Ameriprise 2015 Annual Report Download - page 194

not only to our Chief Executive Officer, Chief Financial Officer and Controller, but also to all other employees of our
company) and the Code of Business Conduct for the Members of the Board of Directors may be found by clicking the
‘‘Corporate Governance’’ link found on our Investor Relations website at ir.ameriprise.com. You may also access our
Investor Relations website through our main website at ameriprise.com by clicking on the ‘‘Investor Relations’’ link, which
is located at the bottom of the page. (Information from such sites is not incorporated by reference into this report.) You
may also obtain free copies of these materials by writing to our Corporate Secretary at our principal executive offices.
Item 11. Executive Compensation
The following portions of the Proxy Statement are incorporated herein by reference:
• information under the caption ‘‘Corporate Governance — Compensation and Benefits Committee — Compensation
Committee Interlocks and Insider Participation’’;
• information included under the caption ‘‘Compensation of Executive Officers’’; and
• information included under the caption ‘‘Compensation of Directors.’’
Item 12. Security Ownership of Certain Beneficial Owners and Management and
Related Stockholder Matters
Equity Compensation Plan Information
(a) (b) (c)
Number of securities
Number of securities remaining available for future
to be issued upon Weighted-average issuance under equity
exercise of exercise price of compensation plans
outstanding options, outstanding options, (excluding securities reflected
warrants and rights warrants and rights in column (a)) — shares
Plan category
Equity compensation plans approved by security
holders 9,111,343(1) $ 81.39 16,836,687
Equity compensation plans not approved by
security holders 2,724,579(2) $ 47.50 6,343,600(3)
Total 11,835,922 $ 81.11 23,180,287
(1) Includes 1,874,474 share units subject to vesting per the terms of the applicable plan which could result in the issuance of common
stock. As the terms of these share based awards do not provide for an exercise price, they have been excluded from the weighted
average exercise price in column B.
(2) Includes 2,663,922 share units subject to vesting per the terms of the applicable plans which could result in the issuance of
common stock. As the terms of these share based awards do not provide for an exercise price, they have been excluded from the
weighted average exercise price in column B. For additional information on the Company’s equity compensation plans see Note 17 —
Share-Based Compensation to our Consolidated Financial Statements in Part II, Item 8 of this Annual Report on Form 10-K. The
non-shareholder approved plans consist of the Ameriprise Financial 2008 Employment Incentive Equity Award Plan, the Ameriprise
Advisor Group Deferred Compensation Plan and the Ameriprise Financial Franchise Advisor Deferred Compensation Plan.
(3) Consists of 3,258,635 shares of common stock issuable under the terms of the Ameriprise Financial 2008 Employment Incentive
Equity Award Plan, 2,250,234 shares of common stock issuable under the Ameriprise Advisor Group Deferred Compensation Plan,
and 834,731 shares of common stock issuable under the Ameriprise Financial Franchise Advisor Deferred Compensation Plan.
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