Ameriprise 2009 Annual Report Download - page 185

EXHIBIT INDEX
Pursuant to the rules and regulations of the Securities and Exchange Commission, we have filed certain agreements as exhibits to this
Annual Report on Form 10-K. These agreements may contain representations and warranties by the parties. These representations and
warranties have been made solely for the benefit of the other party or parties to such agreements and (i) may have been qualified by
disclosures made to such other party or parties, (ii) were made only as of the date of such agreements or such other date(s) as may be
specified in such agreements and are subject to more recent developments, which may not be fully reflected in our public disclosure,
(iii) may reflect the allocation of risk among the parties to such agreements and (iv) may apply materiality standards different from what
may be viewed as material to investors. Accordingly, these representations and warranties may not describe our actual state of affairs at
the date hereof and should not be relied upon.
The following exhibits are filed as part of this Annual Report on Form 10-K. The exhibit numbers followed by an asterisk (*) indicate
exhibits electronically filed herewith. All other exhibit numbers indicate exhibits previously filed and are hereby incorporated herein by
reference. Exhibits numbered 10.2 through 10.18 are management contracts or compensatory plans or arrangements.
Exhibit Description
3.1 Amended and Restated Certificate of Incorporation of Ameriprise Financial, Inc. (incorporated by reference
to Exhibit 3.1 to the Current Report on Form 8-K, File No. 1-32525, filed on October 4, 2005).
3.2 Amended and Restated Bylaws of Ameriprise Financial, Inc., as amended on November 28, 2006
(incorporated by reference to Exhibit 3.2 of the Annual Report on Form 10-K, file No. 1-32525, filed on
February 27, 2007).
4.1 Form of Specimen Common Stock Certificate (incorporated by reference to Exhibit 4.1 to Amendment
No. 3 to Form 10 Registration Statement, File No. 1-32525, filed on August 19, 2005).
4.2 Indenture dated as of October 5, 2005, between Ameriprise Financial, Inc. and U.S. Bank National
Association, trustee (incorporated by reference to Exhibit 4(a) to the Registration Statement on Form S-3,
File No. 333-128834, filed on October 5, 2005).
4.3 Indenture dated as of May 5, 2006, between Ameriprise Financial, Inc. and U.S. Bank National
Association, trustee (incorporated by reference to Exhibit 4.A to the Registration Statement on
Form S-3ASR, File No. 333-133860, filed on May 5, 2006).
4.4 Junior Subordinated Debt Indenture, dated as of May 5, 2006, between Ameriprise Financial, Inc. and U.S.
Bank National Association, trustee (incorporated by reference to Exhibit 4.C to the Registration Statement
on Form S-3ASR, File No. 333-133860, filed on May 5, 2006).
Other instruments defining the rights of holders of long-term debt securities of the registrant are omitted
pursuant to Section (b)(4)(iii)(A) of Item 601 of Regulation S-K. The registrant agrees to furnish copies of
these instruments to the SEC upon request.
10.1 Tax Allocation Agreement by and between American Express and Ameriprise Financial, Inc., dated as of
September 30, 2005 (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K, File
No. 1-32525, filed on October 4, 2005).
10.2 Ameriprise Financial 2005 Incentive Compensation Plan, as amended and restated effective April 25, 2007
(incorporated by reference to Exhibit A to the Proxy Statement for the Annual Meeting of Shareholders
held on April 25, 2007, File No. 001-32525, filed on March 9, 2007).
10.3 Ameriprise Financial Deferred Compensation Plan, as amended and restated effective January 1, 2009
(incorporated by reference to Exhibit 10.3 of the Annual Report on Form 10-K, File No. 1-32525, filed on
March 2, 2009).
10.4* Ameriprise Financial Supplemental Retirement Plan, as amended and restated effective January 1, 2010.
10.5 Form of Ameriprise Financial 2005 Incentive Compensation Plan Master Agreement for Substitution
Awards (incorporated by reference to Exhibit 10.8 to Amendment No. 2 to Form 10 Registration
Statement, File No. 1-32525, filed on August 15, 2005).
10.6 Ameriprise Financial Form of Award Certificate — Non-Qualified Stock Option Award (incorporated by
reference to Exhibit 10.4 to the Current Report on Form 8-K, File No. 1-32525, filed on October 4, 2005).
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