-----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, K5ys1SAAjZbzK5iSNb9D0km8PdMLscu4KyvvxKtNGel0FJSa5HYHiR0+owpSHGLN XMSIWZ0AP9DthHdiIKwgUQ== 0001193125-06-232894.txt : 20061113 0001193125-06-232894.hdr.sgml : 20061113 20061113161645 ACCESSION NUMBER: 0001193125-06-232894 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20061113 GROUP MEMBERS: BLUE CHIP STAMPS GROUP MEMBERS: BORSHEIM'S JEWELRY COMPANY, INC. GROUP MEMBERS: CENTRAL STATES INDEMNITY COMPANY OF OMAHA GROUP MEMBERS: CENTRAL STATES OF OMAHA COMPANIES, INC. GROUP MEMBERS: COLUMBIA INSURANCE COMPANY GROUP MEMBERS: FLIGHTSAFETY INTERNATIONAL, INC. GROUP MEMBERS: NATIONAL FIRE & MARINE INSURANCE COMPANY GROUP MEMBERS: NATIONAL INDEMNITY COMPANY GROUP MEMBERS: NEBRASKA FURNITURE MART, INC. GROUP MEMBERS: OBH, INC. GROUP MEMBERS: THE FECHHEIMER BROTHERS COMPANY GROUP MEMBERS: WARREN E. BUFFETT GROUP MEMBERS: WESCO FINANCIAL CORPORATION GROUP MEMBERS: WESCO HOLDINGS MIDWEST, INC. GROUP MEMBERS: WESCO-FINANCIAL INSURANCE CO. SUBJECT COMPANY: 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81042 FILM NUMBER: 061209143 BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-1788 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERKSHIRE HATHAWAY INC CENTRAL INDEX KEY: 0001067983 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 470813844 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1440 KIEWIT PLZ CITY: OMAHA STATE: NE ZIP: 68131 BUSINESS PHONE: 4023461400 MAIL ADDRESS: STREET 1: 1440 KIEWIT PLAZA CITY: OMAHA STATE: NE ZIP: 68131 FORMER COMPANY: FORMER CONFORMED NAME: NBH INC DATE OF NAME CHANGE: 19980810 SC 13G/A 1 dsc13ga.htm AMENDMENT NO. 1 TO SCHEDULE 13G Amendment No. 1 to Schedule 13G

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

SCHEDULE 13G

(Rule 13d-102)

 

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2(b)

(Amendment No. 1)*

 

 

 

AMERIPRISE FINANCIAL, INC.


(Name of Issuer)

 

COMMON STOCK


(Title of Class of Securities)

 

 

03076C106


                                (CUSIP Number)                                

 

October 31, 2006


(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

x Rule 13d-1 (b)

 

¨ Rule 13d-1 (c)

 

¨ Rule 13d-1 (d)

 

*   The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (the “Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes.)


CUSIP No. 03076C106   13G   Page 2 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Warren E. Buffett

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            United States Citizen

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                14,722,837 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                14,722,837 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            14,722,837 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not Applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            6.0%

   
12  

TYPE OF REPORTING PERSON*

 

            IN

   


CUSIP No. 03076C106   13G   Page 3 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Berkshire Hathaway Inc.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Delaware

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                14,722,837 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                14,722,837 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            14,722,837 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            6.0%

   
12  

TYPE OF REPORTING PERSON*

 

            HC, CO

   


CUSIP No. 03076C106   13G   Page 4 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            OBH, Inc.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Delaware

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                14,722,837 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                14,722,837 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            14,722,837 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            6.0%

   
12  

TYPE OF REPORTING PERSON*

 

            HC, CO

   


CUSIP No. 03076C106   13G   Page 5 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            National Indemnity Company

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                8,451,875 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                8,451,875 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            8,451,875 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            3.5%

   
12  

TYPE OF REPORTING PERSON*

 

            IC, CO

   


CUSIP No. 03076C106   13G   Page 6 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            National Fire & Marine Insurance Company

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                1,598,926 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                1,598,926 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,598,926 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.7%

   
12  

TYPE OF REPORTING PERSON*

 

            IC, CO

   


CUSIP No. 03076C106   13G   Page 7 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Nebraska Furniture Mart, Inc.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                279,942 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                279,942 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            279,942 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.1%

