Item 8.01 Other Events.

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On March22, 2019, Ameriprise Financial,Inc. (the “Company”) issued $500,000,000 principal amount of 3.000% Senior Notes due 2022 (the “Notes”). The Notes were issued in the form filed as Exhibit4.1 hereto and were sold to the previously disclosed Underwriting Agreement, dated March12, 2019, between the Company and the Underwriters named therein.

The Notes are governed by the terms of the previously disclosed Indenture, dated as of May5, 2006, between the Company and U.S. Bank National Association, as trustee. The Notes are senior unsecured obligations of the Company and rank prior to all of the Company’s subordinated indebtedness and on an equal basis with all of the Company’s other senior unsecured indebtedness. Interest on the Notes will accrue at a rate of 3.000% per annum and will be payable semi-annually in arrears on each March22 and September22, commencing September22, 2019.

The Company may, at any time and from time to time, redeem the Notes, in whole or in part at its option, on not less than 15 nor more than 60 days’ prior notice mailed to the holders of the Notes, at a redemption price, plus accrued and unpaid interest to the date of redemption, equal to the greater of (1)50% of the principal amount of the Notes to be redeemed or (2)the sum of the present values of the remaining scheduled payments of principal and interest on the Notes to be redeemed that would be due after the related redemption date but for such redemption (except that, if such redemption date is not an interest payment date, the amount of the next succeeding scheduled interest payment will be reduced by the amount of interest accrued thereon to the redemption date), discounted to the redemption date on a semi-annual basis (assuming a 360-day year consisting of twelve 30-day months) at the applicable Treasury rate plus 15 basis points.

The following documents relating to the Notes are filed herewith as exhibits and incorporated by reference into this Form8-K and the Registration Statement on FormS-3 (File No.333-223309) filed by the Company with the Commission: (i)the form of the Notes and (ii)the opinion of David H. Weiser,Esq. The foregoing summary of the Notes is qualified in its entirety by reference to the form of the Notes attached hereto.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

EX-4.1 2 a19-6165_4ex4d1.htm EX-4.1 FORM OF 3.000% SENIOR NOTE DUE 2022 Exhibit 4.1   AMERIPRISE FINANCIAL,…
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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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