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Section 1: 8-K (FORM 8-K)

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Washington, D.C. 20549





Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported) April 29, 2020
(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

(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):


¨   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


¨   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


¨   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


¨   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 ¨


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. ¨


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


Title of each class:   Trading Symbol(s)   Name of each exchange on which registered:
Common Stock (par value $.01 per share)   AMP   The New York Stock Exchange, Inc.






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


The 2020 annual meeting of the stockholders of the Company was held on April 29, 2020. At the meeting, the holders of 108,591,969 shares of common stock, which represents approximately 88.3% percent of the 122,968,570 outstanding shares entitled to vote as of the March 2, 2020 record date, were represented in person or by proxy. Detailed voting results are set forth below.


Item 1 – Election of the Nine Director Nominees Named Below. The stockholders elected each director nominee for a term of one year to expire at the 2021 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   89,467,570    7,869,117    667,652    10,587,630 
Dianne Neal Blixt   92,877,556    4,893,395    233,388    10,587,630 
Amy DiGeso   96,508,062    1,370,447    125,830    10,587,630 
Lon R. Greenberg   96,353,200    1,353,869    297,270    10,587,630 
Jeffrey Noddle   91,097,505    6,740,463    166,371    10,587,630 
Robert F. Sharpe, Jr.   88,007,002    9,833,879    163,458    10,587,630 
Brian T. Shea   97,542,898    272,264    189,177    10,587,630 
W. Edward Walter III   95,272,673    2,579,077    152,589    10,587,630 
Christopher J. Williams   96,332,255    1,374,402    297,682    10,587,630 


Item 2 – Nonbinding Advisory Vote to Approve the Compensation of Named Executive Officers. The stockholders approved, on an advisory basis, the compensation of its named executive officers.


Votes For   Votes Against   Abstentions   Broker Non-Votes 
 83,825,332    10,125,706    4,053,301    10,587,630 



Item 3 – Ratification of Audit Committee’s Selection of the Company’s Independent Registered Public Accounting Firm for 2020. The stockholders ratified the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2020.


Votes For   Votes Against   Abstentions 
 106,342,832    2,022,808    226,329 






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.




Date: May 1, 2020 By /s/ Thomas R. Moore
    Thomas R. Moore
    Vice President, Chief Governance Officer
    and Corporate Secretary



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