   
12  

TYPE OF REPORTING PERSON*

 

            CO

   


CUSIP No. 03076C106   13G   Page 8 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Borsheim’s Jewelry Company, Inc.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                55,988 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                55,988 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            55,988 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            Less than 0.1%

   
12  

TYPE OF REPORTING PERSON*

 

            CO

   


CUSIP No. 03076C106   13G   Page 9 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            The Fechheimer Brothers Company

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Delaware

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                167,966 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                167,966 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            167,966 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.1%

   
12  

TYPE OF REPORTING PERSON*

 

            CO

   


CUSIP No. 03076C106   13G   Page 10 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Columbia Insurance Company

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                3,445,080 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                3,445,080 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            3,445,080 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            1.4%

   
12  

TYPE OF REPORTING PERSON*

 

            IC, CO

   


CUSIP No. 03076C106   13G   Page 11 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Blue Chip Stamps

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of California

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                388,620 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                388,620 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            388,620 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.2%

   
12  

TYPE OF REPORTING PERSON*

 

            CO

   


CUSIP No. 03076C106   13G   Page 12 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Wesco Holdings Midwest, Inc.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Delaware

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                388,620 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                388,620 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            388,620 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.2%

   
12  

TYPE OF REPORTING PERSON*

 

            HC, CO

   


CUSIP No. 03076C106   13G   Page 13 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Wesco Financial Corporation

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Delaware

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                388,620 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                388,620 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            388,620 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.2%

   
12  

TYPE OF REPORTING PERSON*

 

            CO

   


CUSIP No. 03076C106   13G   Page 14 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Wesco-Financial Insurance Co.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                388,620 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                388,620 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            388,620 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.2%

   
12  

TYPE OF REPORTING PERSON*

 

            IC, CO

   


CUSIP No. 03076C106   13G   Page 15 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Central States of Omaha Companies, Inc.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                174,000 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                174,000 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            174,000 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.1%

   
12  

TYPE OF REPORTING PERSON*

 

            CO

   


CUSIP No. 03076C106   13G   Page 16 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Central States Indemnity Company of Omaha

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of Nebraska

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                174,000 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                174,000 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            174,000 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            0.1%

   
12  

TYPE OF REPORTING PERSON*

 

            IC, CO

   


CUSIP No. 03076C106   13G   Page 17 of 21 Pages

 

  1  

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            FlightSafety International, Inc.

   
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  x

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            State of New York

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  5    SOLE VOTING POWER

 

                NONE


  6    SHARED VOTING POWER

 

                500 shares of Common Stock


  7    SOLE DISPOSITIVE POWER

 

                NONE


  8    SHARED DISPOSITIVE POWER

 

                500 shares of Common Stock

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            500 shares of Common Stock

   
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            Not applicable.

   
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            Les than 0.1%

   
12  

TYPE OF REPORTING PERSON*

 

            CO

   


Page 18 of 21 Pages

SCHEDULE 13G

 

Item 1.

 

(a)

  

Name of Issuer

 

AMERIPRISE FINANCIAL, INC.

         
   

(b)

  

Address of Issuer’s Principal Executive Offices

 

55 Ameriprise Financial Center, Minneapolis, MN 55474

         

Item 2

 

(a).

   Name of Person Filing:          

Item 2

 

(b).

   Address of Principal Business Office:          

Item 2

 

(c).

   Citizenship:          
        

Warren E. Buffett

1440 Kiewit Plaza

Omaha, Nebraska 68131

United States Citizen

 

Berkshire Hathaway Inc.

1440 Kiewit Plaza

Omaha, Nebraska 68131

Delaware corporation

 

OBH, Inc.

1440 Kiewit Plaza

Omaha, Nebraska 68131

Delaware corporation

 

National Indemnity Company

3024 Harney Street

Omaha, Nebraska 68131

Nebraska corporation

 

National Fire & Marine Insurance Company

3024 Harney Street

Omaha, Nebraska 68131

Nebraska corporation

 

Nebraska Furniture Mart, Inc.

