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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Ameriprise Financial, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 AMERIPRISE FINANCIAL, INC. ( |
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| July 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2025 AMERIPRISE FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commissio |
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| July 24, 2025 |
Ameriprise Financial, Inc. Minneapolis, MN NYSE: AMP July 24, 2025 Ameriprise Financial Reports Second Quarter 2025 Results Earnings Per Diluted Share Return on Equity, ex AOCI (1) Q2 2025 Q2 2025 GAAP $10.73 GAAP 45.8% Adjusted Operating $9.11 Adjusted Operating 51.5% •Second quarter adjusted operating earnings per diluted share increased 7 percent to $9.11. Results reflected asset growth and exp |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Year Ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 A. Full title of the plan and the address of the p |
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| May 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 AMERIPRISE FINANCIAL, INC. |
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| May 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2025 AMERIPRISE FINANCIAL, INC. |
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| April 24, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2025 AMERIPRISE FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commissi |
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| April 24, 2025 |
Ameriprise Financial, Inc. Minneapolis, MN NYSE: AMP April 24, 2025 Ameriprise Financial Reports First Quarter 2025 Results Earnings Per Diluted Share Return on Equity, ex AOCI (1) Q1 2025 Q1 2025 GAAP $5.83 GAAP 43.2% Adjusted Operating $9.50 Adjusted Operating 52.0% Authorized New $4.5 Billion Share Repurchase Program Raised Quarterly Dividend 8 Percent •First quarter adjusted operating earnings |
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| March 21, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted |
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| March 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by |
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| February 28, 2025 |
Exhibit 1.1 AMERIPRISE FINANCIAL, INC. 5.200% SENIOR NOTES DUE 2035 UNDERWRITING AGREEMENT February 25, 2025 Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 Barclays Capital Inc. 745 Seventh Avenue New York, NY 10019 Wells Fargo Securities, LLC 550 South Tryon Street 5th Floor Charlotte, North Carolina 28202 As representatives of the several Underwriters named in Schedule I hereto |
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| February 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2025 AMERIPRISE FINANCIAL, INC. |
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| February 28, 2025 |
Form of 5.200% Senior Note due 2035. Exhibit 4.1 AMERIPRISE FINANCIAL, INC. 5.200% Senior Note due 2035 No. [●] $[●] CUSIP No. 03076CAP1 AMERIPRISE FINANCIAL, INC., a Delaware corporation (hereinafter called the “Company”, which term includes any successor corporation under the Indenture hereinafter referred to), for value received, hereby promises to pay to CEDE & Co. or registered assigns, the principal sum of [ Dollars ($)] on Apr |
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| February 26, 2025 |
Table 1: Newly Registered and Carry Forward Securities Calculation of Filing Fee Tables S-3 AMERIPRISE FINANCIAL INC Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid 1 Debt 5. |
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| February 26, 2025 |
TABLE OF CONTENTS Filed pursuant to Rule 424(b)(2) Registration Statement No. 333-277307 Prospectus Supplement to Prospectus dated February 23, 2024. $750,000,000 Ameriprise Financial, Inc. 5.200% Senior Notes due 2035 This is an offering by Ameriprise Financial, Inc. of $750 million principal amount of its 5.200% Senior Notes due 2035 (the “notes”). We will pay interest on the notes semi-annual |
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| February 25, 2025 |
$750,000,000 5.200% Senior Notes due 2035 Final Term Sheet dated February 25, 2025 ISSUER FREE WRITING PROSPECTUS (RELATING TO THE PRELIMINARY PROSPECTUS SUPPLEMENT DATED FEBRUARY 25, 2025 AND THE PROSPECTUS DATED FEBRUARY 23, 2024) FILED PURSUANT TO RULE 433 REGISTRATION NO. |
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| February 25, 2025 |
TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed. |
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| February 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2025 AMERIPRISE FINANCIAL, INC. (Exact name of Registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commi |
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| February 20, 2025 |
exhibit1035-ampxx1231202 Page 1 of 2 PERFORMANCE CASH UNIT AWARD CERTIFICATE Congratulations on being the recipient of an Ameriprise Financial Long-Term Incentive Award (your “Award”). |
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| February 20, 2025 |
EX-3.3 2 exhibit33-ampxx12312024.htm EX-3.3 The By-Laws of Ameriprise Financial, Inc., as Amended and Restated as of February 20, 2025 Article I Stockholders Section 1.01. Annual Meetings. The annual meeting of the stockholders of the Corporation for the election of Directors and for the transaction of such other business as properly may come before such meeting shall be held at such place, either |
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| February 20, 2025 |
THREADNEEDLE DEFERRAL PLAN (As Amended and Restated Effective January 1, 2025) Purpose The purpose of the Threadneedle Deferral Plan (formerly known as the Threadneedle Fund Deferral Plan, the “Plan”) is to align the interests of key employees with those of the shareholders of Ameriprise Financial, Inc. |
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| February 20, 2025 |
THREADNEEDLE DEFERRED STOCK UNIT AWARD CERTIFICATE (December 2024) 1 Deferred Stock Unit Award Certificate Award Terms This Deferred Stock Unit Award is subject to the terms and conditions set forth in this Certificate (including the Award Acceptance Confirmation, special terms and conditions for non-U. |
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| February 20, 2025 |
exhibit1027-ampxx1231202 1 Threadneedle Deferral Plan deferred stock unit and deferred stock option programme 2024 guide (revised December 2024) Threadneedle Deferral Plan 2024 Deferred Stock Unit and Deferred Stock Option Programme Guide IMPORTANT: 2024 Threadneedle Deferral Plan Deferred Stock Unit and Deferred Stock Option Programme Guide Coverage This Guide covers both (1) outstanding Awards granted prior to January 1, 2025, and (2) Awards granted on or after January 1, 2025. |
