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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Ameriprise Financial Inc | NYSE:AMP | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-1.86 | -0.43% | 434.12 | 439.83 | 433.78 | 438.42 | 931,777 | 22:42:33 |
A.
|
Full title of the plan and the address of the plan, if different from that of the issuer named below:
|
B.
|
Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
|
Report of Independent Registered Public Accounting Firm
|
1
|
|
|
Financial Statements
|
|||
Statements of Net Assets Available for Benefits as of December 31, 2017 and 2016
|
2
|
|
|
Statements of Changes in Net Assets Available for Benefits for the years ended December 31, 2017 and 2016
|
3
|
|
|
Notes to Financial Statements
|
4
|
|
|
Supplemental Schedule
|
|||
Schedule H, Line 4i — Schedule of Assets (Held at End of Year)
|
11
|
|
|
Signature
|
19
|
|
|
Exhibit Index
|
20
|
|
Statements of Net Assets Available for Benefits
|
|||||||
|
December 31,
|
||||||
2017
|
|
2016
|
|||||
Assets
|
|
|
|
|
|
||
Cash
|
$
|
878,240
|
|
|
$
|
608,242
|
|
Investments at fair value
|
1,860,261,472
|
|
|
1,528,521,694
|
|
||
Investments at contract value
|
146,645,672
|
|
|
140,890,090
|
|
||
Receivables:
|
|
|
|
|
|
||
Accrued income
|
39,428
|
|
|
33,267
|
|
||
Due from broker
|
3,704,338
|
|
|
1,668,032
|
|
||
Employer contributions
|
2,219,003
|
|
|
850,896
|
|
||
Participant loans
|
34,098,440
|
|
|
32,900,179
|
|
||
Total assets
|
2,047,846,593
|
|
|
1,705,472,400
|
|
||
|
|
|
|
||||
Liabilities
|
|
|
|
|
|
||
Due to broker
|
2,486,749
|
|
|
3,715,913
|
|
||
Accrued expenses
|
217,103
|
|
|
240,337
|
|
||
Total liabilities
|
2,703,852
|
|
|
3,956,250
|
|
||
Net assets available for benefits at end of year
|
$
|
2,045,142,741
|
|
|
$
|
1,701,516,150
|
|
See Notes to Financial Statements.
|
Statements of Changes in Net Assets Available for Benefits
|
|||||||
|
Years Ended December 31,
|
||||||
2017
|
|
2016
|
|||||
Contributions:
|
|
|
|
|
|||
Employer, net of forfeitures
|
$
|
49,427,272
|
|
|
$
|
47,632,520
|
|
Participant
|
94,527,075
|
|
|
90,198,294
|
|
||
Participant rollovers
|
8,062,254
|
|
|
7,897,070
|
|
||
Total contributions
|
152,016,601
|
|
|
145,727,884
|
|
||
Investment income:
|
|
|
|
||||
Interest
|
3,627,934
|
|
|
1,871,654
|
|
||
Dividends
|
10,142,599
|
|
|
9,673,194
|
|
||
Net realized/unrealized appreciation
|
333,684,592
|
|
|
112,039,570
|
|
||
Total investment income
|
347,455,125
|
|
|
123,584,418
|
|
||
Other income
|
191,202
|
|
|
170,504
|
|
||
Interest on participant loans
|
1,161,289
|
|
|
1,089,776
|
|
||
Total additions
|
500,824,217
|
|
|
270,572,582
|
|
||
Administrative expenses
|
(1,300,339
|
)
|
|
(1,175,187
|
)
|
||
Withdrawal payments
|
(155,897,287
|
)
|
|
(114,226,244
|
)
|
||
Total deductions
|
(157,197,626
|
)
|
|
(115,401,431
|
)
|
||
Net increase in net assets available for benefits
|
343,626,591
|
|
|
155,171,151
|
|
||
Net assets available for benefits at beginning of year
|
1,701,516,150
|
|
|
1,546,344,999
|
|
||
Net assets available for benefits at end of year
|
$
|
2,045,142,741
|
|
|
$
|
1,701,516,150
|
|
See Notes to Financial Statements.
|
Level 1
|
Unadjusted quoted prices for identical assets or liabilities in active markets that are accessible at the measurement date.
|
Level 2
|
Prices or valuations based on observable inputs other than quoted prices in active markets for identical assets and liabilities.
|
Level 3
|
Prices or valuations that require inputs that are both significant to the fair value measurement and unobservable.
