Ameriprise 2015 Annual Report Download - page 136
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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, 2015
Level 1 Level 2 Level 3 Total
(in millions)
Assets
Investments:
Corporate debt securities $ — $ 154 $ — $ 154
Common stocks 74 46 3 123
Other investments 4 22 — 26
Syndicated loans — 5,738 529 6,267
Total investments 78 5,960 532 6,570
Receivables — 70 — 70
Other assets — — 2,065 2,065
Total assets at fair value $ 78 $ 6,030 $ 2,597 $ 8,705
Liabilities
Debt $ — $ — $ 6,630 $ 6,630
Other liabilities — 221 — 221
Total liabilities at fair value $ — $ 221 $ 6,630 $ 6,851
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
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:
Common Syndicated Other
Stocks Loans Assets Debt
(in millions)
Balance, January 1, 2015 $ 7 $ 484 $ 1,935 $ (6,030)
Total gains (losses) included in:
Net income (1)(1) (24)(1) 170(2) 215(1)
Other comprehensive loss — — (154) —
Purchases — 303 638 —
Sales — (36) (524) —
Issues — — — (1,267)
Settlements — (161) — 452
Transfers into Level 3 7 776 — —
Transfers out of Level 3 (10) (813) — —
Balance, December 31, 2015 $ 3 $ 529 $ 2,065 $ (6,630)
Changes in unrealized gains (losses) included in income relating to assets and
liabilities held at December 31, 2015 $ — $ (19)(1) $20
(2) $ 219(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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