AMERIPRISE FINANCIAL INC [AMP] Filings
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
|QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934|
For the Quarterly Period Ended
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Transition Period from_______________________to_______________________
|Commission File No.|
(Exact name of registrant as specified in its charter)
|(State or other jurisdiction of incorporation or organization)||(I.R.S. Employer Identification No.)|
|(Address of principal executive offices)||(Zip Code)|
Registrant’s telephone number, including area code:
|Former name, former address and former fiscal year, if changed since last report:||Not Applicable|
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Name of each exchange on which registered
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
|☒||Accelerated Filer||☐||Non-accelerated Filer||☐|
Smaller reporting company
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.
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
|Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.|
|Class||Outstanding at October 29, 2021|
Common Stock (par value $.01 per share)
Part I. Financial Information
|Item 1. Financial Statements (Unaudited)|
Consolidated Statements of Operations — Three months and nine months ended September 30, 2021 and 2020
Consolidated Statements of Comprehensive Income — Three months and nine months ended September 30, 2021 and 2020
Consolidated Balance Sheets — September 30, 2021 and December 31, 2020
Consolidated Statements of Equity — Three months and nine months ended September 30, 2021 and 2020
Consolidated Statements of Cash Flows — Nine months ended September 30, 2021 and 2020
|Notes to Consolidated Financial Statements|
|1.||Basis of Presentation|