Document:

Exhibit 4
(n)

 

DECLARATION OF TRUST

OF

AMERIPRISE CAPITAL TRUST II

 

DECLARATION OF TRUST, dated as of May 5, 2006, among Ameriprise
Financial, Inc., a Delaware corporation, as sponsor (the “Sponsor”), U.S.
Bank Trust National Association, a national banking association, as Delaware
trustee (the “Delaware Trustee”), U.S. Bank National Association, a national
banking association, as property trustee (the “Property Trustee”), and Lori
Anshus, Joel Campbell, and Daniel Murtha as regular trustees (the “Regular Trustees”
and, collectively with the Delaware Trustee and the Property Trustee, the “Trustees”).
The Sponsor and the Trustees hereby agree as follows:

 

1.                                       The
trust created hereby (the “Trust”) shall be known as “Ameriprise Capital Trust
II”, in which name the Trustees, or the Sponsor to the extent provided herein, may conduct
the business of the Trust, make and execute contracts, and sue and be sued.

 

2.                                       The
Sponsor hereby assigns, transfers, conveys and sets over to the Trustees the
sum of Ten Dollars ($10.00). The Trustees hereby acknowledge receipt of such
amount in trust from the Sponsor, which amount shall constitute the initial
trust estate. The Trustees hereby declare that they will hold the trust estate
in trust for the Sponsor. It is the intention of the parties hereto that the
Trust created hereby constitute a statutory trust under Chapter 38 of Title 12
of the Delaware Code, 12 Del.  C. § 3801 et  seq.
(the “Statutory Trust Act”), and that this document constitute the governing
instrument of the Trust. The Trustees are hereby authorized and directed to
execute and file a certificate of trust with the Secretary of State of the
State of Delaware in the form attached hereto.

 

3.                                       The
Trust is hereby established by the Sponsor and the Trustees for the purposes of
(i) issuing preferred securities (the “Capital Securities”) representing
undivided beneficial interests in the assets of the Trust in exchange for cash
and investing the proceeds thereof in junior subordinated debt securities of
the Sponsor, (ii) issuing and selling common securities (the “Common
Securities” and, together with the Capital Securities, the “Trust Securities”)
representing undivided beneficial interests in the assets of the Trust to the
Sponsor in exchange for cash and investing the proceeds thereof in junior
subordinated debt securities of the Sponsor and (iii) engaging in such
other activities as are necessary, convenient or incidental thereto.

 

4.                                       At
the time of issuance of the Capital Securities of the Trust, the Sponsor and
the Trustees will enter into an amended and restated Declaration of Trust (the “Amended
and Restated Declaration of Trust”), satisfactory to each such party and having
substantially the terms described in the Prospectus (as defined below), to
provide for the contemplated operation of the Trust created hereby and the
issuance of the Trust Securities referred to therein. Prior to the execution
and delivery of the Amended and Restated Declaration of Trust, the Trustees
shall not have any duty or obligation hereunder or with respect to the trust
estate, except as otherwise required by applicable law or as may be
necessary to obtain prior to such execution and delivery any licenses, consents
or approvals required by applicable law or otherwise. Notwithstanding

 

 

the foregoing,
the Trustees may take all actions deemed necessary or advisable to effect
the transactions contemplated in the Amended and Restated Declaration of Trust.

 

