0000820027 false 0000820027 2021-04-28 2021-04-28 iso4217:USD xbrli:shares iso4217:USD xbrli:shares





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 28, 2021
(Exact name of registrant as specified in its charter)
Delaware   001-32525   13-3180631
(State or other jurisdiction
of incorporation)
File Number)
  (I.R.S. Employer
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))


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.


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 5.07Submission of Matters to a Vote of Security Holders.


The 2021 annual meeting of the stockholders of the Company was held on April 28, 2021. At the meeting, the holders of 104,292,958 shares of common stock, which represents approximately 89.4% percent of the 116,599,284 outstanding shares entitled to vote as of the March 1, 2021 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 2022 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   85,191,375    9,499,953    205,511    9,396,119 
Dianne Neal Blixt   91,906,700    2,862,802    127,337    9,396,119 
Amy DiGeso   93,126,511    1,640,902    129,426    9,396,119 
Lon R. Greenberg   93,688,359    1,054,819    153,661    9,396,119 
Jeffrey Noddle   88,536,285    6,211,902    148,652    9,396,119 
Robert F. Sharpe, Jr.   67,449,625    27,222,308    224,906    9,396,119 
Brian T. Shea   94,251,924    490,321    154,594    9,396,119 
W. Edward Walter III   90,995,870    3,642,256    258,713    9,396,119 
Christopher J. Williams   94,112,337    526,136    258,366    9,396,119 


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 
 83,268,804    11,316,317    311,718    9,396,119 


Item 3 – Ratification of Audit Committee’s Selection of the Company’s Independent Registered Public Accounting Firm for 2021. The stockholders ratified the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2021.


Votes For   Votes Against   Abstentions 
 102,599,609    1,469,210    224,139 







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: April 30, 2021 By /s/ Wendy B. Mahling
    Wendy B. Mahling
    Senior Vice President — Corporate Secretary & Securities and Corporate Law