Ameriprise 2009 Annual Report Download - page 176
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(3) Consists of 3,165,387 shares of common stock issuable under the terms of the Ameriprise Financial 2008 Employment Incentive Equity Award Plan,
2,885,408 shares of common stock issuable under the Ameriprise Advisor Group Deferred Compensation Plan, and 2,278,246 shares of common stock
issuable under the Ameriprise Financial Deferred Equity Program for Independent Financial Advisors.
Information concerning the market for our common shares and our shareholders can be found in Part II, Item 5 of this Annual Report on
Form 10-K. Price and dividend information concerning our common shares may be found in Note 28 to our Consolidated Financial
Statements included in Part II, Item 8 of this Annual Report on Form 10-K. The information included under the caption ‘‘Ownership of
Our Common Shares’’ in the Proxy Statement is incorporated herein by reference.
Item 13. Certain Relationships and Related Transactions, and Director
Independence.
The information under the captions ‘‘Corporate Governance — Director Independence,’’ ‘‘Corporate Governance — Categorical Standards
of Director Independence,’’ ‘‘Corporate Governance — Independence of Committee Members’’ and ‘‘Certain Transactions’’ in the Proxy
Statement is incorporated herein by reference.
Item 14. Principal Accountant Fees and Services.
The information set forth under the heading ‘‘Items to be Voted on by Shareholders — Item 5 — Ratification of Audit Committee’s
Selection of Independent Registered Public Accountants — Independent Registered Public Accountant Fees’’; ‘‘ — Services to Associated
Organizations’’; and ‘‘ — Policy on Pre-Approval of Services Provided by Independent Registered Public Accountants,’’ in the Proxy
Statement is incorporated herein by reference.
PART IV.
Item 15. Exhibits and Financial Statement Schedules.
(a) 1. Financial Statements:
The information required herein has been provided in Item 8, which is incorporated herein by reference.
2. Financial schedules required to be filed by Item 8 of this form, and by Item 15(b):
Schedule I — Condensed Financial Information of Registrant (Parent Company Only)
All other financial schedules are not required under the related instructions, or are inapplicable and therefore have been
omitted.
3. Exhibits:
The list of exhibits required to be filed as exhibits to this report are listed on pages E-1 through E-2 hereof under ‘‘Exhibit Index,’’
which is incorporated herein by reference.
ANNUAL REPORT 2009 161