5.                                       The
Sponsor and the Regular Trustees hereby authorize and direct the Sponsor, in
each case on behalf of the Trust as sponsor of the Trust, to the fullest extent
permitted by applicable law (i) to prepare, execute and file with the
Securities and Exchange Commission (the “Commission”) (a) a Registration
Statement on Form S-3 (the “1933 Act Registration Statement”) and any
pre-effective and post-effective amendments thereto, including one or more
prospectuses, together with any necessary or desirable amendments thereto and
any exhibits contained therein or forming a part thereof (the “Prospectus”)
relating to the registration of the Trust Securities under the Securities Act
of 1933, as amended, and (b) a Registration Statement on Form 8-A
(the “1934 Act Registration Statement”) (including all pre-effective and
post-effective amendments thereto) relating to the registration of the Trust
Securities under Section 12(b) of the Securities Exchange Act of
1934, as amended; (ii) to prepare, execute and file with the New York
Stock Exchange, the American Stock Exchange or such other national securities
exchange or the Nasdaq National Market System as the Sponsor shall determine a
listing or other similar application and all other applications, statements,
certificates, agreements and other instruments as shall be necessary or
desirable to cause the Capital Securities to be listed or approved for
quotation on the New York Stock Exchange, the American Stock Exchange or such
other national securities exchange or the Nasdaq National Market System; (iii) to
prepare, execute and file such applications, reports, surety bonds, irrevocable
consents, appointments of attorneys for service of process and other papers and
documents as shall be necessary or desirable to register the Capital Securities
under, or obtain for the Capital Securities an exemption from, the securities
or “Blue Sky” laws of such jurisdictions as the Sponsor may deem necessary
or desirable; (iv) to negotiate and execute such underwriting or purchase
agreements and related agreements with one or more underwriters, purchasers or
agents relating to the offering of the Capital Securities, as the Sponsor may deem
necessary or desirable; and (v) to execute any or all documents, papers or
instruments as may be desirable in connection with any of the foregoing. It
is hereby acknowledged and agreed that in connection with any execution or
filing referred to in clauses (i)-(v) above, to the fullest extent
permitted by applicable law (A) in addition to the Sponsor, any Regular
Trustee (or his or her attorney-in-fact and agent) is authorized on behalf of
the Trust to file and execute any of the foregoing documents on behalf of the
Trust and (B) neither the Property Trustee nor the Delaware Trustee shall
be required to join in any such filing or execute on behalf of the Trust any
such document unless required by the rules and regulations of the
Commission, the New York Stock Exchange (or such other national securities
exchange or the Nasdaq National Market System) or state securities or “Blue Sky”
laws, and in such case only to the extent so required. In connection with all
of the foregoing, each Regular Trustee, solely in its capacity as Trustee of
the Trust, hereby constitutes and appoints John C. Junek, Esq. as his or
her true and lawful attorney-in-fact and agent, with full power of substitution
and resubstitution, for such Regular Trustee or in such Regular Trustee’s name,
place and stead, in any and all capacities, to execute the 1933 Act
Registration Statement and the 1934 Act Registration Statement and any and all
amendments (including post-effective amendments) thereto, and to file the same,
with all exhibits thereto, and other documents in connection therewith, with
the Commission, granting unto said attorney-in-fact and agent full power and
authority to do and perform each and every act and thing requisite and
necessary to be done in connection therewith as fully to all intents and
purposes as such Regular Trustee might or could do in person, hereby ratifying
and confirming all that said attorney-in-fact and agent, or

 

2

 

his substitute
or substitutes, shall do or cause to be done by virtue hereof.

 

6.                                       This
Declaration of Trust may be executed in one or more counterparts.

 

7.                                       The
number of Trustees initially shall be five (5) and thereafter the number
of Trustees shall be such number as shall be fixed from time to time by a
written instrument signed by the Sponsor which may increase or decrease
the number of Trustees; provided, that to the extent required by the Statutory
Trust Act, one Trustee shall be an entity that has its principal place of
business in the State of Delaware and meets any other requirements imposed by
applicable law. Subject to the foregoing, the Sponsor is entitled to appoint or
remove without cause any Trustee at any time. Any Trustee may resign upon
thirty days prior notice to the Sponsor; provided, further, however, that no
resignation of the Delaware Trustee shall be effective until a successor
Delaware trustee meeting the requirements set forth in the proviso of the first
sentence of this Section 7 has been appointed and has accepted such
appointment by an instrument executed by such successor Delaware trustee and
delivered to the Trust, the Sponsor and the resigning Delaware Trustee.

