Document:

Exhibit
10.4

 

 

AMERIPRISE
FINANCIAL

 

FORM OF AWARD CERTIFICATE

 

for

 

 

Name of Employee

 

NON-QUALIFIED STOCK OPTION AWARD (“NQSO”)

 

	
  Number of

  Shares Subject

  to the NQSO

  	
   

  	
  Award Date

  	
   

  	
  Exercise

  Price

  	
   

  	
  Percentage of

  Shares Subject

  to Vesting

  	
   

  	
  Vesting

  Dates1

  	
   

  	
  Expiration

  Date

  	
   

  
	
  XXXXX

  	
   

  	
  XXXXX

  	
   

  	
  XXXXX

  	
   

  	
   

  	
   

  	
   

  	
   

  	
  XXXXXX

  	
   

  

 

This non-qualified stock option (the “NQSO”) is
subject to the terms and conditions set forth in this Certificate, the
Ameriprise Financial 2005 Incentive Compensation Plan (the “Plan”) and
the Ameriprise Financial Long-Term Incentive Award Program Guide (the “LTIA
Guide”).  All terms and provisions of
the Plan and the LTIA Guide, as the same may be amended from time to time, are
incorporated herein and made part hereof as if stated herein.  If any provision hereof and of the Plan or
the LTIA Guide shall be in conflict, the terms of the Plan or the LTIA Guide,
as applicable, shall govern.  All
capitalized terms used herein and not defined herein shall have the meanings
assigned to them in the Plan.  The NQSO
shall be exercisable only in accordance with the provisions of this
Certificate, the Plan and the LTIA Guide and shall have a term of no more than
10 years from the Award Date.

 

The NQSO is exercisable
only by you and may not be assigned, sold, pledged, hypothecated, transferred
or otherwise disposed of in any manner other than as provided in this
Certificate, the Plan or the LTIA Guide, subject to rules adopted by the
Committee from time to time.  The NQSO can
be exercised by your beneficiaries after your death.

 

The granting of this
NQSO, or any prior or future award, is neither a contract nor a guarantee of
continued employment; the continuation of your employment is and always will be
at the discretion of the Company.  The
granting of this NQSO is a one-time discretionary act and it does not impose
any obligation on the Company to offer future awards of any amount or nature.
The continuation of the Plan and the grant of future awards is a voluntary act
completely within the discretion of the Company, and the Plan is subject to
termination at any time.

 

1   The vesting schedule generally
provides for vesting over a 4-year period. 
In any event, the vesting schedule shall provide for vesting over a
period of no less than 2 years from the Award Date.Exhibit
10.5

 

AMERIPRISE FINANCIAL

 

FORM OF AWARD CERTIFICATE

 

for

 

 

Name of Employee

 

RESTRICTED STOCK AWARD (“RSA”)1

 

 

	
  Number of Restricted

  Shares Awarded

  	
   

  	
  Award Date

  	
   

  	
  Percentage of Restricted

  Shares Subject to Vesting

  	
   

  	
  Vesting Dates2

  	
   

  
	
  XXXXX

  	
   

  	
  XXXXX

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

This restricted stock award (the “RSA”) is
subject to the terms and conditions set forth in this Certificate, the
Ameriprise Financial 2005 Incentive Compensation Plan (the “Plan”) and
the Ameriprise Financial Long-Term Incentive Award Program Guide (the “LTIA
Guide”).  All terms and provisions of
the Plan and the LTIA Guide, as the same may be amended from time to time, are
incorporated herein and made part hereof as if stated herein.  If any provision hereof and of the Plan or
the LTIA Guide shall be in conflict, the terms of the Plan or the LTIA Guide,
as applicable, shall govern.  All
capitalized terms used herein and not defined herein shall have the meanings
assigned to them in the Plan.

 

The RSA includes rights
to vote the shares underlying the RSA as a shareholder of the Company.

 

Except as provided in the
Plan and the LTIA Guide, the RSA may not be assigned, sold, pledged,
hypothecated, transferred or otherwise disposed of in any manner other than as
provided in this Certificate, the Plan or the LTIA Guide, subject to rules
adopted by the Committee from time to time.

 

The granting of this RSA,
or any prior or future award, is neither a contract nor a guarantee of
continued employment; the continuation of your employment is and always will be
at the discretion of the Company.  The
granting of this award is a one-time discretionary act and it does not impose
any obligation on the Company to offer future awards of any amount or nature.  The continuation of the Plan and the grant of
future awards is a voluntary act completely within the discretion of the
Company, and the Plan is subject to termination at any time.