|
|
December 31, 2017
|
||||||||||||||
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
|||||||||
Investments
|
|
|
|
|
|
|
|
|
|
|
|
||||
Mutual funds
|
$
|
49,097,690
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
49,097,690
|
|
Collective investment funds measured at net asset value (“NAV”)
(1)
|
|
|
|
|
|
|
1,141,498,680
|
|
|||||||
Separate accounts measured at NAV
(1)
|
|
|
|
|
|
|
83,527,750
|
|
|||||||
Ameriprise Financial Stock Fund
|
240,471,484
|
|
|
—
|
|
|
—
|
|
|
240,471,484
|
|
||||
Self-directed brokerage account
|
345,665,868
|
|
|
—
|
|
|
—
|
|
|
345,665,868
|
|
||||
Total investments at fair value
|
$
|
635,235,042
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
1,860,261,472
|
|
|
December 31, 2016
|
||||||||||||||
Level 1
|
|
Level 2
|
|
Level 3
|
|
Total
|
|||||||||
Investments
|
|
|
|
|
|
|
|
|
|
|
|
||||
Mutual funds
|
$
|
40,823,869
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
40,823,869
|
|
Collective investment funds measured at NAV
(1)
|
|
|
|
|
|
|
936,544,259
|
|
|||||||
Separate accounts measured at NAV
(1)
|
|
|
|
|
|
|
71,817,962
|
|
|||||||
Ameriprise Financial Stock Fund
|
173,572,590
|
|
|
—
|
|
|
—
|
|
|
173,572,590
|
|
||||
PCRA
|
305,763,014
|
|
|
—
|
|
|
—
|
|
|
305,763,014
|
|
||||
Total investments at fair value
|
$
|
520,159,473
|
|
|
$
|
—
|
|
|
$
|
—
|
|
|
$
|
1,528,521,694
|
|
|
December 31,
|
||||||
2017
|
|
2016
|
|||||
Net assets available for benefits per the financial statements
|
$
|
2,045,142,741
|
|
|
$
|
1,701,516,150
|
|
Deemed distributions of participant loans
|
(379,566
|
)
|
|
(339,984
|
)
|
||
Difference between contract value and fair value of fully benefit-responsive investment contracts
|
(1,503,575
|
)
|
|
(424,052
|
)
|
||
Net assets available for benefits per Form 5500
|
$
|
2,043,259,600
|
|
|
$
|
1,700,752,114
|
|
|
December 31,
|
||||||
2017
|
|
2016
|
|||||
Net increase (decrease) in net assets available for benefits per the financial statements
|
$
|
343,626,591
|
|
|
$
|
155,171,151
|
|
Change in deemed distributions of participant loans
|
(39,582
|
)
|
|
(48,093
|
)
|
||
Change in difference between contract value and fair value of fully benefit-responsive investment contracts
|
(1,079,523
|
)
|
|
(864,973
|
)
|
||
Net income (loss) per Form 5500
|
$
|
342,507,486
|
|
|
$
|
154,258,085
|
|
(a)
|
(b) Identity of Issue, Borrower, Lessor, or Similar Party
|
(c) Shares/Units or Face Amount
|
|
(d) Cost**
|
|
(e) Current Value
|
|
Mutual Funds —
|
|
|
|
|
|
|
|
|
|
WFA Small Company Growth R6
|
921,503
|
|
|
|
|
$
|
49,097,690
|
|
|
Total Mutual Funds
|
|
|
|
|
|
49,097,690
|
|
|
|
|
|
|
|
|
|
|||
|
Collective Investment Funds —
|
|
|
|
|
|
|
||
*
|
Columbia Trust Balanced Fund (Class I)
|
4,282,298
|
|
|
|
|
63,506,476
|
|
|
*
|
Columbia Trust Contrarian Core Fund
|
12,205,278
|
|
|
|
|
167,212,313
|
|
|
*
|
Columbia Trust Gov Money Market Fund
|
6,580,509
|
|
|
|
|
6,580,509
|
|
|
*
|
Columbia Total Return Bond Fund
|
6,142,889
|
|
|
|
|
63,517,469
|
|
|
*
|
Columbia Trust Large Cap Index Fund A
|
1,413,519
|
|
|
|
|
134,171,225
|
|
|
|
EB US Mid Cap Opportunistic Value Fund II
|
3,414,272
|
|
|
|
|
45,034,252
|
|
|
|
Boston Partners Large Cap Value Equity CIT D
|
3,456,535
|
|
|
|
|
73,451,361
|
|
|
|
Victory Small Cap Value Collective Fund (75)