 

8.                                       The
Trust may dissolve and terminate without issuing any Trust Securities at
the election of the Sponsor.

 

9.                                       This
Declaration of Trust shall be governed by and construed in accordance with the
laws of the State of Delaware.

 

[Signature page to follow]

 

3

 

IN WITNESS WHEREOF, the parties hereto have caused this Declaration of
Trust to be duly executed as of the day and year first above written.

 

	
   

  	
  AMERIPRISE
  FINANCIAL, INC.,

  
	
   

  	
  as Sponsor

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Arthur
  H. Berman

  	
   

  
	
   

  	
  Name: Arthur
  H. Berman

  
	
   

  	
  Title: SVP and
  Treasurer

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  U.S. BANK
  TRUST NATIONAL ASSOCIATION,

  
	
   

  	
  as Delaware
  Trustee

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Barbara
  A. Nastro

  	
   

  
	
   

  	
  Name:
  Barbara A. Nastro

  
	
   

  	
  Title: Vice
  President

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  U.S. BANK
  NATIONAL ASSOCIATION,

  
	
   

  	
  as Property
  Trustee

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Barbara
  A. Nastro

  	
   

  
	
   

  	
  Name:
  Barbara A. Nastro

  
	
   

  	
  Title: Vice
  President

  
	
   

  	
   

  
	
   

  	
  /s/ Lori
  Anshus

  	
   

  
	
   

  	
  Lori Anshus,
  as Regular Trustee

  
	
   

  	
   

  
	
   

  	
  /s/ Joel
  Campbell

  	
   

  
	
   

  	
  Joel
  Campbell, as Regular Trustee

  
	
   

  	
   

  
	
   

  	
  /s/ Daniel
  Murtha

  	
   

  
	
   

  	
  Daniel
  Murtha, as Regular Trustee

  

 

4Exhibit 4(o)

 

DECLARATION OF TRUST

OF

AMERIPRISE CAPITAL TRUST III

 

DECLARATION OF TRUST, dated as of May 5, 2006, among Ameriprise
Financial, Inc., a Delaware corporation, as sponsor (the “Sponsor”), U.S.
Bank Trust National Association, a national banking association, as Delaware
trustee (the “Delaware Trustee”), U.S. Bank National Association, a national
banking association, as property trustee (the “Property Trustee”), and Lori
Anshus, Joel Campbell, and Daniel Murtha as regular trustees (the “Regular Trustees”
and, collectively with the Delaware Trustee and the Property Trustee, the “Trustees”).
The Sponsor and the Trustees hereby agree as follows:

 

1.                                       The
trust created hereby (the “Trust”) shall be known as “Ameriprise Capital Trust
III”, in which name the Trustees, or the Sponsor to the extent provided herein,
may conduct the business of the Trust, make and execute contracts, and sue
and be sued.

 

2.                                       The
Sponsor hereby assigns, transfers, conveys and sets over to the Trustees the
sum of Ten Dollars ($10.00). The Trustees hereby acknowledge receipt of such
amount in trust from the Sponsor, which amount shall constitute the initial
trust estate. The Trustees hereby declare that they will hold the trust estate
in trust for the Sponsor. It is the intention of the parties hereto that the
Trust created hereby constitute a statutory trust under Chapter 38 of Title 12
of the Delaware Code, 12 Del.  C. § 3801 et  seq.
(the “Statutory Trust Act”), and that this document constitute the governing
instrument of the Trust. The Trustees are hereby authorized and directed to
execute and file a certificate of trust with the Secretary of State of the
State of Delaware in the form attached hereto.

