Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
What is insider trading>>
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 2)*
AMERIPRISE FINANCIAL, INC.
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
03076C106 (CUSIP Number) |
December 31, 2006
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x Rule 13d-1 (b)
¨ Rule 13d-1 (c)
¨ Rule 13d-1 (d)
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (the Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes.)
CUSIP No. 03076C106 | 13G | Page 2 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Warren E. Buffett | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
United States Citizen |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
8,270,637 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
8,270,637 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
8,270,637 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not Applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
3.4% | ||||
12 | TYPE OF REPORTING PERSON* | |||
IN |
CUSIP No. 03076C106 | 13G | Page 3 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Berkshire Hathaway Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
8,270,637 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
8,270,637 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
8,270,637 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
3.4% | ||||
12 | TYPE OF REPORTING PER SON* | |||
HC, CO |
CUSIP No. 03076C106 | 13G | Page 4 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
OBH, Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
8,270,637 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
8,270,637 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
8,270,637 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
3.4% | ||||
12 | TYPE OF REPORTING PERSON* | |||
HC, CO |
CUSIP No. 03076C106 | 13G | Page 5 of 20 Pages |
1 | NAME OF REPORTING PERSO N I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
National Indemnity Company | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
1,999,675 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
1,999,675 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
1,999,675 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.1% | ||||
12 | TYPE OF REPORTING PERSON* | |||
IC, CO |
CUSIP No. 03076C106 | 13G | Page 6 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
National Fire & Marine Insurance Company | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
1,598,926 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
1,598,926 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
1,598,926 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.7% | ||||
12 | TYPE OF REPORTING PERSON* | |||
IC, CO |
CUSIP No. 03076C106 | 13G | Page 7 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Nebraska Furniture Mart, Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
279,942 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
279,942 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
279,942 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.1% | ||||
12 | TYPE OF REPORTING PERSON* | |||
CO |
CUSIP No. 03076C106 | 13G | Page 8 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Borsheims Jewelry Company, Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
55,988 shares of Common Stock | ||
7 SOLE DISPOSITIVE POW ER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
55,988 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
55,988 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
Less than 0.1% | ||||
12 | TYPE OF REPORTING PERSON* | |||
CO |
CUSIP No. 03076C106 | 13G | Page 9 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
The Fechheimer Brothers Company | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
167,966 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
167,966 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
167,966 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.1% | ||||
12 | TYPE OF REPORTING PERSON* | |||
CO |
CUSIP No. 03076C106 | 13G | Page 10 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Columbia Insurance Company | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
3,445,080 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
3,445,080 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
3,445,080 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
1.4% | ||||
12 | TYPE OF REPORTING PERSON* | |||
IC, CO |
CUSIP No. 03076C106 | 13G | Page 11 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Blue Chip Stamps | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of California |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
388,620 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
388,620 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
388,620 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.2% | ||||
12 | TYPE OF REPORTING PERSON* |
|||
CO |
CUSIP No. 03076C106 | 13G | Page 12 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Wesco Holdings Midwest, Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
388,620 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
388,620 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
388,620 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.2% | ||||
12 | TYPE OF REPORTING PERSON* | |||
HC, CO |
CUSIP No. 03076C106 | 13G | Page 13 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Wesco Financial Corporation | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
388,620 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
388,620 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
388,620 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.2% | ||||
12 | TYPE OF REPORTING PERSON* | |||
CO |
CUSIP No. 03076C106 | 13G | Page 14 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Wesco-Financial Insurance Co. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
388,620 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
388,620 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
388,620 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.2% | ||||
12 | TYPE OF REPORTING PERSON* | |||
IC, CO |
CUSIP No. 03076C106 | 13G | Page 15 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Central States of Omaha Companies, Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
174,000 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
174,000 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
174,000 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.1% | ||||