|
3,642,822
|
|
|
|
|
62,881,306
|
|
|
|
Voya Target Solution Trust Income (Class 4)
|
1,255,173
|
|
|
|
|
17,646,505
|
|
|
|
Voya Target Solution Trust 2020 (Class 4)
|
1,911,634
|
|
|
|
|
30,140,442
|
|
|
|
Voya Target Solution Trust 2025 (Class 4)
|
3,139,042
|
|
|
|
|
52,402,262
|
|
|
|
Voya Target Solution Trust 2030 (Class 4)
|
3,109,804
|
|
|
|
|
54,630,989
|
|
|
|
Voya Target Solution Trust 2035 (Class 4)
|
3,095,503
|
|
|
|
|
56,328,582
|
|
|
|
Voya Target Solution Trust 2040 (Class 4)
|
2,553,465
|
|
|
|
|
48,082,216
|
|
|
|
Voya Target Solution Trust 2045 (Class 4)
|
2,020,359
|
|
|
|
|
38,705,203
|
|
|
|
Voya Target Solution Trust 2050 (Class 4)
|
1,124,204
|
|
|
|
|
21,579,965
|
|
|
|
Voya Target Solution Trust 2055 (Class 4)
|
607,708
|
|
|
|
|
11,669,879
|
|
|
|
Voya Target Solution Trust 2060 (Class 4)
|
287,070
|
|
|
|
|
3,915,567
|
|
|
|
Ivy Investments International Core Equity CIT Fund (Class 3)
|
7,170,325
|
|
|
|
|
116,661,193
|
|
|
|
Wellington Trust Large Cap Growth Portfolio Fund (Series 1)
|
5,970,787
|
|
|
|
|
73,380,966
|
|
|
|
Total Collective Investment Funds
|
|
|
|
|
|
1,141,498,680
|
|
|
|
|
|
|
|
|
|
|||
|
Separate Accounts —
|
|
|
|
|
|
|
|
|
|
Congress Mid Cap Growth Fund
|
6,156,781
|
|
|
|
|
83,527,750
|
|
|
|
Total Separate Accounts
|
|
|
|
|
|
83,527,750
|
|
|
|
|
|
|
|
|
|
|||
|
Ameriprise Financial Stock Fund —
|
|
|
|
|
|
|
|
|
*
|
Wells Fargo/BlackRock Short-Term Investment Fund
|
2,989,069
|
|
|
|
|
2,989,069
|
|
|
*
|
Ameriprise Financial, Inc. Common Shares
|
1,401,016
|
|
|
|
|
237,482,415
|
|
|
|
Total Ameriprise Financial Stock Fund
|
|
|
|
|
240,471,484
|
|
||
|
|
|
|
|
|
|
|||
***
|
Self-Directed Brokerage Account
|
|
|
|
|
|
345,665,868
|
|
*
|
Indicates Party-in-interest
|
**
|
Cost information not required for participant-directed investments
|
***
|
The Self-Directed Brokerage Account includes Party-in-interest investment options
12
|
(a)
|
(b) Identity of Issue, Borrower, Lessor, or Similar Party
|
(c) Shares/Units or Face Amount
|
|
(d) Cost**
|
|
(e) Current Value
|
|
MetLife Insurance Stable Value Government Separate Account
|
159,196
|
|
|
|
|
16,649,085
|
|
|
*
|
Columbia Trust 2017 Declining Duration Bond Fund
|
1,283,586
|
|
|
|
|
13,387,802
|
|
|
*
|
Columbia Trust Gov Money Market Fund
|
1,179,473
|
|
|
|
|
1,179,473
|
|
|
|
U.S. Government and agency securities:
|
|
|
|
|
|
|||
|
FEDERAL HOME LOAN BANKS 1.875% 11/29/2021
|
1,125,000
|
|
|
|
|
1,113,191
|
|
|
|
FFCB 1.552% 09/25/2020
|
2,800,000
|
|
|
|
|
2,801,456
|
|
|
|
FHLB 1.375% 11/15/2019
|
4,800,000
|
|
|
|
|
4,749,984
|
|
|
|
FHLMC 2.375% 01/13/2022
|
3,300,000
|
|
|
|
|
3,326,473
|
|
|
|
FHLMC 3.750% 03/27/2019
|
1,635,000
|
|
|
|
|
1,672,737
|
|
|
|
FHLMC REFERENCE BOND 1.500% 01/17/2020
|
7,555,000
|
|
|
|
|
7,474,811
|
|
|
|
FHLMC REFERENCE NOTES 1.375% 05/01/2020
|
2,450,000
|
|
|
|
|
2,416,141
|
|
|
|
FNMA BENCHMARK NOTE 2.000% 01/05/2022
|
2,750,000
|
|
|
|
|
2,732,034
|
|
|
|
U.S. TREAS NTS 0.875% 09/15/2019
|
4,775,000
|
|
|
|
|
4,695,343
|
|
|
|
U.S. TREAS NTS 1.625% 11/15/2022
|
3,850,000
|
|
|
|
|
3,751,825
|
|
|
|
U.S. TREAS NTS 2.625% 11/15/2020
|
13,525,000
|
|
|
|
|
13,769,165
|
|
|
|
U.S. TREAS NTS 2.750% 11/15/2023
|
775,000
|
|
|
|
|
796,068
|
|
|
|
U.S. TIPS 0.125% 04/15/2018
|
