AMERIPRISE FINANCIAL, INC. (NYSE:AMP) Files An 8-K Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans

AMERIPRISE FINANCIAL, INC. (NYSE:AMP) Files An 8-K Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans
Item 5.04 Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.

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Ameriprise Financial,Inc. (the “Company”) is changing the recordkeeper for the Ameriprise Financial 401(k)Plan (the “Plan”), effective October4, 2017. As a result of the change, there will be a blackout period beginning September27, 2017 and expected to end on October10, 2017 (the “Blackout Period”), during which participants in the Plan will be temporarily unable to make changes to their individual accounts, direct or diversify investments in their individual accounts, including accounts holding common stock of the Company, or obtain a loan or distribution from the Plan. The Company was notified of the Blackout Period on August7, 2017 and participants were also notified on or about this date.

A participant in the Plan, a security holder, or other interested person may obtain, without charge, information regarding the Blackout Period, including confirmation of the dates of the Blackout Period, by contacting Thomas R. Moore, Vice President, Corporate Secretary and Chief Governance Officer, at 1098 Ameriprise Financial Center, Minneapolis, MN 55474 or 612-678-0106.

In connection with the foregoing, the Company sent a blackout trading restriction notice by e-mail (the “BTR Notice”) to its executive officers and directors on August8, 2017 informing them of the trading restrictions that apply to them during the Blackout Period. A copy of the BTR Notice is attached as Exhibit99.1 to this Current Report on Form8-K and incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.




BTR Notice provided to executive officers and directors of Ameriprise Financial,Inc.

EX-99.1 2 a17-18995_1ex99d1.htm EX-99.1 Exhibit 99.1   DATE: August 8,…
To view the full exhibit click here


Ameriprise Financial, Inc. is a diversified financial services company that offers financial solutions to individual and institutional clients. The Company operates in five segments: Advice & Wealth Management; Asset Management; Annuities; Protection, and Corporate & Other. The Advice & Wealth Management segment provides financial planning and advice, as well as brokerage services, primarily to retail clients through advisors. The Asset Management segment provides investment advice and investment products to retail, high net worth and institutional clients on a global scale through Columbia Threadneedle Investments. The Annuities segment provides RiverSource variable and fixed annuity products to individual clients. The Protection segment offers a range of products to address the protection and risk management needs of retail clients. The Company’s Corporate & Other segment consists of net investment income or loss on corporate level assets.

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