Ameriprise 2012 Annual Report Download - page 201

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 10.22 are management contracts or compensatory
plans or arrangements.
Exhibit Description
3.1 Amended 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 April 30, 2010).
3.2 Amended and Restated Bylaws of Ameriprise Financial, Inc. (incorporated by reference to Exhibit 3.2 to the Current Report
on Form 8-K, File No. 1-32525, filed on April 26, 2012).
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 28, 2010 (incorporated by
reference to Exhibit B to the Proxy Statement for the Annual Meeting of Shareholders held on April 28, 2010, File
No. 001-32525, filed on March 19, 2010).
10.3 Ameriprise Financial Deferred Compensation Plan, as amended and restated effective January 1, 2012 (incorporated by
reference to Exhibit 10.3 of the Annual Report on Form 10-K, File No. 1-32525, filed on February 24, 2012).
10.4 Ameriprise Financial Supplemental Retirement Plan, as amended and restated effective April 1, 2010 (incorporated by
reference to Exhibit 10.3 of the Quarterly Report on Form 10-Q, File No. 1-32525, filed on May 4, 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).
10.7 Ameriprise Financial Form of Award Certificate — Restricted Stock Award (incorporated by reference to Exhibit 10.5 to the
Current Report on Form 8-K, File No. 1-32525, filed on October 4, 2005).
10.8 Ameriprise Financial Form of Award Certificate — Restricted Stock Unit Award (incorporated by reference to Exhibit 10.6 to
the Current Report on Form 8-K, File No. 1-32525, filed on October 4, 2005).
10.9 Ameriprise Financial Form of Agreement — Cash Incentive Award (incorporated by reference to Exhibit 10.7 to the Current
Report on Form 8-K, File No. 1-32525, filed on October 4, 2005).
10.10 Ameriprise Financial Long-Term Incentive Award Program Guide (incorporated by reference to Exhibit 10.10 of the Annual
Report on Form 10-K, File No. 1-32525, filed on March 2, 2009).
10.11 Ameriprise Financial Performance Cash Unit Plan Supplement to the Long Term Incentive Award Program Guide (incorporated
by reference to Exhibit 10.1 of the Quarterly Report on Form 10-Q, File No. 1-32525, filed on May 2, 2011).
10.12 Ameriprise Financial Form of Award Certificate — Performance Cash Unit Plan Award (incorporated by reference to
Exhibit 10.2 of the Quarterly Report on Form 10-Q, File No. 1-32525, filed on May 2, 2011).
10.13 Ameriprise Financial Performance Share Unit Plan Supplement to the Long-Term Incentive Award Program Guide
(incorporated by reference to Exhibit 10.3 of the Quarterly Report on Form 10-Q, File No. 1-32525, filed on May 2, 2011).
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