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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): June 24, 2021

(Exact name of Registrant as specified in its charter)
Delaware   001-32525   13-3180631
(State or other jurisdiction of incorporation)  

(Commission File


  (IRS 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:


¨   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  



  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 5.02(b)Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On June 30, 2021, Columbia Threadneedle Investments, the global asset management group of Ameriprise Financial, Inc. (the “Company”), announced that Colin Moore, Executive Vice President, Chief Investment Officer, will retire from his position at the Company in January 2022.


Item 7.01       Regulation FD Disclosure.


A copy of the press release issued by Columbia Threadneedle Investments on June 30, 2021 is attached as Exhibit 99.1 to this Current Report on Form 8-K and is furnished herewith.


Item 9.01     Financial Statements and Exhibits.


(d) Exhibits.


Exhibit No.   Description
Exhibit 99.1   Press Release dated June 30, 2021.
Exhibit 104   Cover page (embedded within the Inline eXtensible Business Reporting Language)






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: June 30, 2021  
  By: /s/ Wendy B. Mahling

Wendy B. Mahling

Senior Vice President — Corporate

Secretary & Securities and Corporate Law