 

1   For those RSAs that are intended to
qualify under section 162(m) of the Internal Revenue Code of 1986, as amended,
performance conditions based on the Company’s “return on equity” shall be
applied.  The Company’s “return on
equity” is generally the after-tax net income divided by the average annual
shareholders’ equity.

 

2   The vesting schedule generally
provides for vesting over a 4-year period. 
In any event, the vesting schedule shall provide for vesting over a
period of no less than 2 years from the Award Date.Exhibit
10.6

 

AMERIPRISE FINANCIAL

 

FORM OF AWARD CERTIFICATE

 

for

 

 

Name of Employee

 

RESTRICTED STOCK UNIT AWARD (“RSU”)1

 

 

	
  Number of Restricted

  Stock Units Awarded

  	
   

  	
  Award Date

  	
   

  	
  Percentage of Restricted

  Stock Units Subject to Vesting

  	
   

  	
  Vesting Dates2

  	
   

  
	
  XXXXX

  	
   

  	
  XXXXX

  	
   

  	
   

  	
   

  	
   

  	
   

  

 

This restricted stock unit award (the “RSU”)
represents the Company’s promise to deliver to you Common Stock in the amount
and on the Vesting Dates above, subject to the terms and conditions set forth
in this Certificate, the Ameriprise Financial 2005 Incentive Compensation Plan
(the “Plan”) and the Ameriprise Financial Long-Term Incentive Award
Program Guide (the “LTIA Guide”). 
All terms and provisions of the Plan and the LTIA Guide, as the same may
be amended from time to time, are incorporated herein and made part hereof as
if stated herein.  If any provision
hereof and of the Plan or the LTIA Guide shall be in conflict, the terms of the
Plan or the LTIA Guide, as applicable, shall govern.  All capitalized terms used herein and not
defined herein shall have the meanings assigned to them in the Plan.

 

The RSU includes
“dividend equivalent rights,” which means rights as determined by the Committee
to additional payments in the event that the Company declares a dividend.

 

Except as provided in the
Plan and the LTIA Guide, the RSU may not be assigned, sold, pledged,
hypothecated, transferred or otherwise disposed of in any manner other than as
provided in this Certificate, the Plan or the LTIA Guide, subject to rules
adopted by the Committee from time to time.

 

The granting of this RSU,
or any prior or future award, is neither a contract nor a guarantee of
continued employment; the continuation of your employment is and always will be
at the discretion of the Company.  The granting
of this award is a one-time discretionary act and it does not impose any
obligation on the Company to offer future awards of any amount or nature.  The continuation of the Plan and the grant of
future awards is a voluntary act completely within the discretion of the
Company, and the Plan is subject to termination at any time.

 

1   For those RSUs that are intended to
qualify under section 162(m) of the Internal Revenue Code of 1986, as amended,
performance conditions based on the Company’s “return on equity” shall be
applied.  The Company’s “return on
equity” is generally the after-tax net income divided by the average annual
shareholders’ equity.

 

2   The vesting schedule generally
provides for vesting over a 4-year period. 
In any event, the vesting schedule shall provide for vesting over a
period of no less than 2 years from the Award Date.Exhibit 10.7

 

AMERIPRISE FINANCIAL

FORM OF AGREEMENT

for

Name of Employee

CASH INCENTIVE AWARD

for the

Performance
Period commencing on ___________________ and ending on ____________________
(the “Performance Period”).

 

                This Cash Incentive Award
agreement (the “Agreement”) sets forth the terms of the Cash Incentive Award
(the “Award”) granted to you by Ameriprise Financial, Inc. (the “Company”)
pursuant to the Ameriprise Financial 2005 Incentive Compensation Plan, as the
same may be amended from time to time (the “Plan”).  All terms used herein and not defined herein
shall have the meanings ascribed to such terms in the Plan.

 

1.             GENERAL.  You have
been granted the Award subject to the provisions of the Plan and the terms,
conditions and restrictions set forth herein.

 

2.             REQUIREMENT OF EMPLOYMENT.  You will not be entitled to any payment under
or with respect to this Award if your employment with the Company terminates
for any reason on or before the Payment Date (as such term is defined in
Subparagraph 4(b)).  If you are granted a
leave of absence or commence any other break in employment intended by the
Company to be temporary, the Compensation and Benefits Committee, or its
successor (the “Committee”) of the Board of Directors of the Company (the
“Board”) shall determine whether and when your employment will be deemed to
have terminated.

 

3.                                       DETERMINATION
OF THE SCHEDULE A VALUE

 

(a)           Subject to Subparagraphs 3(c) and 3(d) below, the Schedule
A Value will be equal to the amount determined pursuant to a formula based on
__________________, as specified in Schedule A to this Agreement (the “Schedule
A Value”).

