Ameriprise 2012 Annual Report Download - page 156
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The following tables provide a summary of changes in Level 3 assets and liabilities of Ameriprise Financial measured at fair
value on a recurring basis:
Future Policy
Available-for-Sale Securities Benefits and
Residential Commercial Claims: GMWB
Corporate Mortgage Mortgage Asset and GMAB
Debt Backed Backed Backed Common Embedded
Securities Securities Securities Securities Stocks Total Derivatives
(in millions)
Balance, January 1, 2012 $ 1,355 $ 215 $ 50 $ 189 $ 5 $ 1,814 $ (1,585)
Total gains (losses) included in:
Net income (1) (45) 1 3 — (42)(1) 948(2)
Other comprehensive income 12 68 8 1 — 89 —
Purchases 543 309 20 — 2 874 —
Sales — (75) (19) (18) — (112) —
Issues — — — — — — (188)
Settlements (155) (56) (3) (19) — (233) (8)
Transfers into Level 3 10 42 183 22 — 257 —
Transfers out of Level 3 — (174) (34) — (1) (209) —
Balance, December 31, 2012 $ 1,764 $ 284 $ 206 $ 178 $ 6 $ 2,438 $ (833)
Changes in unrealized gains
(losses) relating to assets and
liabilities held at December 31,
2012 included in:
Net investment income $ (1) $ — $ 1 $ 2 $ — $ 2 $ —
Benefits, claims, losses and
settlement expenses — — — — — — 908
(1) Included in net investment income in the Consolidated Statements of Operations.
(2) Included in benefits, claims, losses and settlement expenses in the Consolidated Statements of Operations.
Future Policy
Available-for-Sale Securities Benefits and
Residential Commercial Claims: GMWB
Corporate Mortgage Mortgage Asset and GMAB
Debt Backed Backed Backed Common Embedded
Securities Securities Securities Securities Stocks Total Derivatives
(in millions)
Balance, January 1, 2011 $ 1,325 $ 4,532 $ 51 $ 191 $ 5 $ 6,104 $ (421)
Total gains (losses) included in:
Net income 7 53 — 3 — 63(1) (1,007)(2)
Other comprehensive income 11 (118) — (10) — (117) —
Purchases 189 556 104 118 — 967 —
Sales (51) (2) — — — (53) —
Issues — — — — — — (149)
Settlements (122) (943) (4) (29) — (1,098) (8)
Transfers into Level 3 7 — 1 14 — 22 —
Transfers out of Level 3 (11) (3,863) (102) (98) — (4,074) —
Balance, December 31, 2011 $ 1,355 $ 215 $ 50 $ 189 $ 5 $ 1,814 $ (1,585)
Changes in unrealized gains
(losses) relating to assets and
liabilities held at December 31,
2011 included in:
Net investment income $ — $ (33) $ — $ 2 $ — $ (31) $ —
Benefits, claims, losses and
settlement expenses — — — — — — (1,035)
(1) Included in net investment income in the Consolidated Statements of Operations.
(2) Included in benefits, claims, losses and settlement expenses in the Consolidated Statements of Operations.
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