700 South 72nd Street

Omaha, Nebraska 68114

Nebraska corporation

 

The Fechheimer Brothers Company

4545 Malsbary Road

Cincinnati, Ohio 45252

Delaware corporation

 

Borsheim’s Jewelry Company, Inc.

120 Regency Parkway

Omaha, Nebraska 68114

Nebraska corporation

 

Columbia Insurance Company

3024 Harney Street

Omaha, Nebraska 68131

Nebraska corporation

 

Blue Chip Stamps

301 East Colorado Boulevard

Pasadena, California 91101

California corporation

         


Page 19 of 21 Pages

 

        

Wesco Holdings Midwest, Inc.

1440 Kiewit Plaza

Omaha, Nebraska 68131

Nebraska corporation

 

Wesco Financial Corporation

301 East Colorado Boulevard

Pasadena, California 91101

Delaware corporation

 

Wesco-Financial Insurance Company

3024 Harney Street

Omaha, Nebraska 68131

Nebraska corporation

 

Central States of Omaha Companies, Inc.

1212 North 96th Street

Omaha, Nebraska 68134

Nebraska corporation

 

Central States Indemnity Company of Omaha

1212 North 96th Street

Omaha, Nebraska 68134

Nebraska corporation

 

FlightSafety International Inc.

La Guardia Airport

Marine Air Terminal

Flushing, New York 11371

New York corporation

         
    (d)   

Title of Class of Securities

 

Common Stock

         
    (e)   

CUSIP Number

 

03076C106

         

Item 3.

  If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
    Warren E. Buffett (an individual who may be deemed to control Berkshire Hathaway Inc.), Berkshire Hathaway Inc., OBH, Inc., Blue Chip Stamps, Wesco Financial Corporation, Wesco Holdings Midwest, Inc. and Central States of Omaha Companies, Inc. are each a Parent Holding Company or Control Person, in accordance with Rule 13d-1(b)(1)(ii)(G) (Note: See Item 7).
    National Indemnity Company, National Fire & Marine Insurance Company, Columbia Insurance Company, Wesco-Financial Insurance Company and Central States Indemnity Company of Omaha are each an Insurance Company as defined in section 3(a)(19) of the Act.


Page20 of 21 Pages

 

Item 4.

   Ownership          
     (a)   

Amount beneficially Owned

 

See the Cover Pages for each of the Reporting Persons.

         
     (b)   

Percent of Class

 

See the Cover Pages for each of the Reporting Persons.

         
     (c)    Number of shares as to which such person has:          
          (i)    sole power to vote or to direct the vote          
          (ii)    shared power to vote or to direct the vote          
          (iii)    sole power to dispose or to direct the disposition of          
          (iv)    shared power to dispose or to direct the disposition of          
          See the Cover Pages for each of the Reporting Persons.          

Item 5.

  

Ownership of Five Percent or Less of a Class.

 

Not Applicable.

    

Item 6.

  

Ownership of More than Five Percent on Behalf of Another Person.

 

Not Applicable.

         

Item 7.

  

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

 

See Exhibit A.

Item 8.

  

Identification and Classification of Members of the Group.

 

Not Applicable.

         

Item 9.

  

Notice of Dissolution of Group.

 

Not Applicable.

         

Item 10.

   Certification.
     By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 


Page 21 of 21 Pages

 

SIGNATURES

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated this 10th day of November, 2006

 

/s/ Warren E. Buffett


Warren E. Buffett

BERKSHIRE HATHAWAY INC.,

OBH, INC. and

BORSHEIM’S JEWELRY COMPANY, INC.

By:  

/s/ Warren E. Buffett


    Warren E. Buffett
    Chairman of the Board of each of the above-named corporations
NATIONAL INDEMNITY COMPANY, NATIONAL FIRE AND MARINE INSURANCE COMPANY, COLUMBIA INSURANCE COMPANY, NEBRASKA FURNITURE MART, INC., THE FECHHEIMER BROTHERS COMPANY, BLUE CHIP STAMPS, WESCO FINANCIAL CORPORATION, WESCO FINANCIAL INSURANCE COMPANY, CENTRAL STATES OF OMAHA COMPANIES, INC., CENTRAL STATES INDEMNITY COMPANY OF OMAHA and FLIGHTSAFETY INTERNATIONAL, INC.
By:  

/s/ Warren E. Buffett


   

Warren E. Buffett

Attorney-in-Fact

EX-99.(A) 2 dex99a.htm RELEVANT SUBSIDIARIES AND MEMBERS OF FILING GROUP Relevant Subsidiaries and Members of Filing Group

SCHEDULE 13G

 

EXHIBIT A

 

RELEVANT SUBSIDIARIES AND MEMBERS OF FILING GROUP

 

PARENT HOLDING COMPANIES OR CONTROL PERSONS:

 

Warren E. Buffett (an individual who may be deemed to control Berkshire Hathaway Inc.)

