender
Payment*

 

Total
Consideration*

 

5.35% Senior Notes due November 15, 2010 (CUSIP No. 03076CAA4/ISIN No. US03076CAA45)

 

$

800,000,000

 

$

250,000,000

 

$

1,000.00

 

$

30.00

 

$

1,030.00

 

 


*              Per $1,000 principal amount of Notes accepted for purchase.

 

The tender offer is scheduled to expire at 11:59 p.m. New York City time on July 29, 2009, unless extended. Subject to the terms and conditions of the tender offer, Ameriprise Financial expects to pay for Notes that have been validly tendered and not validly withdrawn on the business day after the date on which the tender offer expires.

 

Holders must tender their Notes by 5:00 p.m. New York City time on July 15, 2009, unless extended, to be eligible to receive the total consideration (which includes the early tender payment set forth above). Holders who tender their Notes after such time but prior to the expiration of the tender offer will be eligible to receive the total consideration less the early tender payment.

 



 

In addition, payments for Notes purchased pursuant to the tender offer will include accrued and unpaid interest from the last interest payment date to, but not including, the settlement date.

 

Except in limited circumstances set forth in the Offer to Purchase, withdrawal rights for the tender offer will expire at 5:00 p.m. New York City time on July 15, 2009, unless extended. The tender offer is subject to certain customary conditions, but is not conditioned upon any minimum principal amount of Notes being tendered.

 

Ameriprise Financial has retained Goldman, Sachs & Co. to serve as the lead dealer manager for the tender offer and Utendahl Capital Group, LLC to serve as the co-dealer manager for the tender offer. Ameriprise Financial also has retained Global Bondholder Services Corporation to serve as the depositary and as the information agent for the tender offer. Requests for copies of the Offer to Purchase and related Letter of Transmittal, which contain the full terms and conditions of the tender offer, may be directed to Global Bondholder Services Corporation by telephone at (866) 540-1500 (toll-free) or (212) 430-3774 (collect), or in writing at 65 Broadway, Suite 723, New York, New York 10006. Questions regarding the tender offer may be directed to Goldman, Sachs & Co. at (800) 828-3182 (toll-free) or (212) 902-5183 (collect) or Utendahl Capital Group, LLC at 212-797-2665.

 

This announcement is neither an offer to purchase nor a solicitation of an offer to sell the Notes or any other securities. The tender offer is made only by and pursuant to the terms of the Offer to Purchase and the related Letter of Transmittal. The tender offer is not being made to holders in any jurisdiction in which the making or acceptance thereof would be unlawful. None of Ameriprise Financial, the dealer managers, the depositary or the information agent makes any recommendation as to whether holders should tender their Notes in response to the tender offer. Holders must make their own decisions as to whether to tender Notes and, if so, the principal amount of Notes to tender.

 

Legal Notice Regarding Forward-Looking Statements

 

This news release contains forward-looking statements. All statements other than statements of historical fact included in this news release are forward-looking statements. All forward-looking statements speak only as of the date of this press release. Such forward-looking statements involve known and unknown risks, uncertainties and other factors that may cause the actual results or performance of the company and its affiliates to be materially different from any future results or performance expressed or implied by such forward-looking statements. Such risks, uncertainties and other factors relate to, among others, difficulties potentially delaying or preventing the completion of the transactions relating to the tender offer.

 

Ameriprise Financial, Inc. is a diversified financial services company serving the comprehensive financial planning needs of the mass affluent and affluent.

 

Contacts

 

Investor Relations:

Media Relations:

Laura Gagnon

Paul Johnson

Ameriprise Financial

Ameriprise Financial

612.671.2080

612.671.0625

laura.c.gagnon@ampf.com

paul.w.johnson@ampf.com

 

# # #

 

© 2009 Ameriprise Financial, Inc. All rights reserved.

 

2


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