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| February 20, 2025 |
exhibit1038-ampxx1231202 Page 1 of 2 NON-QUALIFIED STOCK OPTION AWARD CERTIFICATE Congratulations on being the recipient of an Ameriprise Financial Long-Term Incentive Award (the “Award”). |
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| February 20, 2025 |
exhibit1037-ampxx1231202 Page 1 of 1 RESTRICTED STOCK UNIT AWARD CERTIFICATE Congratulations on being the recipient of an Ameriprise Financial Long-Term Incentive Award (the “Award”). |
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| February 20, 2025 |
1 AMERIPRISE FINANCIAL GLOBAL ANNUAL INCENTIVE AWARD PLAN As Amended and Restated Effective January 1, 2025 Purpose The purpose of this Ameriprise Financial Global Annual Incentive Award Plan (the “Plan”) is to provide annual cash incentives based on Enterprise, Business Unit and Individual performance results for to eligible employees of Ameriprise Financial, Inc. |
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| February 20, 2025 |
exhibit1040-ampxx1231202 THREADNEEDLE DEFERRED STOCK OPTION AWARD CERTIFICATE (December 2024) 1 Deferred Stock Option Award Certificate Award Terms This Deferred Stock Option Award is subject to the terms and conditions set forth in this Certificate (including the Award Acceptance Confirmation, special terms and conditions for non-U. |
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| February 20, 2025 |
exhibit191-ampxx12312024 AMERIPRISE FINANCIAL, INC. SECURITIES TRADING POLICY FOR DIRECTORS, SECTION 16 OFFICERS AND ELT Effective as of February 1, 2025 This Securities Trading Policy for Directors, Section 16 officers and ELT (“Policy”) pertains to purchases, sales and other transactions involving the common stock, debt or other securities of Ameriprise Financial, Inc. (“Ameriprise” or “Company” |
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| February 20, 2025 |
AMERIPRISE FINANCIAL, INC. ENTERPRISE SECURITIES TRADING POLICY Effective as of February 1, 2025 This Enterprise Securities Trading Policy (“Policy”) pertains to purchases, sales and other transactions involving the common stock, debt or other securities of Ameriprise Financial, Inc. and related derivatives (collectively, “Company Securities”) and is applicable to all employees of Ameriprise Finan |
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| February 20, 2025 |
Exhibit 24 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned Director and/or Officer of Ameriprise Financial, Inc. |
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| February 20, 2025 |
Exhibit 21 The table below is a list of certain direct and indirect subsidiaries of the Parent as of December 31, 2024, and the state or jurisdiction in which the subsidiaries are organized. |
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| February 20, 2025 |
Comparison of a five-year cumulative total return* Ameriprise Financial, Inc., the S&P 500 Index and the S&P 500 Financials Index The graphs below match Ameriprise Financial, Inc.’s cumulative total shareholder return on common stock with the cumulative total returns of the S&P 500 Index and the S&P 500 Financials Index for two time periods: five years and since Ameriprise Financial became an inde |
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| February 20, 2025 |
For the Transition Period from_______________________to_______________________ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 AMERIPRISE FINANCIAL, INC. (Exac |
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| February 20, 2025 |
2025 – Performance Cash Unit Supplement Ameriprise Financial, Inc. Performance Cash Unit Supplement (this “Supplement”) to the 2025 Global Long-Term Incentive Award Program Guide (the “Guide”) IMPORTANT: This Supplement covers both (1) outstanding PCU Awards granted prior to January 1, 2025, and (2) PCU Awards granted on or after January 1, 2025. By accepting any Award (as defined in the Guide) gr |
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| February 20, 2025 |
exhibit1036-ampxx1231202 Page 1 of 2 PERFORMANCE SHARE UNIT AWARD CERTIFICATE Congratulations on being the recipient of an Ameriprise Financial Long-Term Incentive Award (the “Award”). |
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| February 20, 2025 |
exhibit1012-ampxx1231202 2025 – Performance Share Unit Supplement Ameriprise Financial, Inc. |
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| February 20, 2025 |
Ameriprise Financial, Inc. 2025 Global Long-Term Incentive Award Program Guide IMPORTANT: 2025 Long-Term Incentive Award Program Guide Coverage This Guide covers both (1) outstanding Awards granted prior to January 1, 2025, and (2) Awards granted on or after January 1, 2025. By accepting an award granted on or after January 1, 2025, you are consenting to the terms of this Guide applying to outstan |
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| February 14, 2025 |
Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution in accordance with Rule 13d-1(b)(1)(ii)(J) – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedl |
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| January 29, 2025 |
Ameriprise Financial, Inc. Minneapolis, MN NYSE: AMP January 29, 2025 Ameriprise Financial Reports Fourth Quarter and Full Year 2024 Results Earnings Per Diluted Share Return on Equity, ex AOCI (1) Q4 2024 FY 2024 Q4 2024 GAAP $10.58 $33.05 GAAP 49.7% Adjusted Operating, excluding unlocking $9.36 $35.07 Adjusted Operating, excluding unlocking 52.7% •Fourth quarter adjusted operating earnings per d |
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| January 29, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2025 AMERIPRISE FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commis |
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| November 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 25, 2024 AMERIPRISE FINANCIAL, INC. (Exact name of Registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commi |
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| November 26, 2024 |
Exhibit 10.1 AMENDMENT TO AMEND AND RESTATE CREDIT AGREEMENT AS THE FIFTH AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT TO AMEND AND RESTATE CREDIT AGREEMENT, dated as of November 25, 2024 (this “Agreement”), amends and restates that certain FOURTH AMENDED AND RESTATED CREDIT AGREEMENT, dated as of June 11, 2021, by and among AMERIPRISE FINANCIAL, INC., a Delaware corporation (the “Company” |
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| November 14, 2024 |
NR / Newpark Resources, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d843143dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #6 Under the Securities and Exchange Act of 1934 Newpark Resources Inc (Name of Issuer) Common Stock (Title of Class of Securities) 651718504 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| November 14, 2024 |