 

Berkshire Hathaway Inc.

 

OBH, Inc.

 

Blue Chip Stamps

 

Wesco Financial Corporation

 

Wesco Holdings Midwest, Inc.

 

Central States of Omaha Companies, Inc.

 

INSURANCE COMPANIES AS DEFINED IN SECTION 3(a)(19) OF THE ACT:

 

National Indemnity Company

 

National Fire & Marine Insurance Company

 

Columbia Insurance Company

 

Wesco-Financial Insurance Company

 

Central States Indemnity Company of Omaha

 

Note: No Common Stock of Ameriprise Financial, Inc. is held directly by Berkshire Hathaway Inc. Other than the indirect holdings of Berkshire Hathaway Inc., no Common Stock of Ameriprise Financial, Inc. is held directly or indirectly by Warren E. Buffett, an individual who may be deemed to control Berkshire Hathaway Inc. 664,336 shares or approximately 0.3% of Common Stock of Ameriprise Financial, Inc. are held directly by OBH, Inc., Nebraska Furniture Mart, Inc., The Fechheimer Brothers Company, Borsheim’s Jewelry Company, Inc., and FlightSafety International Inc., none of which are persons specified in Rule 13d-1 (b) (1) (ii) (A) through (F).
EX-99.(B) 3 dex99b.htm JOINT FILING AGREEMENT Joint Filing Agreement

SCHEDULE 13G

 

EXHIBIT B

 

JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1)

 

The undersigned persons hereby agree that reports on Schedule 13G, and amendments thereto, with respect to the Common Stock of Ameriprise Financial, Inc. may be filed in a single statement on behalf of each of such persons, and further, each of such persons designates Warren E. Buffett as its agent and Attorney-in-Fact for the purpose of executing any and all Schedule 13G filings required to be made by it with the Securities and Exchange Commission.

 

Dated: November 10, 2006  

/S/ Warren E. Buffett


    Warren E. Buffett
    Berkshire Hathaway Inc.
Dated: November 10, 2006  

/S/ Warren E. Buffett


    By:   Warren E. Buffett
    Title:   Chairman of the Board
    OBH, Inc.
Dated: November 10, 2006  

/S/ Warren E. Buffett


    By:   Warren E. Buffett
    Title:   Chairman of the Board
    National Indemnity Company
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Chairman of the Board
    National Fire & Marine Insurance Company
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Chairman of the Board
    Nebraska Furniture Mart, Inc.
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Assistant Secretary
    Borsheim’s Jewelry Company, Inc.
Dated: November 10, 2006  

/S/ Warren E. Buffett


    By:   Warren E. Buffett
    Title:   Chairman of the Board


    The Fechheimer Brothers Company
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Assistant Secretary
    Columbia Insurance Company
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Chairman of the Board
    Blue Chip Stamps
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Assistant Secretary
    Wesco Holdings Midwest, Inc.
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Assistant Secretary
    Wesco Financial Corporation
Dated: November 10, 2006  

/S/ Jeffrey L. Jacobson


    By:   Jeffrey L. Jacobson
    Title:   Vice President
    Wesco-Financial Insurance Co.
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Chairman of the Board
    Central States of Omaha Companies, Inc.
Dated: November 10, 2006  

/S/ John E. Kizer


    By:   John E. Kizer
    Title:   President
    Central States Indemnity Company of Omaha
Dated: November 10, 2006  

/S/ John E. Kizer


    By:   John E. Kizer
    Title:   President


    FlightSafety International, Inc.
Dated: November 10, 2006  

/S/ Marc D. Hamburg


    By:   Marc D. Hamburg
    Title:   Director
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