 

3.                                       The
Trust is hereby established by the Sponsor and the Trustees for the purposes of
(i) issuing preferred securities (the “Capital Securities”) representing
undivided beneficial interests in the assets of the Trust in exchange for cash
and investing the proceeds thereof in junior subordinated debt securities of
the Sponsor, (ii) issuing and selling common securities (the “Common
Securities” and, together with the Capital Securities, the “Trust Securities”)
representing undivided beneficial interests in the assets of the Trust to the
Sponsor in exchange for cash and investing the proceeds thereof in junior
subordinated debt securities of the Sponsor and (iii) engaging in such
other activities as are necessary, convenient or incidental thereto.

 

4.                                       At
the time of issuance of the Capital Securities of the Trust, the Sponsor and
the Trustees will enter into an amended and restated Declaration of Trust (the “Amended
and Restated Declaration of Trust”), satisfactory to each such party and having
substantially the terms described in the Prospectus (as defined below), to
provide for the contemplated operation of the Trust created hereby and the
issuance of the Trust Securities referred to therein. Prior to the execution
and delivery of the Amended and Restated Declaration of Trust, the Trustees
shall not have any duty or obligation hereunder or with respect to the trust
estate, except as otherwise required by applicable law or as may be
necessary to obtain prior to such execution and delivery any licenses, consents
or approvals required by applicable law or otherwise. Notwithstanding

 

 

the foregoing,
the Trustees may take all actions deemed necessary or advisable to effect
the transactions contemplated in the Amended and Restated Declaration of Trust.

 

5.                                       The
Sponsor and the Regular Trustees hereby authorize and direct the Sponsor, in
each case on behalf of the Trust as sponsor of the Trust, to the fullest extent
permitted by applicable law (i) to prepare, execute and file with the
Securities and Exchange Commission (the “Commission”) (a) a Registration
Statement on Form S-3 (the “1933 Act Registration Statement”) and any
pre-effective and post-effective amendments thereto, including one or more
prospectuses, together with any necessary or desirable amendments thereto and
any exhibits contained therein or forming a part thereof (the “Prospectus”)
relating to the registration of the Trust Securities under the Securities Act
of 1933, as amended, and (b) a Registration Statement on Form 8-A
(the “1934 Act Registration Statement”) (including all pre-effective and
post-effective amendments thereto) relating to the registration of the Trust
Securities under Section 12(b) of the Securities Exchange Act of
1934, as amended; (ii) to prepare, execute and file with the New York
Stock Exchange, the American Stock Exchange or such other national securities exchange
or the Nasdaq National Market System as the Sponsor shall determine a listing
or other similar application and all other applications, statements,
certificates, agreements and other instruments as shall be necessary or
desirable to cause the Capital Securities to be listed or approved for
quotation on the New York Stock Exchange, the American Stock Exchange or such
other national securities exchange or the Nasdaq National Market System; (iii) to
prepare, execute and file such applications, reports, surety bonds, irrevocable
consents, appointments of attorneys for service of process and other papers and
documents as shall be necessary or desirable to register the Capital Securities
under, or obtain for the Capital Securities an exemption from, the securities
or “Blue Sky” laws of such jurisdictions as the Sponsor may deem necessary
or desirable; (iv) to negotiate and execute such underwriting or purchase
agreements and related agreements with one or more underwriters, purchasers or
agents relating to the offering of the Capital Securities, as the Sponsor may deem
necessary or desirable; and (v) to execute any or all documents, papers or
instruments as may be desirable in connection with any of the foregoing. It
is hereby acknowledged and agreed that in connection with any execution or
filing referred to in clauses (i)-(v) above, to the fullest extent
permitted by applicable law (A) in addition to the Sponsor, any Regular
Trustee (or his or her attorney-in-fact and agent) is authorized on behalf of
the Trust to file and execute any of the foregoing documents on behalf of the
Trust and (B) neither the Property Trustee nor the Delaware Trustee shall
be required to join in any such filing or execute on behalf of the Trust any
such document unless required by the rules and regulations of the
Commission, the New York Stock Exchange (or such other national securities
exchange or the Nasdaq National Market System) or state securities or “Blue Sky”
laws, and in such case only to the extent so required. In connection with all
of the foregoing, each Regular Trustee, solely in its capacity as Trustee of
the Trust, hereby constitutes and appoints John C. Junek, Esq. as his or
her true and lawful attorney-in-fact and agent, with full power of substitution
and resubstitution, for such Regular Trustee or in such Regular Trustee’s name,
place and stead, in any and all capacities, to execute the 1933 Act
Registration Statement and the 1934 Act Registration Statement and any and all
amendments (including post-effective amendments) thereto, and to file the same,
with all exhibits thereto, and other documents in connection therewith, with
the Commission, granting unto said attorney-in-fact and agent full power and
authority to do and perform each and every act and thing requisite and
necessary to be done in connection therewith as fully to all intents and
purposes as such Regular Trustee might or could do in person, hereby ratifying
and confirming all that said attorney-in-fact and agent, or