4,400,000
|
|
|
|
|
4,625,971
|
|
|
|
FGOLD 15YR 3.500% 08/01/2025
|
130,390
|
|
|
|
|
134,764
|
|
|
|
FGOLD 15YR 3.000% 01/01/2027
|
210,153
|
|
|
|
|
214,100
|
|
|
|
FGOLD 15YR 3.000% 01/01/2032
|
270,882
|
|
|
|
|
275,970
|
|
|
|
FGOLD 15YR 3.000% 01/01/2032
|
303,014
|
|
|
|
|
308,705
|
|
|
|
FGOLD 15YR 3.000% 02/01/2027
|
72,906
|
|
|
|
|
74,275
|
|
|
|
FGOLD 15YR 3.000% 04/01/2032
|
953,056
|
|
|
|
|
971,317
|
|
|
|
FGOLD 15YR 3.000% 08/01/2021
|
4,184
|
|
|
|
|
4,262
|
|
|
|
FGOLD 15YR 3.000% 09/01/2026
|
154,085
|
|
|
|
|
156,979
|
|
|
|
FGOLD 15YR 3.000% 10/01/2026
|
7,201
|
|
|
|
|
7,337
|
|
|
|
FGOLD 15YR 3.000% 10/01/2026
|
18,858
|
|
|
|
|
19,212
|
|
|
|
FGOLD 15YR 3.000% 11/01/2025
|
5,499
|
|
|
|
|
5,603
|
|
|
|
FGOLD 15YR 3.000% 11/01/2026
|
104,593
|
|
|
|
|
106,557
|
|
|
|
FGOLD 15YR 3.000% 12/01/2026
|
333,435
|
|
|
|
|
339,698
|
|
|
|
FGOLD 15YR 3.500% 01/01/2021
|
4,847
|
|
|
|
|
5,009
|
|
|
|
FGOLD 15YR 3.500% 06/01/2026
|
149,257
|
|
|
|
|
154,283
|
|
|
|
FGOLD 15YR 3.500% 07/01/2026
|
79,797
|
|
|
|
|
82,487
|
|
|
|
FGOLD 15YR 3.500% 07/01/2026
|
293,469
|
|
|
|
|
303,359
|
|
|
|
FGOLD 15YR 3.500% 08/01/2026
|
120,315
|
|
|
|
|
124,362
|
|
|
|
FGOLD 15YR 3.500% 09/01/2026
|
6,442
|
|
|
|
|
6,659
|
|
|
|
FGOLD 15YR 3.500% 10/01/2025
|
146,226
|
|
|
|
|
151,136
|
|
|
|
FGOLD 15YR 3.500% 11/01/2025
|
144,654
|
|
|
|
|
149,511
|
|
|
|
FGOLD 15YR 3.500% 12/01/2025
|
353,219
|
|
|
|
|
365,084
|
|
|
|
FGOLD 15YR 3.500% 12/01/2025
|
11,710
|
|
|
|
|
12,103
|
|
*
|
Indicates Party-in-interest
|
**
|
Cost information not required for participant-directed investments
|
***
|
The Self-Directed Brokerage Account includes Party-in-interest investment options
13
|
(a)
|
(b) Identity of Issue, Borrower, Lessor, or Similar Party
|
(c) Shares/Units or Face Amount
|
|
(d) Cost**
|
|
(e) Current Value
|
|
FGOLD 15YR 5.000% 06/01/2018
|
329
|
|
|
|
|
336
|
|
|
|
FGOLD 15YR 5.500% 02/01/2019
|
4,280
|
|
|
|
|
4,318
|
|
|
|
FGOLD 15YR 5.500% 10/01/2018
|
355
|
|
|
|
|
356
|
|
|
|
FGOLD 15YR GIANT 3.000% 01/01/2032
|
914,347
|
|
|
|
|
931,522
|
|
|
|
FGOLD 15YR GIANT 3.000% 02/01/2031
|
698,170
|
|
|
|
|
711,284
|
|
|
|
FGOLD 15YR GIANT 3.000% 03/01/2031
|
430,653
|
|
|
|
|
438,742
|
|
|
|
FGOLD 15YR GIANT 3.000% 03/01/2032
|
1,671,078
|
|
|
|
|
1,702,995
|
|
|
|
FGOLD 15YR GIANT 3.000% 05/01/2031
|
2,913,849
|
|
|
|
|
2,968,581
|
|
|
|
FGOLD 15YR GIANT 3.000% 07/01/2030
|
536,120
|
|
|
|
|
546,190
|
|
|
|
FGOLD 15YR GIANT 3.000% 09/01/2027
|
37,527
|
|
|
|
|
38,232
|
|
|
|
FGOLD 15YR GIANT 3.000% 09/01/2031
|
694,478
|
|
|
|
|
708,242
|
|
|
|
FGOLD 15YR GIANT 3.000% 10/01/2030
|
253,645
|
|
|
|
|
258,409
|
|
|
|
FGOLD 15YR GIANT 3.000% 11/01/2026
|
354,049
|
|
|
|
|
360,700
|
|
|
|
FGOLD 15YR GIANT 3.000% 12/01/2026
|
140,292
|
|
|
|
|
142,927
|
|
|
|
FGOLD 15YR GIANT 3.000% 12/01/2030
|
913,451
|
|
|
|
|
930,609
|
|
|
|
FGOLD 15YR GIANT 3.500% 01/01/2027
|
239,300
|
|
|
|
|
247,344
|
|
|
|
FGOLD 15YR GIANT 3.500% 01/01/2030
|
307,852
|
|
|
|
|
318,803
|
|
|
|
FGOLD 15YR GIANT 3.500% 04/01/2030
|
131,072
|
|
|
|
|
135,696
|
|
|
|
FGOLD 15YR GIANT 3.500% 06/01/2029
|
76,284
|
|
|
|
|
78,994
|
|
|
|
FGOLD 15YR GIANT 3.500% 07/01/2029
|
266,041
|
|
|
|
|
275,501
|
|
|
|
FGOLD 15YR GIANT 3.500% 08/01/2032
|
1,097,591
|
|
|
|
|
1,136,538
|
|
