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Section 1: 8-K (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)  April 24, 2019

 

AMERIPRISE FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

 

Delaware

 

001-32525

 

13-3180631

(State or other jurisdiction

 

(Commission

 

(IRS Employer

of incorporation)

 

File Number)

 

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))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company  o

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

 

 

 


 

Item 5.07                   Submission of Matters to a Vote of Security Holders.

 

The 2019 annual meeting of the stockholders of the Company was held on April 24, 2019. At the meeting, the holders of 120,518,569 shares of common stock, which represents approximately 89 percent of the 135,402,721 outstanding shares entitled to vote as of the February 28, 2019 record date, were represented in person or by proxy. Detailed voting results are set forth below.

 

Item 1 — Election of the Eight Director Nominees Named Below. The stockholders elected each director nominee for a term of one year to expire at the 2020 annual meeting of stockholders or until their successors are elected and qualified. The voting results were as follows:

 

Name

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

James M. Cracchiolo

 

98,976,915

 

8,549,584

 

765,534

 

12,226,536

Dianne Neal Blixt

 

106,367,753

 

1,613,198

 

311,082

 

12,226,536

Amy DiGeso

 

106,523,766

 

1,627,081

 

141,186

 

12,226,536

Lon R. Greenberg

 

106,348,137

 

1,626,929

 

316,967

 

12,226,536

Jeffrey Noddle

 

102,136,271

 

6,017,685

 

138,077

 

12,226,536

Robert F. Sharpe, Jr.

 

99,929,011

 

8,221,370

 

141,652

 

12,226,536

W. Edward Walter III

 

107,426,276

 

553,806

 

311,951

 

12,226,536

Christopher J. Williams

 

107,786,754

 

196,867

 

308,412

 

12,226,536

 

Item 2 — Nonbinding Advisory Vote to Approve the Compensation of Named Executive Officers. The stockholders did not approve, on an advisory basis, the compensation of its named executive officers.

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

35,294,700

 

68,895,521

 

4,101,812

 

12,226,536

 

Item 3 — Ratification of Audit Committee’s Selection of the Company’s Independent Registered Public Accounting Firm for 2019. The stockholders ratified the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2019.

 

Votes For

 

Votes Against

 

Abstentions

118,553,431

 

1,677,429

 

287,709

 

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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: April 26, 2019

By

/s/ Thomas R. Moore

 

 

Thomas R. Moore

 

 

Vice President, Chief Governance Officer and Corporate Secretary

 

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