ALT / Altimmune, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d853002dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Altimmune, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 02155H200 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Ampco–Pittsburgh Corporation. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is att |
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| November 14, 2024 |
EX-99.I 2 d847576dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
EX-99.I 2 d852788dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d862354dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Radius Recycling, Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle |
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| November 14, 2024 |
LUNA / Luna Innovations Incorporated / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d807943dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Luna Innovations Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 550351100 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
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| November 14, 2024 |
SYNA / Synaptics Incorporated / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d852879dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #14 Under the Securities and Exchange Act of 1934 Synaptics Inc (Name of Issuer) Common Stock (Title of Class of Securities) 87157D109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d845323dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
EX-99.I 2 d862354dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
EX-99.I 2 d909531dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d848077dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
EX-99.I 2 d807943dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
BE / Bloom Energy Corporation / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d852788dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #6 Under the Securities and Exchange Act of 1934 Bloom Energy Corp (Name of Issuer) Class A Common Stock (Title of Class of Securities) 093712107 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d843143dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d876876dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of GoodRx Holdings, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to whi |
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| November 14, 2024 |
IRBT / iRobot Corporation / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d847328dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 iRobot Corp (Name of Issuer) Common Stock (Title of Class of Securities) 462726100 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| November 14, 2024 |
EDR / Endeavor Group Holdings, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d876238dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Endeavor Group Holdings, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 29260Y109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
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| November 14, 2024 |
EX-99.I 2 d909475dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
EX-99.I 2 d886049dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
EX-99.I 2 d895370dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d862354dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
EX-99.I 2 d853002dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d853002dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d877095dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Smart Global Holdings, Inc. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC auth |
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| November 14, 2024 |
GOOS / Canada Goose Holdings Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d829978dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #3 Under the Securities and Exchange Act of 1934 Canada Goose Holdings Inc (Name of Issuer) Subordinate voting shares (Title of Class of Securities) 135086106 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de |
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| November 14, 2024 |
RDUS / Radius Recycling, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d862354dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Radius Recycling, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 806882106 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d886049dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of American Public Education, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule |
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| November 14, 2024 |
BRLT / Brilliant Earth Group, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #2 Under the Securities and Exchange Act of 1934 Brilliant Earth Group, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 109504100 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| November 14, 2024 |
SC 13G 1 d913105dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Eaton Vance Short Duration Diversified Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 27828V104 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d848148dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Xponential Fitness, Inc. Each of Columbia Wanger Asset Management, LLC and Columbia Management Investment Advisers, LLC authorizes Ameripri |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d847328dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of iRobot Corp. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle Asset Mana |
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| November 14, 2024 |
TDUP / ThredUp Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d861590dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 ThredUp Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 88556E102 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th |
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| November 14, 2024 |
AP / Ampco-Pittsburgh Corporation / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d871756dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #6 Under the Securities and Exchange Act of 1934 Ampco–Pittsburgh Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 032037103 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d892428dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d847328dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
UEIC / Universal Electronics Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d807831dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Universal Electronics Inc (Name of Issuer) Common Stock (Title of Class of Securities) 913483103 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| November 14, 2024 |
APEI / American Public Education, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d886049dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 American Public Education, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 02913V103 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 14, 2024 |
