Document:

Exhibit 4(j)

 

CERTIFICATE OF TRUST

OF

AMERIPRISE CAPITAL TRUST II

 

This Certificate of Trust is being executed as of May 5,
2006 for the purpose of forming a statutory trust pursuant to the Delaware
Statutory Trust Act, 12 Del.  C. § 3801 et  seq.
(the “Act”).

 

The undersigned hereby certifies as follows:

 

1)                                      Name. The name of the statutory
trust is “Ameriprise Capital Trust II” (the “Trust”).

 

2)                                      Delaware Trustee. The name and business
address of the Delaware resident trustee of the Trust meeting the requirements
of Section 3807 of the Act are as follows:

 

U.S. Bank Trust National Association

300 Delaware Avenue

Wilmington, Delaware 19801

Attention:  Corporate
Trust Administration

 

3)                                      Effective. This Certificate of Trust,
which may be executed in counterparts, shall be effective immediately upon
filing in the Office of the Secretary of State of the State of Delaware.

 

 

IN WITNESS WHEREOF, the undersigned, being all of the trustees
of the Trust, have duly executed this Certificate of Trust as of the day and year
first above written.

 

 

	
   

  	
  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

  

 

2Exhibit 4(k)

 

CERTIFICATE OF TRUST

OF

AMERIPRISE CAPITAL TRUST III

 

This Certificate of Trust is being executed as of May 5,
2006 for the purpose of forming a statutory trust pursuant to the Delaware
Statutory Trust Act, 12 Del.  C. § 3801 et  seq.
(the “Act”).

 

The undersigned hereby certifies as follows:

 

1)                                      Name. The name of the statutory
trust is “Ameriprise Capital Trust III” (the “Trust”).

 

2)                                      Delaware Trustee. The name and business
address of the Delaware resident trustee of the Trust meeting the requirements
of Section 3807 of the Act are as follows:

 

U.S. Bank Trust National Association

300 Delaware Avenue

Wilmington, Delaware 19801

Attention:  Corporate
Trust Administration

 

3)                                      Effective. This Certificate of Trust,
which may be executed in counterparts, shall be effective immediately upon
filing in the Office of the Secretary of State of the State of Delaware.

 

 

IN WITNESS WHEREOF, the undersigned, being all of the trustees
of the Trust, have duly executed this Certificate of Trust as of the day and
year first above written.

 

 

	
   

  	
  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

  

 

2Exhibit 4(l)

 

CERTIFICATE OF TRUST

OF

AMERIPRISE CAPITAL TRUST IV

 

This Certificate of Trust is being executed as of May 5,
2006 for the purpose of forming a statutory trust pursuant to the Delaware
Statutory Trust Act, 12 Del.  C. § 3801 et  seq.
(the “Act”).

 

The undersigned hereby certifies as follows:

 

1)                                      Name. The name of the statutory
trust is “Ameriprise Capital Trust IV” (the “Trust”).

 

2)                                      Delaware Trustee. The name and business
address of the Delaware resident trustee of the Trust meeting the requirements
of Section 3807 of the Act are as follows:

 

U.S. Bank Trust National Association

300 Delaware Avenue

Wilmington, Delaware 19801

Attention:  Corporate
Trust Administration

 

3)                                      Effective. This Certificate of Trust,
which may be executed in counterparts, shall be effective immediately upon
filing in the Office of the Secretary of State of the State of Delaware.

 

 

IN WITNESS WHEREOF, the undersigned, being all of the trustees
of the Trust, have duly executed this Certificate of Trust as of the day and year
first above written.

 

 

	
   

  	
  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

  

 

2Exhibit 4(m)

 

DECLARATION OF TRUST

OF

AMERIPRISE CAPITAL TRUST I

 

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 I”, 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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