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 27, 2016

 

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):

 

[  ]          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))

 

 

 



 

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

 

The 2016 annual meeting of the stockholders of the Company was held on April 27, 2016. At the meeting, the holders of 150,486,880 shares of common stock, which represents approximately 89 percent of the 168,311,862 outstanding shares entitled to vote as of the February 29, 2016 record date were represented in person or by proxy. Detailed voting results are set forth below.

 

Item 1 – Election of Directors. The stockholders elected each director nominee for a term of one year to expire at the 2017 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

 

132,056,746

 

4,211,977

 

897,950

 

13,320,207

Dianne Neal Blixt

 

136,523,357

 

431,360

 

211,956

 

13,320,207

Amy DiGeso

 

136,259,839

 

704,815

 

202,019

 

13,320,207

Lon R. Greenberg

 

136,185,975

 

767,241

 

213,457

 

13,320,207

Siri S. Marshall

 

135,993,238

 

958,826

 

214,609

 

13,320,207

Jeffrey Noddle

 

136,005,467

 

947,955

 

213,251

 

13,320,207

H. Jay Sarles

 

135,963,949

 

986,619

 

216,105

 

13,320,207

Robert F. Sharpe, Jr.

 

135,330,688

 

1,625,092

 

210,893

 

13,320,207

 

               

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. The proposal received “for” votes from approximately 95 percent of the shares voted:

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

130,987,716

 

5,798,458

 

380,499

 

13,320,207

 

 

Item 3 – Ratification of the Audit Committee’s Selection of the Company’s Independent Registered Public Accountant for 2016. The stockholders ratified the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2016. The proposal received “for” votes from approximately 99 percent of the shares voted:

 

Votes For

 

Votes Against

 

Abstentions

149,291,055

 

922,787

 

273,038

 



 

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 29, 2016

By

/s/ Thomas R. Moore

 

 

Thomas R. Moore

 

 

Vice President, Chief Governance Officer

 

 

and Corporate Secretary