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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="5" face="Times New Roman" style="font-size:18.0pt;font-weight:bold;">UNITED STATES</font></b></p>
<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="5" face="Times New Roman" style="font-size:18.0pt;font-weight:bold;">SECURITIES AND EXCHANGE COMMISSION</font></b></p>
<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">Washington, D.C. 20549</font></b></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="5" face="Times New Roman" style="font-size:18.0pt;font-weight:bold;">FORM&nbsp;8-K</font></b></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="3" face="Times New Roman" style="font-size:12.0pt;font-weight:bold;">CURRENT REPORT</font></b></p>
<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="3" face="Times New Roman" style="font-size:12.0pt;font-weight:bold;">Pursuant to Section&nbsp;13 OR 15(d)&nbsp;of The Securities Exchange Act of 1934</font></b></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Date of Report (Date of earliest event reported) <b>October&nbsp;3, 2013</b></font></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="5" face="Times New Roman" style="font-size:18.0pt;font-weight:bold;">AMERIPRISE FINANCIAL,&nbsp;INC.</font></b></p>
<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">(Exact name of registrant as specified in its charter)</font></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">001-32525</font></b></p>    </td>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">13-3180631</font></b></p>    </td>   </tr>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">(State or other jurisdiction</font></p>    </td>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">File Number)</font></p>    </td>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Identification No.)</font></p>    </td>   </tr>  </table>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">55   Ameriprise Financial Center</font></b><font size="2" style="font-size:10.0pt;"><br>    <b>Minneapolis, Minnesota</b></font></p>    </td>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">55474</font></b></p>    </td>   </tr>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Registrant&#146;s telephone number, including area code <b>(612) 671-3131</b></font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Check the appropriate box below if the Form&nbsp;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):</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Wingdings" style="font-size:10.0pt;">o</font><font size="2" style="font-size:10.0pt;">&#160; Written communications pursuant to Rule&nbsp;425 under the Securities Act (17 CFR 230.425)</font></p>
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<p style="margin:0in 0in .0001pt .25in;text-indent:-.25in;"><font size="2" face="Wingdings" style="font-size:10.0pt;">o</font><font size="2" style="font-size:10.0pt;">&#160; Soliciting material pursuant to Rule&nbsp;14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Wingdings" style="font-size:10.0pt;">o</font><font size="2" style="font-size:10.0pt;">&#160; Pre-commencement communications pursuant to Rule&nbsp;14d-2(b)&nbsp;under the Exchange Act (17 CFR 240.14d-2(b))</font></p>
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<p style="margin:0in 0in .0001pt .25in;text-indent:-.25in;"><font size="2" face="Wingdings" style="font-size:10.0pt;">o</font><font size="2" style="font-size:10.0pt;">&#160; Pre-commencement communications pursuant to Rule&nbsp;13e-4(c)&nbsp;under the Exchange Act (17 CFR 240.13e-4(c))</font></p>
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<p style="margin:0in 0in .0001pt;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">Item 5.03</font></b><b><font size="1" style="font-size:3.0pt;font-weight:bold;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; </font></b><b><font size="2" style="font-size:10.0pt;font-weight:bold;">Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.</font></b></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">On October&nbsp;3, 2013, the Board of Directors (&#147;Board&#148;) of Ameriprise Financial,&nbsp;Inc. (the &#147;Company&#148;) approved a series of amendments to the Company&#146;s by-laws (&#147;By-Laws&#148;). A summary of the changes to the By-Laws, which became effective upon such approval, is set forth below and is qualified in its entirety by reference to the full text of the amended and restated By-Laws, a complete copy of which is attached hereto as Exhibit&nbsp;3.2 and is hereby incorporated by reference in response to this Item 5.03.</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Amendments to Article&nbsp;I of the By-Laws, entitled &#147;Stockholders,&#148; include: (i)&nbsp;the additional restriction that no more than three persons authorized to act as a proxy or other agent for a stockholder shall be entitled to admittance, for and on behalf of such stockholder, to any meeting of stockholders; (ii)&nbsp;the additional requirements for being considered a qualified representatives of a stockholder at a meeting, except where a person is a duly authorized officer, manager or partner of a stockholder, that (A)&nbsp;the stockholder must deliver to the Secretary of the Company no later than five business days prior to an annual or special meeting of stockholders either a writing executed by such stockholder or an electronic transmission providing the person&#146;s full name and current residential address and expressly authorizing such person to act for such stockholder as a proxy, and (B)&nbsp;such person must produce such writing or electronic transmission, or a reliable reproduction thereof, in order to gain admittance to the meeting; and (iii)&nbsp;the clarification that any stockholder proposal submitted to the Company for inclusion in the Company&#146;s proxy statement pursuant to Rule 14a-8 under the Securities Exchange Act of 1934 must be submitted to the Company directly by the stockholder proponent thereof, and such stockholder may not authorize another person to act as such stockholder&#146;s proxy for the purpose of submitting such proposal to the Company.</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Amendments to Article&nbsp;II of the By-Laws, entitled &#147;Board of Directors,&#148; include: (i)&nbsp;the elimination of references to the Company&#146;s classified board structure, as previously approved by the Company&#146;s shareholders at the 2010 annual meeting of shareholders, which became effective as of the 2013 annual meeting of shareholders; and (ii)&nbsp;conforming changes related to Article&nbsp;VIII modifications regarding waivers of notice for Board and committee meetings, described below.</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Amendments to Article&nbsp;VIII of the By-Laws, entitled &#147;General Provisions,&#148; relating to waivers of notice for Board and committee meetings include: (i)&nbsp;the clarification that any waiver of notice given by a person entitled to notice shall be deemed equivalent to notice; (ii)&nbsp;the clarification that the attendance of a person at a meeting shall constitute a waiver of notice of such meeting, except when such person attends the meeting for the express purpose of objecting, at the beginning of the meeting, to the transaction of any business because the meeting is not lawfully called or convened; and (iii)&nbsp;the clarification that neither the business to be transacted at nor the purpose of any regular or special meeting need be specified in a waiver of notice.</font></p>