|
|
FGOLD 15YR GIANT 3.500% 11/01/2025
|
53,409
|
|
|
|
|
55,202
|
|
|
|
FGOLD 15YR GIANT 3.500% 11/01/2029
|
448,173
|
|
|
|
|
464,113
|
|
|
|
FGOLD 15YR GIANT 3.500% 12/01/2025
|
4,771
|
|
|
|
|
4,932
|
|
|
|
FGOLD 15YR GIANT 3.500% 12/01/2029
|
532,216
|
|
|
|
|
551,146
|
|
|
|
FGOLD 15YR GIANT 4.000% 05/01/2025
|
113,882
|
|
|
|
|
118,291
|
|
|
|
FGOLD 15YR GIANT 4.000% 06/01/2026
|
301,951
|
|
|
|
|
313,625
|
|
|
|
FGOLD 15YR GIANT 4.000% 07/01/2026
|
139,991
|
|
|
|
|
146,173
|
|
|
|
FGOLD 15YR GIANT 4.000% 12/01/2026
|
64,215
|
|
|
|
|
66,631
|
|
|
|
FHLMC 5/1 HYBRID ARM 3.304% 12/01/2036
|
31,986
|
|
|
|
|
33,443
|
|
|
|
FHLMC_T-13 6.085% 09/25/2029
|
103
|
|
|
|
|
102
|
|
|
|
FGOLD 15YR GIANT 3.000% 09/01/2030
|
470,452
|
|
|
|
|
479,289
|
|
|
|
FGOLD 15YR GIANT 3.500% 03/01/2030
|
61,439
|
|
|
|
|
63,620
|
|
|
|
FNMA 15YR 3.500% 01/01/2026
|
61,133
|
|
|
|
|
63,117
|
|
|
|
FNMA 15YR 3.500% 01/01/2026
|
7,618
|
|
|
|
|
7,865
|
|
|
|
FNMA 15YR 3.500% 01/01/2026
|
81,117
|
|
|
|
|
83,751
|
|
|
|
FNMA 15YR 3.500% 02/01/2026
|
148,631
|
|
|
|
|
153,464
|
|
|
|
FNMA 15YR 3.500% 03/01/2026
|
477,381
|
|
|
|
|
492,879
|
|
|
|
FNMA 15YR 3.500% 09/01/2026
|
192,524
|
|
|
|
|
198,774
|
|
|
|
FNMA 15YR 3.500% 10/01/2025
|
158,130
|
|
|
|
|
163,264
|
|
*
|
Indicates Party-in-interest
|
**
|
Cost information not required for participant-directed investments
|
***
|
The Self-Directed Brokerage Account includes Party-in-interest investment options
14
|
(a)
|
(b) Identity of Issue, Borrower, Lessor, or Similar Party
|
(c) Shares/Units or Face Amount
|
|
(d) Cost**
|
|
(e) Current Value
|
|
FNMA 15YR 3.500% 10/01/2025
|
378,697
|
|
|
|
|
390,991
|
|
|
|
FNMA 15YR 3.500% 10/01/2025
|
282,421
|
|
|
|
|
291,589
|
|
|
|
FNMA 15YR 3.500% 10/01/2025
|
346,801
|
|
|
|
|
358,060
|
|
|
|
FNMA 15YR 3.500% 11/01/2025
|
94,486
|
|
|
|
|
97,553
|
|
|
|
FNMA 15YR 3.500% 12/01/2025
|
33,616
|
|
|
|
|
34,707
|
|
|
|
FNMA 15YR 4.000% 05/01/2025
|
80,094
|
|
|
|
|
83,424
|
|
|
|
FNMA 15YR 4.000% 06/01/2025
|
146,330
|
|
|
|
|
152,285
|
|
|
|
FNMA 15YR 4.000% 08/01/2018
|
12,145
|
|
|
|
|
12,499
|
|
|
|
FNMA 15YR 4.000% 09/01/2024
|
78,419
|
|
|
|
|
81,425
|
|
|
|
FNMA 15YR 4.500% 02/01/2025
|
141,570
|
|
|
|
|
149,243
|
|
|
|
FNMA 15YR 4.500% 03/01/2023
|
4,515
|
|
|
|
|
4,757
|
|
|
|
FNMA 15YR 4.500% 05/01/2024
|
4,335
|
|
|
|
|
4,572
|
|
|
|
FNMA 15YR 4.500% 10/01/2024
|
78,425
|
|
|
|
|
82,674
|
|
|
|
FNMA 15YR 5.000% 01/01/2019
|
6,720
|
|
|
|
|
6,841
|
|
|
|
FNMA 15YR 5.000% 02/01/2024
|
60,524
|
|
|
|
|
63,866
|
|
|
|
FNMA 15YR 5.000% 05/01/2023
|
53,464
|
|
|
|
|
54,427
|
|
|
|
FNMA 15YR 5.000% 05/01/2023
|
44,381
|
|
|
|
|
46,801
|
|
|
|
FNMA 15YR 5.000% 06/01/2023
|
32,765
|
|
|
|
|
33,441
|
|
|
|
FNMA 15YR 5.000% 08/01/2020
|
50,810
|
|
|
|
|
52,230
|
|
|
|
FNMA 15YR 5.000% 11/01/2018
|
1,902
|
|
|
|
|
1,936
|
|
|
|
FNMA 15YR 5.000% 11/01/2023
|
24,564
|
|
|
|
|
25,922
|
|
|
|
FNMA 15YR 5.000% 12/01/2018
|
9,602
|
|
|
|
|
9,775
|
|
|
|
FNMA 15YR 5.500% 02/01/2018
|
163
|
|
|
|
|
164
|
|
|
|
FNMA 15YR 5.500% 03/01/2018
|
41
|
|
|
|
|
41
|
|
|
|
FNMA 15YR 5.500% 07/01/2018
|
1,179
|
|
|
|
|
1,179
|
|
|
|
FNMA 30YR 6.000% 11/01/2028
|
17,366
|
|
|
|
|
19,313
|
|
|
|
FNMA 30YR 6.500% 04/01/2032
|
26,809
|
|
|
|
|
29,716
|
|
|
|
FNMA 30YR 6.500% 04/01/2032
