Ameriprise 2014 Annual Report Download - page 137
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The following tables present the balances of assets and liabilities held by consolidated investment entities measured at fair
value on a recurring basis:
December 31, 2014
Level 1 Level 2 Level 3 Total
(in millions)
Assets
Investments:
Corporate debt securities $ — $ 171 $ — $ 171
Common stocks 130 40 7 177
Other investments 4 25 — 29
Syndicated loans — 5,287 484 5,771
Total investments 134 5,523 491 6,148
Receivables — 49 — 49
Other assets — 1 1,935 1,936
Total assets at fair value $ 134 $ 5,573 $ 2,426 $ 8,133
Liabilities
Debt $ — $ — $ 6,030 $ 6,030
Other liabilities — 193 — 193
Total liabilities at fair value $ — $ 193 $ 6,030 $ 6,223
December 31, 2013
Level 1 Level 2 Level 3 Total
(in millions)
Assets
Investments:
Corporate debt securities $ — $ 200 $ 2 $ 202
Common stocks 147 31 14 192
Other investments 3 33 — 36
Syndicated loans — 4,204 368 4,572
Total investments 150 4,468 384 5,002
Receivables — 32 — 32
Other assets — 13 1,936 1,949
Total assets at fair value $ 150 $ 4,513 $ 2,320 $ 6,983
Liabilities
Debt $ — $ — $ 4,804 $ 4,804
Other liabilities — 193 — 193
Total liabilities at fair value $ — $ 193 $ 4,804 $ 4,997
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, 2014 $ 2 $ 14 $ 368 $ 1,936 $ (4,804)
Total gains (losses) included in:
Net income 1(1) 1(1) 2(1) 421(2) (34)(1)
Other comprehensive income — — — (175) —
Purchases 2 — 417 289 —
Sales (9) (2) (42) (547) —
Issues — — — — (1,670)
Settlements — — (100) — 478
Transfers into Level 3 10 13 551 11 —
Transfers out of Level 3 (6) (19) (712) — —
Balance, December 31, 2014 $ — $ 7 $ 484 $ 1,935 $ (6,030)
Changes in unrealized gains (losses) included in income relating
to assets and liabilities held at December 31, 2014 $ — $ — $ (3)(1) $ 362(2) $1
(1)
(1) Included in net investment income in the Consolidated Statements of Operations.
(2) Included in other revenues in the Consolidated Statements of Operations.
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