Ameriprise 2012 Annual Report Download - page 134
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December 31, 2011
Level 1 Level 2 Level 3 Total
(in millions)
Assets
Investments:
Corporate debt securities $ — $ 314 $ 4 $ 318
Common stocks 75 25 13 113
Other structured investments — 54 — 54
Syndicated loans — 3,962 342 4,304
Total investments 75 4,355 359 4,789
Receivables — 39 — 39
Other assets — 2 1,108 1,110
Total assets at fair value $ 75 $ 4,396 $ 1,467 $ 5,938
Liabilities
Debt $ — $ — $ 4,712 $ 4,712
Other liabilities — 85 — 85
Total liabilities at fair value $ — $ 85 $ 4,712 $ 4,797
The following tables provide a summary of changes in Level 3 assets and liabilities held by consolidated investment entities
measured at fair value on a recurring basis:
Corporate
Debt Common Syndicated Other
Securities Stocks Loans Assets Debt
(in millions)
Balance, January 1, 2012 $ 4 $ 13 $ 342 $ 1,108 $ (4,712)
Total gains (losses) included in:
Net income — (1)(1) 11(1) (78)(2) (316)(1)
Other comprehensive income — — — 28 —
Purchases — 7 91 328 —
Sales — (5) (14) (172) —
Issues — — — — —
Settlements (1) — (87) — 578
Transfers into Level 3 — 15 255 — —
Transfers out of Level 3 — (15) (396) — —
Balance, December 31, 2012 $ 3 $ 14 $ 202 $ 1,214 $ (4,450)
Changes in unrealized losses included in income relating to assets
and liabilities held at December 31, 2012 $ — $ — $ — $ (98)(2) $ (315)(1)
(1) Included in net investment income in the Consolidated Statements of Operations.
(2) Included in other revenues in the Consolidated Statements of Operations.
Corporate Other
Debt Common Structured Syndicated Other
Securities Stocks Investments Loans Assets Debt
(in millions)
Balance, January 1, 2011 $ 6 $ 11 $ 22 $ — $ 887 $ (5,171)
Total gains (losses) included in:
Net income — 6(1) (1)(1) (12)(1) 13(2) (89)(1)
Other comprehensive income — — — (10) —
Purchases 3 — 3 208 299 —
Sales (2) (4) — (40) (81) —
Issues — — — — — (27)
Settlements (1) — — (137) 1 575
Transfers into Level 3 — 29 — 615 7 —
Transfers out of Level 3 (2) (29) (24) (292) (8) —
Balance, December 31, 2011 $ 4 $ 13 $ — $ 342 $ 1,108 $ (4,712)
Changes in unrealized gains (losses) included in
income relating to assets and liabilities held at
December 31, 2011 $ — $ 3(1) $— $ (5)
(1) $19
(3) $ (64)(1)
(1) Included in net investment income in the Consolidated Statements of Operations.
(2) Included in other revenues in the Consolidated Statements of Operations.
(3) Represents a $20 million gain included in other revenues and a $1 million loss included in net investment income in the
Consolidated Statements of Operations.
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