|
9,359
|
|
|
|
|
10,374
|
|
|
|
FNMA 30YR 7.000% 07/01/2028
|
5,318
|
|
|
|
|
5,350
|
|
|
|
FNMA 10/1 HYBRID ARM 2.940% 05/01/2035
|
26,847
|
|
|
|
|
27,762
|
|
|
|
FNMA 10/1 HYBRID ARM 3.090% 12/01/2035
|
9,452
|
|
|
|
|
9,455
|
|
|
|
FNMA 10/1 HYBRID ARM 3.198% 10/01/2034
|
4,552
|
|
|
|
|
4,789
|
|
|
|
FNMA 10/1 HYBRID ARM 3.559% 12/01/2033
|
1,520
|
|
|
|
|
1,588
|
|
|
|
FNMA 15YR 2.500% 09/01/2031
|
256,779
|
|
|
|
|
256,505
|
|
|
|
FNMA 15YR 3.000% 01/01/2030
|
164,822
|
|
|
|
|
168,231
|
|
|
|
FNMA 15YR 3.000% 01/01/2031
|
319,276
|
|
|
|
|
325,372
|
|
|
|
FNMA 15YR 3.000% 01/01/2032
|
736,531
|
|
|
|
|
750,595
|
|
|
|
FNMA 15YR 3.000% 02/01/2029
|
749,096
|
|
|
|
|
764,574
|
|
|
|
FNMA 15YR 3.000% 02/01/2030
|
517,025
|
|
|
|
|
527,727
|
|
|
|
FNMA 15YR 3.000% 02/01/2031
|
827,181
|
|
|
|
|
842,976
|
|
*
|
Indicates Party-in-interest
|
**
|
Cost information not required for participant-directed investments
|
***
|
The Self-Directed Brokerage Account includes Party-in-interest investment options
15
|
(a)
|
(b) Identity of Issue, Borrower, Lessor, or Similar Party
|
(c) Shares/Units or Face Amount
|
|
(d) Cost**
|
|
(e) Current Value
|
|
FNMA 15YR 3.000% 02/01/2031
|
767,367
|
|
|
|
|
782,020
|
|
|
|
FNMA 15YR 3.000% 03/01/2031
|
1,172,036
|
|
|
|
|
1,194,416
|
|
|
|
FNMA 15YR 3.000% 03/01/2031
|
1,358,911
|
|
|
|
|
1,385,449
|
|
|
|
FNMA 15YR 3.000% 03/01/2031
|
143,566
|
|
|
|
|
146,307
|
|
|
|
FNMA 15YR 3.000% 04/01/2031
|
273,500
|
|
|
|
|
278,723
|
|
|
|
FNMA 15YR 3.000% 04/01/2032
|
417,386
|
|
|
|
|
425,554
|
|
|
|
FNMA 15YR 3.000% 05/01/2031
|
798,800
|
|
|
|
|
814,053
|
|
|
|
FNMA 15YR 3.000% 6/01/2030
|
803,526
|
|
|
|
|
820,060
|
|
|
|
FNMA 15YR 3.000% 6/01/2032
|
257,059
|
|
|
|
|
262,095
|
|
|
|
FNMA 15YR 3.000% 7/01/2030
|
107,296
|
|
|
|
|
109,523
|
|
|
|
FNMA 15YR 3.000% 7/01/2032
|
618,541
|
|
|
|
|
630,352
|
|
|
|
FNMA 15YR 3.000% 7/01/2032
|
408,583
|
|
|
|
|
416,570
|
|
|
|
FNMA 15YR 3.000% 09/01/2029
|
204,569
|
|
|
|
|
208,793
|
|
|
|
FNMA 15YR 3.000% 09/01/2031
|
1,136,943
|
|
|
|
|
1,158,653
|
|
|
|
FNMA 15YR 3.000% 09/01/2032
|
2,201,507
|
|
|
|
|
2,244,735
|
|
|
|
FNMA 15YR 3.000% 10/01/2030
|
572,645
|
|
|
|
|
584,513
|
|
|
|
FNMA 15YR 3.000% 10/01/2030
|
526,359
|
|
|
|
|
537,271
|
|
|
|
FNMA 15YR 3.000% 10/01/2030
|
1,198,394
|
|
|
|
|
1,223,246
|
|
|
|
FNMA 15YR 3.000% 10/01/2030
|
542,164
|
|
|
|
|
553,384
|
|
|
|
FNMA 15YR 3.000% 10/01/2031
|
197,761
|
|
|
|
|
201,537
|
|
|
|
FNMA 15YR 3.000% 11/01/2030
|
383,183
|
|
|
|
|
391,118
|
|
|
|
FNMA 15YR 3.000% 11/01/2031
|
1,582,936
|
|
|
|
|
1,613,162
|
|
|
|
FNMA 15YR 3.000% 11/01/2031
|
717,676
|
|
|
|
|
731,380
|
|
|
|
FNMA 15YR 3.500% 01/01/2026
|
8,761
|
|
|
|
|
9,045
|
|
|
|
FNMA 15YR 3.500% 01/01/2026
|
138,017
|
|
|
|
|
142,498
|
|
|
|
FNMA 15YR 3.500% 01/01/2027
|
153,490
|
|
|
|
|
158,472
|
|
|
|
FNMA 15YR 3.500% 01/01/2030
|
496,378
|
|
|
|
|
512,616
|
|
|
|
FNMA 15YR 3.500% 02/01/2026
|
78,730
|
|
|
|
|
81,286
|
|
|
|
FNMA 15YR 3.500% 02/01/2026
|
277,989
|
|
|
|
|
287,014
|
|
|
|
FNMA 15YR 3.500% 02/01/2029
|
340,078
|
|
|
|
|
351,275
|
|
|
|
FNMA 15YR 3.500% 02/01/2030
|
427,753
|
|
|
|
|
441,858
|
|
|
|
FNMA 15YR 3.500% 02/01/2031
|
424,149
|
|
|
|
|
438,170
|
|
|
|
FNMA 15YR 3.500% 02/01/2032
|
396,023
|
|
|
|
|
409,476
|
|
|
|
