Form 8-K AMERIPRISE FINANCIAL For: Jun 21

 

 

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)			June 21, 2022
AMERIPRISE FINANCIAL, INC.
(Exact name of registrant as specified in its charter)
Delaware		001-32525			13-3180631
(State or other jurisdiction of incorporation)		(Commission File Number)			(IRS Employer 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))

 

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 5.02(c)

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of   Certain Officers.

 

On March 16, 2022, Ameriprise Financial, Inc. announced that John Hutt, Senior Vice President, Corporate Finance, Controller, and Principal Accounting Officer was promoted to Executive Vice President – Finance and would continue to serve as Principal Accounting Officer until his replacement was determined.

 

On June 21, 2022, the Company announced that Dawn Brockman will assume the role of Interim Controller and Principal Accounting Officer on July 1, 2022. Ms. Brockman, age 49, has served as the Company’s Vice President Finance - Controllership since November 2019 and previously served as Vice President Finance – Advice & Wealth Management from October 2013 to November 2019.

 

 

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: June 27, 2022	By	/s/ Walter S. Berman
		Walter S. Berman
		Executive Vice President – Chief Financial Officer

 

 

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