12 | TYPE OF REPORTING PERSON* | |||
CO |
CUSIP No. 03076C106 | 13G | Page 16 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
Central States Indemnity Company of Omaha | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of Nebraska |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
174,000 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
174,000 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
174,000 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
0.1% | ||||
12 | TYPE OF REPORTING PERSON* | |||
IC, CO |
CUSIP No. 03076C106 | 13G | Page 17 of 20 Pages |
1 | NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON |
|||
FlightSafety International, Inc. | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | |||
(a) x | ||||
(b) ¨ | ||||
3 | SEC USE ONLY | |||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
State of New York |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5 SOLE VOTING POWER | |
NONE | ||
6 SHARED VOTING POWER | ||
500 shares of Common Stock | ||
7 SOLE DISPOSITIVE POWER | ||
NONE | ||
8 SHARED DISPOSITIVE POWER | ||
500 shares of Common Stock |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
500 shares of Common Stock | ||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ¨ | ||
Not applicable. | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | |||
Less than 0.1% | ||||
12 | TYPE OF REPORTING PERSON* | |||
CO |
SCHEDULE 13G | Page 18 of 20 Pages |
Item 1. | (a) |
Name of Issuer | ||||||||||
AMERIPRISE FINANCIAL, INC. | ||||||||||||
(b) |
Address of Issuers Principal Executive Offices | |||||||||||
55 Ameriprise Financial Center, Minneapolis, MN 55474 | ||||||||||||
Item 2. | (a) |
Name of Person Filing: | ||||||||||
(b) |
Address of Principal Business Office: | |||||||||||
(c) |
Citizenship: | |||||||||||
Warren E. Buffett 1440 Kiewit Plaza Omaha, Nebraska 68131 United States Citizen |
||||||||||||
Berkshire Hathaway Inc. 1440 Kiewit Plaza Omaha, Nebraska 68131 Delaware corporation |
||||||||||||
OBH, Inc. 1440 Kiewit Plaza Omaha, Nebraska 68131 Delaware corporation |
||||||||||||
National Indemnity Company 3024 Harney Street Omaha, Nebraska 68131 Nebraska corporation |
||||||||||||
National Fire & Marine Insurance Company 3024 Harney Street Omaha, Nebraska 68131 Nebraska corporation |
||||||||||||
Nebraska Furniture Mart, Inc. 700 South 72nd Street Omaha, Nebraska 68114 Nebraska corporation |
||||||||||||
The Fechheimer Brothers Company 4545 Malsbary Road Cincinnati, Ohio 45252 Delaware corporation |
||||||||||||
Borsheims Jewelry Company, Inc. 120 Regency Parkway Omaha, Nebraska 68114 Nebraska corporation |
||||||||||||
Columbia Insurance Company 3024 Harney Street Omaha, Nebraska 68131 Nebraska corporation |
||||||||||||
Blue Chip Stamps 301 East Colorado Boulevard Pasadena, California 91101 California corporation |
||||||||||||
Wesco Holdings Midwest, Inc. 1440 Kiewit Plaza Omaha, Nebraska 68131 Nebraska corporation |
||||||||||||
Wesco Financial Corporation 301 East Colorado Boulevard Pasadena, California 91101 Delaware corporation |
||||||||||||
Wesco-Financial Insurance Company 3024 Harney Street Omaha, Nebraska 68131 Nebraska corporation |
||||||||||||
Central States of Omaha Companies, Inc. 1212 North 96th Street Omaha, Nebraska 68134 Nebraska corporation |
||||||||||||
Central States Indemnity Company of Omaha 1212 North 96th Street Omaha, Nebraska 68134 Nebraska corporation |
||||||||||||
FlightSafety International Inc. La Guardia Airport Marine Air Terminal Flushing, New York 11371 New York corporation |
||||||||||||
(d) |
Title of Class of Securities: | |||||||||||
Common Stock | ||||||||||||
(e) |
CUSIP Number: | |||||||||||
03076C106 | ||||||||||||
Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | |||||||||||
Warren E. Buffett (an individual who may be deemed to control Berkshire Hathaway Inc.), Berkshire Hathaway Inc., OBH, Inc., Blue Chip Stamps, Wesco Financial Corporation, Wesco Holdings Midwest, Inc. and Central States of Omaha Companies, Inc. are each a Parent Holding Company or Control Person, in accordance with §240.13d-1(b)(1)(ii)(G). | ||||||||||||
National Indemnity Company, National Fire & Marine Insurance Company, Columbia Insurance Company, Wesco-Financial Insurance Company and Central States Indemnity Company of Omaha are each an Insurance Company as defined in section 3(a)(19) of the Act. |
Page 19 of 20 Pages |
Item 4. | Ownership | |||||||||
(a) | Amount beneficially Owned | |||||||||
See the Cover Pages for each of the Reporting Persons. | ||||||||||
(b) | Percent of class | & #xA0; | ||||||||
See the Cover Pages for each of the Reporting Persons. | ||||||||||
(c) | Number of shares as to which such person has: | |||||||||
(i) | sole power to vote or to direct the vote | |||||||||
(ii) | shared power to vote or to direct the vote | |||||||||
(iii) | sole power to dispose or to direct the disposition of | |||||||||
(iv) | shared power to dispose or to direct the disposition of | |||||||||
See the Cover Pages for each of the Reporting Persons. | ||||||||||
Item 5. | Ownership of Five Percent or Less of a Class. | |||||||||
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following x. | ||||||||||
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. | |||||||||
Not Applicable. | ||||||||||
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. | |||||||||
See Exhibit A. | ||||||||||
Item 8. | Identification and Classification of Members of the Group. | |||||||||
Not Applicable. | ||||||||||
Item 9. | Notice of Dissolution of Group. | |||||||||
Not Applicable. | ||||||||||
Item 10. | Certification. | |||||||||
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
Page 20 of 20 Pages
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated this 14th day of February, 2007
/s/ Warren E. Buffett | ||
Warren E. Buffett
| ||
BERKSHIRE HATHAWAY INC., OBH, INC. and BORSHEIMS JEWELRY COMPANY, INC. | ||
By: |
/s/ Warren E. Buffett | |
Warren E. Buffett | ||
Chairman of the Board of each of the above-named corporations
| ||
NATIONAL INDEMNITY COMPANY, NATIONAL FIRE AND MARINE INSURANCE COMPANY, COLUMBIA INSURANCE COMPANY, NEBRASKA FURNITURE MART, INC., THE FECHHEIMER BROTHERS COMPANY, BLUE CHIP STAMPS, WESCO FINANCIAL CORPORATION, WESCO FINANCIAL INSURANCE COMPANY, CENTRAL STATES OF OMAHA COMPANIES, INC., CENTRAL STATES INDEMNITY COMPANY OF OMAHA and FLIGHTSAFETY INTERNATIONAL, INC. | ||
By: |
/s/ Warren E. Buffett | |
Warren E. Buffett Attorney-in-Fact |