 

(b)           Except as may be set forth on Schedule B to this
Agreement, all accounting terms used in this Agreement shall have the meanings
assigned to them in accordance with generally accepted accounting principles.

 

(c)           As soon as practicable after the last day of the
Performance Period, the Committee may determine, in its sole discretion, that
the Schedule A Value, if any (as determined pursuant to Subparagraph 3(a)),
shall be adjusted downward, but in no event upward, by up to 100%.  In no event may the Committee amend any
provision hereof so as to increase or otherwise adjust upward the Schedule A
Value.  In exercising its discretion to
make a downward adjustment, the Committee may take into account certain 

 

factors, including
evaluations of business and personal performance, and such other factors deemed
relevant by the Committee in its sole discretion.  Any such determination by the Committee need
not be made in a uniform manner and may be made selectively among holders of
Cash Incentive Awards, whether or not such award holders are similarly
situated.

 

(d)           In the event of any change in the corporate capitalization
of the Company, such as by reason of any stock split, or a material corporate
transaction, such as any merger of the Company into another corporation, any
consolidation of the Company and one or more corporations into another
corporation, any separation of the Company (including a spin-off or other
distribution of stock or property by the Company), any reorganization of the
Company (whether or not such reorganization comes within the definition of such
term in Section 368 of the Internal Revenue Code of 1986, as amended (the
“Code”)), or any partial or complete liquidation by the Company, other than a
normal cash dividend, if the Committee shall determine that such a change
equitably requires an adjustment in the calculation or terms of the Schedule A
Value under this Award, on the grounds that any such change would produce an
unreasonable value, such equitable adjustment will be made by the
Committee.  Any such determination by the
Committee under this Subparagraph 3(d) shall be final, binding and conclusive.

 

4.             PAYMENT OF AWARD.

 

(a)           As soon as practicable after the last day of the
Performance Period, the Committee shall determine whether the conditions of
Paragraph 2 have been met and, if so, shall ascertain the Schedule A Value in
accordance with Paragraph 3.

 

(b)           If the Committee determines that there is no Schedule A
Value, this Award will be canceled. If the Committee determines that there is
some Schedule A Value, as determined pursuant to Paragraph 3, such amount shall
become payable to you in cash within fifteen business days following the
regularly scheduled payroll payment date of the applicable pay period beginning
after January 31 of the year following the Performance Period (the “Payment
Date”) (or at such other time or times as the Committee shall determine as
provided in Paragraph 6 below).

 

5.             TERMINATION OF EMPLOYMENT AFTER THE PERFORMANCE PERIOD
BUT ON OR BEFORE THE PAYMENT DATE.  If,
after the last day of the Performance Period and on or before the Payment Date
your employment with the Company terminates for any reason, then you and all
others claiming under or through you shall not be entitled to receive any
payment under or with respect to this Award.

 

6.             DEFERRAL OR ACCELERATION OF PAYMENT OF AWARD.  Subject to satisfying applicable requirements
under Section 409A of Code, any payments to be made under this Award may be
deferred or accelerated in such manner as the Committee shall determine in its
sole discretion; provided that as to such a deferral of payment, any such
payment in excess of the amount that was originally payable to you under this
Agreement will be based on a reasonable interest rate or on one or more
predetermined actual investments (whether or not assets associated with the
amount are actually invested therein) as determined by the Committee in its
sole discretion, and provided, further, that as to such an acceleration of
payment to you under this Agreement, any such payment will be discounted to
reasonably reflect the time value of money as determined by the Committee in
its sole discretion.

 

7.             CHANGE IN CONTROL. 
Notwithstanding anything in this Agreement to the contrary, if within
two years following the occurrence of a Change in Control and during the
Performance Period for this Award you experience a termination of employment
that would otherwise entitle you to receive the payment of severance benefits
under the provisions of the severance plan of the Company that you participate
in as 

 

2

of the date of such
termination of employment, then you shall be paid in respect of and in full
satisfaction of this Award, within five days after the date of such termination
of employment, a cash payment equal to the value of (i) (A) the average of the
cash incentive awards paid or payable to you from the Company or any of its
subsidiaries with respect to each of the two years prior to the Change in
Control as determined by the Committee, or (B) if you have not received two
such awards, the most recent cash incentive award paid or payable to you under
the applicable cash incentive award program of the Company or one of its
subsidiaries at the time of such prior payment (or, in the event you have not
previously received any such award, the target amount set forth in Schedule A
to this Agreement), multiplied by (ii) the number of days that have elapsed
during the Performance Period at the time of such termination of employment
divided by the number of days in such Performance Period.