 

2

 

his substitute
or substitutes, shall do or cause to be done by virtue hereof.

 

6.                                       This
Declaration of Trust may be executed in one or more counterparts.

 

7.                                       The
number of Trustees initially shall be five (5) and thereafter the number
of Trustees shall be such number as shall be fixed from time to time by a
written instrument signed by the Sponsor which may increase or decrease
the number of Trustees; provided, that to the extent required by the Statutory
Trust Act, one Trustee shall be an entity that has its principal place of
business in the State of Delaware and meets any other requirements imposed by
applicable law. Subject to the foregoing, the Sponsor is entitled to appoint or
remove without cause any Trustee at any time. Any Trustee may resign upon
thirty days prior notice to the Sponsor; provided, further, however, that no
resignation of the Delaware Trustee shall be effective until a successor
Delaware trustee meeting the requirements set forth in the proviso of the first
sentence of this Section 7 has been appointed and has accepted such
appointment by an instrument executed by such successor Delaware trustee and
delivered to the Trust, the Sponsor and the resigning Delaware Trustee.

 

8.                                       The
Trust may dissolve and terminate without issuing any Trust Securities at
the election of the Sponsor.

 

9.                                       This
Declaration of Trust shall be governed by and construed in accordance with the
laws of the State of Delaware.

 

[Signature page to follow]

 

3

 

IN WITNESS WHEREOF, the parties hereto have caused this Declaration of
Trust to be duly executed as of the day and year first above written.

 

	
   

  	
  AMERIPRISE
  FINANCIAL, INC.,

  
	
   

  	
  as Sponsor

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Arthur
  H. Berman

  	
   

  
	
   

  	
  Name: Arthur
  H. Berman

  
	
   

  	
  Title: SVP
  and Treasurer

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  U.S. BANK
  TRUST NATIONAL ASSOCIATION,

  
	
   

  	
  as Delaware
  Trustee

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Barbara
  A. Nastro

  	
   

  
	
   

  	
  Name:
  Barbara A. Nastro

  
	
   

  	
  Title: Vice
  President

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  U.S. BANK
  NATIONAL ASSOCIATION,

  
	
   

  	
  as Property
  Trustee

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  /s/ Barbara
  A. Nastro

  	
   

  
	
   

  	
  Name:
  Barbara A. Nastro

  
	
   

  	
  Title: Vice
  President

  
	
   

  	
   

  
	
   

  	
  /s/ Lori
  Anshus

  	
   

  
	
   

  	
  Lori Anshus,
  as Regular Trustee

  
	
   

  	
   

  
	
   

  	
  /s/ Joel
  Campbell

  	
   

  
	
   

  	
  Joel
  Campbell, as Regular Trustee

  
	
   

  	
   

  
	
   

  	
  /s/ Daniel
  Murtha

  	
   

  
	
   

  	
  Daniel
  Murtha, as Regular Trustee

  

 

4

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