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 | ||
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AMERIPRISE FINANCIAL, INC. | |||
(Exact name of registrant as specified in its charter) | |||
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Delaware |
001-32525 |
13-3180631 | |
(State or other jurisdiction |
(Commission |
(IRS Employer | |
of incorporation) |
File Number) |
Identification No.) | |
55 Ameriprise Financial Center Minneapolis, Minnesota |
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55474 |
(Address of principal executive offices) |
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(Zip Code) |
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Registrants telephone number, including area code |
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(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 |
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Votes Against |
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Abstentions |
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Broker Non-Votes |
James M. |
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132,056,746 |
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4,211,977 |
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897,950 |
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13,320,207 |
Dianne Neal Blixt |
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136,523,357 |
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431,360 |
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211,956 |
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13,320,207 |
Amy DiGeso |
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136,259,839 |
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704,815 |
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202,019 |
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13,320,207 |
Lon R. Greenberg |
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136,185,975 |
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767,241 |
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213,457 |
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13,320,207 |
Siri S. Marshall |
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135,993,238 |
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958,826 |
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214,609 |
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13,320,207 |
Jeffrey Noddle |
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136,005,467 |
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947,955 |
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213,251 |
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13,320,207 |
H. Jay Sarles |
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135,963,949 |
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986,619 |
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216,105 |
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13,320,207 |
Robert F. Sharpe, Jr. |
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135,330,688 |
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1,625,092 |
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210,893 |
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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 |
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5,798,458 |
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380,499 |
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13,320,207 |
Item 3 Ratification of the Audit Committees Selection of the Companys Independent Registered Public Accountant for 2016. The stockholders ratified the selection of PricewaterhouseCoopers LLP as the Companys independent registered public accounting firm for 2016. The proposal received for votes from approximately 99 percent of the shares voted:
Votes For |
|
Votes Against |
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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.
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AMERIPRISE FINANCIAL, INC. | |
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(Registrant) | |
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Date: April 29, 2016 |
By |
/s/ Thomas R. Moore |
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Thomas R. Moore |
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Vice President, Chief Governance Officer |
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and Corporate Secretary |