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 24, 2013

 

AMERIPRISE FINANCIAL, INC.

(Exact name of registrant as specified in its charter)

 

 

 

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):

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            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 2013 annual meeting of the stockholders of the Company was held on April 24, 2013. At the meeting, the holders of 176,984,181 shares of common stock, which represents approximately 87 percent of the 202,705,659 outstanding shares entitled to vote as of the record date of February 28, 2013, were represented in person or by proxy. The voting results of  Items 1, 2, 3 and 4, all of which were approved by the stockholders at the meeting, are set forth below.

 

Item 1. In the vote on the election of directors, each for a term of one year to expire at the 2014 annual meeting 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		156,568,354		5,058,686		1,503,576		13,853,565
Lon R. Greenberg		151,268,891		11,599,739		261,986		13,853,565
Warren D. Knowlton		153,393,870		9,469,918		266,828		13,853,565
W. Walker Lewis		154,497,133		8,371,104		262,379		13,853,565
Siri S. Marshall		153,167,528		9,528,601		434,487		13,853,565
Jeffrey Noddle		154,512,506		8,351,182		266,928		13,853,565
H. Jay Sarles		140,120,140		22,740,972		269,504		13,853,565
Robert F. Sharpe, Jr.		153,319,237		9,552,145		259,234		13,853,565
William H. Turner		160,693,598		2,172,828		264,190		13,853,565

 

Item 2. The nonbinding advisory vote to approve the compensation of the Company’s named executive officers resulted in “for” votes from approximately 88 percent of the shares voted. The voting results were as follows:

 

Votes For		Votes Against		Abstentions		Broker Non-Votes
142,381,466		20,238,808		510,342		13,853,565

 

Item 3. The vote on the ratification of the selection by the Company’s audit committee of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2013 resulted in “for” votes from approximately 97 percent of the shares voted. The voting results were as follows:

 

Votes For		Votes Against		Abstentions
171,231,406		5,334,949		417,826

 

Item 4. The vote on the shareholder proposal for our board to take the steps necessary for each requirement in our charter and bylaws that calls for a greater than simple majority vote to be eliminated and replaced with a requirement for a majority of votes cast for and against applicable proposals, or a simple majority in compliance with applicable laws, resulted in “for” votes from approximately 86 percent of the shares voted. The voting results were as follows:

 

Votes For		Votes Against		Abstentions		Broker Non-Votes
139,304,285		23,180,251		646,080		13,853,565

 

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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, thereunto duly authorized.

 

 

	AMERIPRISE FINANCIAL, INC.
	(Registrant)
Date: April 25, 2013	By	/s/ Thomas R. Moore
		Thomas R. Moore
		Vice President, Chief Governance Officer
		and Corporate Secretary

 

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