Ameriprise 2013 Annual Report Download - page 136

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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, 2013 $ 3 $ 14 $ 202 $ 1,214 $ (4,450)
Total gains (losses) included in:
Net income — 1(1) (1)(1) 81(2) (53)(1)
Other comprehensive income (loss) — — — 39 —
Purchases 1 — 417 689 —
Sales (1) (3) (63) (86) —
Issues — — — — (1,330)
Settlements (1) — (51) — 1,029
Transfers into Level 3 — 21 320 8 —
Transfers out of Level 3 — (19) (456) (9) —
Balance, December 31, 2013 $ 2 $ 14 $ 368 $ 1,936 $ (4,804)
Changes in unrealized gains (losses) included in income relating
to assets and liabilities held at December 31, 2013 $ — $ (2)(1) $(2)
(1) $67
(2) $ (25)(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
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 (loss) — — — 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
Debt Common Other 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 (loss) — — — — (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.
119