FNMA 15YR 3.500% 03/01/2032
|
240,239
|
|
|
|
|
248,420
|
|
|
|
FNMA 15YR 3.500% 04/01/2026
|
121,489
|
|
|
|
|
125,433
|
|
|
|
FNMA 15YR 3.500% 04/01/2030
|
110,653
|
|
|
|
|
114,307
|
|
|
|
FNMA 15YR 3.500% 04/01/2030
|
145,881
|
|
|
|
|
150,709
|
|
|
|
FNMA 15YR 3.500% 06/01/2026
|
6,446
|
|
|
|
|
6,655
|
|
|
|
FNMA 15YR 3.500% 06/01/2027
|
121,219
|
|
|
|
|
125,154
|
|
|
|
FNMA 15YR 3.500% 06/01/2029
|
105,697
|
|
|
|
|
109,170
|
|
*
|
Indicates Party-in-interest
|
**
|
Cost information not required for participant-directed investments
|
***
|
The Self-Directed Brokerage Account includes Party-in-interest investment options
16
|
(a)
|
(b) Identity of Issue, Borrower, Lessor, or Similar Party
|
(c) Shares/Units or Face Amount
|
|
(d) Cost**
|
|
(e) Current Value
|
|
FNMA 15YR 3.500% 06/01/2030
|
238,907
|
|
|
|
|
247,313
|
|
|
|
FNMA 15YR 3.500% 07/01/2029
|
300,550
|
|
|
|
|
310,405
|
|
|
|
FNMA 15YR 3.500% 08/01/2026
|
7,405
|
|
|
|
|
7,645
|
|
|
|
FNMA 15YR 3.500% 08/01/2026
|
68,473
|
|
|
|
|
70,695
|
|
|
|
FNMA 15YR 3.500% 08/01/2027
|
61,463
|
|
|
|
|
63,568
|
|
|
|
FNMA 15YR 3.500% 08/01/2029
|
443,918
|
|
|
|
|
458,563
|
|
|
|
FNMA 15YR 3.500% 08/01/2029
|
572,003
|
|
|
|
|
590,884
|
|
|
|
FNMA 15YR 3.500% 09/01/2028
|
37,542
|
|
|
|
|
38,761
|
|
|
|
FNMA 15YR 3.500% 09/01/2029
|
634,650
|
|
|
|
|
655,621
|
|
|
|
FNMA 15YR 3.500% 09/01/2029
|
384,059
|
|
|
|
|
396,566
|
|
|
|
FNMA 15YR 3.500% 10/01/2026
|
726,245
|
|
|
|
|
749,822
|
|
|
|
FNMA 15YR 3.500% 10/01/2026
|
135,689
|
|
|
|
|
140,094
|
|
|
|
FNMA 15YR 3.500% 10/01/2026
|
190,413
|
|
|
|
|
196,594
|
|
|
|
FNMA 15YR 3.500% 10/01/2026
|
182,966
|
|
|
|
|
189,238
|
|
|
|
FNMA 15YR 3.500% 10/01/2028
|
142,502
|
|
|
|
|
147,206
|
|
|
|
FNMA 15YR 3.500% 10/01/2029
|
192,687
|
|
|
|
|
199,281
|
|
|
|
FNMA 15YR 3.500% 11/01/2025
|
217,636
|
|
|
|
|
224,702
|
|
|
|
FNMA 15YR 3.500% 11/01/2026
|
382,331
|
|
|
|
|
394,743
|
|
|
|
FNMA 15YR 3.500% 11/01/2028
|
256,949
|
|
|
|
|
265,435
|
|
|
|
FNMA 15YR 3.500% 12/01/2028
|
160,459
|
|
|
|
|
165,725
|
|
|
|
FNMA 15YR 4.000% 01/01/2029
|
77,050
|
|
|
|
|
79,752
|
|
|
|
FNMA 15YR 4.000% 01/01/2029
|
77,050
|
|
|
|
|
79,752
|
|
|
|
FNMA 15YR 4.000% 01/01/2029
|
77,050
|
|
|
|
|
79,752
|
|
|
|
FNMA 15YR 4.000% 01/01/2029
|
77,050
|
|
|
|
|
79,752
|
|
|
|
FNMA 15YR 4.000% 11/01/2026
|
97,085
|
|
|
|
|
101,577
|
|
|
|
FNMA 15YR 4.500% 05/01/2024
|
39,118
|
|
|
|
|
41,262
|
|
|
|
FNMA 6M LIBOR ARM 2.889% 03/01/2034
|
32,731
|
|
|
|
|
31,998
|
|
|
|
FNMA 6M LIBOR ARM 2.915% 11/01/2032
|
6,308
|
|
|
|
|
6,452
|
|
|
|
FNMA 6M LIBOR ARM 3.005% 12/01/2032
|
25,749
|
|
|
|
|
27,103
|
|
|
|
FNMA 6M LIBOR ARM 3.047% 09/01/2035
|
64,606
|
|
|
|
|
67,929
|
|
|
|
FNMA 6M LIBOR ARM 3.206% 09/01/2036
|
4,028
|
|
|
|
|
4,179
|
|
|
|
FNMA 7/1 HYBRID ARM 3.375% 03/01/2036
|
10,295
|
|
|
|
|
10,462
|
|
|
|
FNMA 7/1 HYBRID ARM 3.403% 01/01/2034
|
14,050
|
|
|
|
|
14,512
|
|
|
|
FNMA MEGA 15YR REMIC-BACKED 3.500% 11/01/2025
|
307,260
|
|
|
|
|
317,234
|
|
|
|
FNMA_03-W11 4.525% 06/25/2033
|
326
|
|
|
|
|
341
|
|
|
|
FNMA_04-60 5.500% 04/25/2034
|
8,563
|
|
|
|
|
8,654
|
|
|
|
FHLMC_K007 4.224% 03/25/2020
|
370,000
|
|
|
|
|
383,195
|
|
|
|
FHLMC_K714 3.034% 10/25/2020
|
240,000
|
|
|
|
|
244,005
|
|
|
|
FNMA_11-16 3.500% 03/25/2026
|
4,313
|
|
|
|
|
4,321