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<p style="margin:0in 0in .0001pt;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">Item 9.01</font></b><font size="1" style="font-size:3.0pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; </font><b><font size="2" style="font-size:10.0pt;font-weight:bold;">Financial Statements and Exhibits.</font></b></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">(d)&nbsp;Exhibits.</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Amended and Restated By-Laws of Ameriprise   Financial,&nbsp;Inc.</font></p>    </td>   </tr>  </table>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">2<a name="PB_2_223159_7056"></a></font></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">SIGNATURES</font></b></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">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.</font></p>
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<p style="margin:0in 0in .0001pt;"><u><font size="2" face="Times New Roman" style="font-size:10.0pt;">AMERIPRISE FINANCIAL,&nbsp;INC.</font></u></p>    </td>   </tr>
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<p style="margin:0in 0in .0001pt .65in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">(Registrant)</font></p>    </td>   </tr>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Date: October&nbsp;7, 2013</font></p>    </td>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">By:</font></p>    </td>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">/s/ Thomas R. Moore</font></p>    </td>   </tr>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Thomas R. Moore</font></p>    </td>   </tr>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Vice President, Chief Governance Officer and</font></p>    </td>   </tr>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Corporate Secretary</font></p>    </td>   </tr>  </table>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">3<a name="PB_3_223249_5335"></a></font></p>
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{"company-data": {"conformed-name": "AMERIPRISE FINANCIAL INC", "cik": "0000820027", "assigned-sic": "6282", "irs-number": "133180631", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-32525", "film-number": "131139650"}, "business-address": {"street1": "1099 AMERIPRISE FINANCIAL CENTER", "city": "MINNEAPOLIS", "state": "MN", "zip": "55474", "phone": "612-671-3131"}, "mail-address": {"street1": "1099 AMERIPRISE FINANCIAL CENTER", "city": "MINNEAPOLIS", "state": "MN", "zip": "55474"}, "former-company": [{"former-conformed-name": "AMERICAN EXPRESS FINANCIAL CORP", "date-changed": "20030513"}, {"former-conformed-name": "AMERICAN EXPRESS FINANCIAL ADVISORS", "date-changed": "19950711"}, {"former-conformed-name": "IDS FINANCIAL CORP/MN/", "date-changed": "19920703"}]}
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)
October 3, 2013
AMERIPRISE FINANCIAL, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-32525
13-3180631
(State or other jurisdiction
(Commission
(IRS Employer
of incorporation)
File Number)
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):
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 5.03
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On October 3, 2013, the Board of Directors ("Board") of Ameriprise Financial, Inc. (the "Company") approved a series of amendments to the Company's by-laws ("By-Laws"). A summary of the changes to the By-Laws, which became effective upon such approval, is set forth below and is qualified in its entirety by reference to the full text of the amended and restated By-Laws, a complete copy of which is attached hereto as Exhibit 3.2 and is hereby incorporated by reference in response to this Item 5.03.
Amendments to Article I of the By-Laws, entitled "Stockholders," include: (i) the additional restriction that no more than three persons authorized to act as a proxy or other agent for a stockholder shall be entitled to admittance, for and on behalf of such stockholder, to any meeting of stockholders; (ii) the additional requirements for being considered a qualified representatives of a stockholder at a meeting, except where a person is a duly authorized officer, manager or partner of a stockholder, that (A) the stockholder must deliver to the Secretary of the Company no later than five business days prior to an annual or special meeting of stockholders either a writing executed by such stockholder or an electronic transmission providing the person's full name and current residential address and expressly authorizing such person to act for such stockholder as a proxy, and (B) such person must produce such writing or electronic transmission, or a reliable reproduction thereof, in order to gain admittance to the meeting; and (iii) the clarification that any stockholder proposal submitted to the Company for inclusion in the Company's proxy statement pursuant to Rule 14a-8 under the Securities Exchange Act of 1934 must be submitted to the Company directly by the stockholder proponent thereof, and such stockholder may not authorize another person to act as such stockholder's proxy for the purpose of submitting such proposal to the Company.
Amendments to Article II of the By-Laws, entitled "Board of Directors," include: (i) the elimination of references to the Company's classified board structure, as previously approved by the Company's shareholders at the 2010 annual meeting of shareholders, which became effective as of the 2013 annual meeting of shareholders; and (ii) conforming changes related to Article VIII modifications regarding waivers of notice for Board and committee meetings, described below.
Amendments to Article VIII of the By-Laws, entitled "General Provisions," relating to waivers of notice for Board and committee meetings include: (i) the clarification that any waiver of notice given by a person entitled to notice shall be deemed equivalent to notice; (ii) the clarification that the attendance of a person at a meeting shall constitute a waiver of notice of such meeting, except when such person attends the meeting for the express purpose of objecting, at the beginning of the meeting, to the transaction of any business because the meeting is not lawfully called or convened; and (iii) the clarification that neither the business to be transacted at nor the purpose of any regular or special meeting need be specified in a waiver of notice.
Item 9.01
Financial Statements and Exhibits.
(d) Exhibits.
Exhibit No.
Description
3.2
Amended and Restated By-Laws of Ameriprise   Financial, Inc.
2
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: October 7, 2013
By:
/s/ Thomas R. Moore
Thomas R. Moore
Vice President, Chief Governance Officer and
Corporate Secretary
3