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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 12, 2021
 
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)   (I.R.S. Employer Identification No.)
           

1099 Ameriprise Financial Center, Minneapolis, Minnesota

  55474
(Address of principal executive offices)   (Zip Code)
     
Registrant’s telephone number, including area code   612 671-3131

 

Former name or former address, if changed since last report:   Not Applicable

 

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))

 

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

 

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

 

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. ¨

 

 

 

 

 

 

Item 7.01       Regulation FD Disclosure.

 

On April 12, 2021, Ameriprise Financial, Inc. issued a press release to announce that it signed a definitive agreement with BMO Financial Group to acquire its EMEA asset management business. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is furnished herewith.

 

Item 8.01       Other Events.

 

On April 12, 2021, Ameriprise Financial, Inc. issued a press release to announce that it signed a definitive agreement with BMO Financial Group to acquire its EMEA asset management business.

 

Item 9.01Financial Statements and Exhibits.

 

(d) Exhibits.

 

Exhibit No.   Description
     
Exhibit 99.1   Press Release dated April 12, 2021
     
Exhibit 104   Cover page is formatted in iXBRL (Inline eXtensible Business Reporting Language) and contained in Exhibit 101.

 

 

 

 

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 12, 2021   By /s/ Walter S. Berman
      Walter S. Berman
      Executive Vice President and Chief Financial Officer