|
|
|
|
FNMA_11-55 3.000% 07/25/2025
|
107,135
|
|
|
|
|
107,848
|
|
*
|
Indicates Party-in-interest
|
**
|
Cost information not required for participant-directed investments
|
***
|
The Self-Directed Brokerage Account includes Party-in-interest investment options
17
|
(a)
|
(b) Identity of Issue, Borrower, Lessor, or Similar Party
|
(c) Shares/Units or Face Amount
|
|
(d) Cost**
|
|
(e) Current Value
|
|
FNMA_12-31 1.750% 10/25/2022
|
299,440
|
|
|
|
|
297,390
|
|
|
|
GNMA_12-142 1.105% 05/16/2037
|
241,017
|
|
|
|
|
235,806
|
|
|
|
GNMA_12-55 1.750% 08/16/2033
|
22,456
|
|
|
|
|
22,421
|
|
|
|
GNMA_12-86 1.558% 04/16/2040
|
18,870
|
|
|
|
|
18,815
|
|
|
|
GNMA_13-12 1.410% 10/16/2042
|
228,061
|
|
|
|
|
222,497
|
|
|
|
GNMA_13-126 1.540% 04/16/2038
|
189,722
|
|
|
|
|
185,991
|
|
|
|
GNMA_13-140 1.650% 02/16/2038
|
632,951
|
|
|
|
|
613,020
|
|
|
|
GNMA_13-146 2.000% 08/16/2040
|
257,221
|
|
|
|
|
255,404
|
|
|
|
GNMA_13-17 1.558% 10/16/2043
|
203,141
|
|
|
|
|
197,356
|
|
|
|
GNMA_13-2 1.600% 12/16/2042
|
195,365
|
|
|
|
|
192,928
|
|
|
|
GNMA_13-30 1.500% 05/16/2042
|
345,854
|
|
|
|
|
336,540
|
|
|
|
GNMA_13-32 1.900% 01/16/2042
|
354,901
|
|
|
|
|
349,764
|
|
|
|
GNMA_13-33 1.061% 07/16/2038
|
342,550
|
|
|
|
|
332,619
|
|
|
|
GNMA_13-35 1.618% 02/16/2040
|
308,503
|
|
|
|
|
298,858
|
|
|
|
GNMA_13-40 1.511% 10/16/2041
|
184,530
|
|
|
|
|
181,153
|
|
|
|
GNMA_13-45 1.450% 10/16/2040
|
167,141
|
|
|
|
|
164,261
|
|
|
|
GNMA_13-50 2.100% 06/16/2039
|
170,101
|
|
|
|
|
168,488
|
|
|
|
GNMA_13-52 1.150% 06/16/2038
|
297,892
|
|
|
|
|
288,688
|
|
|
|
GNMA_13-73 1.350% 01/16/2039
|
245,884
|
|
|
|
|
239,897
|
|
|
|
GNMA_13-78 1.624% 07/16/2039
|
118,057
|
|
|
|
|
116,549
|
|
|
|
GNMA_13-179 1.800% 07/16/2037
|
164,129
|
|
|
|
|
162,213
|
|
|
|
GNMA_13-194 2.250% 05/16/2038
|
132,970
|
|
|
|
|
132,485
|
|
|
|
GNMA_14-103 1.742% 06/16/2053
|
335,742
|
|
|
|
|
335,895
|
|
|
|
GNMA_14-47 2.250% 08/16/2040
|
24,654
|
|
|
|
|
24,626
|
|
|
|
GNMA_15-109 2.528% 02/16/2040
|
462,500
|
|
|
|
|
459,697
|
|
|
|
GNMA_15-21 2.600% 11/16/2042
|
195,203
|
|
|
|
|
195,521
|
|
|
|
GNMA_15-33 2.650% 02/16/2045
|
346,031
|
|
|
|
|
345,785
|
|
|
|
GNMA_15-5 2.500% 11/16/2039
|
323,505
|
|
|
|
|
320,289
|
|
|
|
GNMA_15-78 2.918% 06/16/2040
|
525,009
|
|
|
|
|
524,668
|
|
|
|
Total fully benefit-responsive investment contracts
|
|
|
|
|
145,142,097
|
|
||
|
|
|
|
|
|
|
|||
*
|
Loans to Participants
|
|
|
|
|
|
|
||
|
Various Loans, 3.25% — 9.25% due through 2047
|
|
|
|
|
|
34,098,440
|
|
|
|
Less: Deemed distributions
|
|
|
|
|
|
(379,566
|
)
|
|
|
Net participant loans
|
|
|
|
|
|
33,718,874
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets Held at End of Year per Form 5500
|
|
|
|
|
|
$
|
2,039,122,443
|
|
*
|
Indicates Party-in-interest
|
**
|
Cost information not required for participant-directed investments
|
***
|
The Self-Directed Brokerage Account includes Party-in-interest investment options
18
|
|
|
|
AMERIPRISE FINANCIAL, INC.
|
|
|
|
(Registrant)
|
|
|
|
|
|
|
|
|
Date:
|
June 27, 2018
|
By
|
/s/ Michelle Rudlong
|
|
|
|
Michelle Rudlong
|
|
|
|
Delegate
|
|
|
|
Employee Benefits Administration Committee
|
|
|
|
|
1 Year Ameriprise Financial Chart |
1 Month Ameriprise Financial Chart |
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