 

                The Committee reserves the right to amend or delete
this Section 7 in whole or in part at any time and from time to time; provided,
that upon and following the occurrence of a Change in Control, the Committee
may not amend this Section 7 in a manner that is detrimental to your rights
without your express written consent. 
Any amendment of the definition of ‘Change in Control’ in the Plan will
be deemed to be an amendment permitted under this Section 7.

 

8.             TAX WITHHOLDING AND FURNISHING OF INFORMATION.  There shall be withheld from any payment of
cash under this Award, such amount, if any, as the Company determines is
required by law, including, but not limited to, U.S. federal, state, local or
foreign income, employment or other taxes incurred by reason of making of the
Award or of such payment.  It shall be a
condition precedent to the obligation of the Company to make payments under
this Award that you (or those claiming under or through you) promptly provide
the Company with all forms, documents or other information reasonably required
by the Company in connection with the Award (including such forms, documents or
other information required by the Plan).

 

9.             RIGHTS NOT ASSIGNABLE. 
Your rights and interests under the Award and the Plan may not be sold,
assigned, transferred, or otherwise disposed of, or made subject to any
encumbrance, pledge, hypothecation or charge of any nature, except that you may
designate a beneficiary pursuant to Paragraph 10 hereof.  If you (or those claiming under or through
you) attempt to violate this Paragraph 9, such attempted violation shall be
null and void and without effect, and the Company’s obligation to make any
further payments to you (or those claiming under or through you) under or with
respect to this Award shall terminate.

 

10.           BENEFICIARY DESIGNATION. 
Subject to the provisions of the Plan, you may, by completing a form
that is acceptable to the Company and returning it prior to your death to the
Secretary of the Company, at Ameriprise Financial, Inc., 55 Ameriprise
Financial Center, Minneapolis, MN 55474, name a beneficiary or beneficiaries to
receive any payment to which you may become entitled under this Agreement in
the event of your death.  You may change
your beneficiary or beneficiaries from time to time by submitting a new form to
the Secretary of the Company at the same address.  If you do not designate a beneficiary, or if
no designated beneficiary is living on the date any amount or award becomes
payable under this Agreement, such payment will be made to the legal
representatives of your estate, which will be deemed to be your designated
beneficiary under this Agreement.

 

11.           ADMINISTRATION.  Any
action taken or decision made by the Company, the Board or the Committee or its
delegates arising out of or in connection with the construction,
administration, interpretation or effect of the Plan or this Agreement shall be
within its sole and absolute discretion, as the case may be, and shall be
final, conclusive and binding upon you and all persons claiming under or
through you.  In receiving this Award or
other benefit under the Plan, you and each person claiming under or through you
shall be conclusively deemed to have indicated acceptance and ratification of,
and consent to, 

 

3

any action taken or decision
made under the Plan by the Company, the Board or the Committee or its
delegates.

 

12.           MISCELLANEOUS. 
Neither you nor any person claiming under or through you shall have any
right or interest, whether vested or otherwise, in the Plan or the Award,
unless and until all of the terms, conditions and provisions of the Plan, the
Award and this Agreement shall have been complied with.  In addition, neither the adoption of the Plan
nor the execution of this Agreement shall in any way affect the rights and
powers of any person to dismiss or discharge you at any time from employment
with the Company.  Notwithstanding
anything herein to the contrary, neither the Company nor any of its affiliates
nor their respective officers, directors, employees or agents shall have any
liability to you (or those claiming under or through you) under the Plan, this
Agreement or otherwise on account of any action taken, or decision not to take
any action made, by any of the foregoing persons with respect to the business
or operations of the Company or any of its affiliates, despite the fact that
any such action or decision may adversely affect in any way whatsoever
_____________________ or other financial measures or amounts which are accrued
or payable or any of your other rights or interests under this Agreement or
with respect to the Award.

 

13.           GOVERNING LAW.  The
validity, construction, interpretation, administration and effect of this
Agreement shall be governed by the substantive laws, but not the choice of law
rules, of the State of New York.

 

14.
          INCORPORATION OF THE PLAN.  All terms and provisions of the Plan are
incorporated herein and made part hereof as if stated herein.  If any provisions of this Agreement and of
the Plan shall be in conflict, the terms of the Plan shall govern; provided,
however, that the operation of this Paragraph 14 shall not adversely affect in
a material manner your rights without your written consent, or increase your
benefits that would result in a material modification with respect to any Award
granted hereunder.

 

	
   

  	
  AMERIPRISE FINANCIAL, INC.

  By the Compensation and Benefits Committee of the Board of Directors:

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By

  

 

4

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