EX-99.I 2 d877095dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d847123dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of FIGS, Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle Asset Manage |
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| November 14, 2024 |
EX-99.I 2 d848077dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
EX-99.I 2 d892428dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d909475dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Cerence Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this E |
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| November 14, 2024 |
EX-99.I 2 d847123dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
CRNC / Cerence Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #8 Under the Securities and Exchange Act of 1934 Cerence Inc (Name of Issuer) Common Stock (Title of Class of Securities) 156727109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed |
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| November 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d909531dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Domo, Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle Asset Manage |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d892428dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Energy Recovery, Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle A |
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| November 14, 2024 |
EX-99.I 2 d845323dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Brilliant Earth Group, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attac |
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| November 14, 2024 |
EX-99.I 2 d888073dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
RNG / RingCentral, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d847576dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 RingCentral, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 76680R206 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d845323dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Matthews International Corporation. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, |
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| November 14, 2024 |
HBB / Hamilton Beach Brands Holding Company / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d895370dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Hamilton Beach Brands Holding Company (Name of Issuer) Class A Common Stock (Title of Class of Securities) 40701T104 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| November 14, 2024 |
EX-99.I 2 d876876dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d807943dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Luna Innovations Incorporated. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 1 |
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| November 14, 2024 |
DOMO / Domo, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d909531dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Domo, Inc (Name of Issuer) Class B Common Stock (Title of Class of Securities) 257554105 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| November 14, 2024 |
EX-99.I 2 d843143dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
SGH / SMART Global Holdings, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d877095dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #5 Under the Securities and Exchange Act of 1934 Smart Global Holdings Inc. (Name of Issuer) Common Stock (Title of Class of Securities) G8232Y101 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| November 14, 2024 |
EX-99.I 2 d913105dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Ameriprise Financial Services, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d861590dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of ThredUp Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this E |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d909531dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d852788dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Bloom Energy Corp. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC authorizes Am |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d913105dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Eaton Vance Short Duration Diversified Income Fund. Ameriprise Financial Services, LLC authorizes Ameriprise Financial, Inc. to execute the |
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| November 14, 2024 |
GDRX / GoodRx Holdings, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d876876dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 GoodRx Holdings, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 38246G108 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| November 14, 2024 |
EX-99.I 2 d888087dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
MATW / Matthews International Corporation / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d845323dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Matthews International Corporation (Name of Issuer) Class A Common Stock (Title of Class of Securities) 577128101 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| November 14, 2024 |
ARIS / Aris Water Solutions, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Aris Water Solutions, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 04041L106 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| November 14, 2024 |
EBAY / eBay Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 eBay Inc (Name of Issuer) Common Stock (Title of Class of Securities) 278642103 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: This Schedule is |
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| November 14, 2024 |
EX-99.I 2 d848148dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Investment Adviser – |
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| November 14, 2024 |
EX-99.I 2 d847328dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d888073dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Transphorm, Inc. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC authorizes Amer |
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| November 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d847123dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Newpark Resources Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle Asset Management Holdings Limi |
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| November 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
EX-99.I 2 d852879dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
EX-99.I 2 d861590dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
TGAN / Transphorm, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d888073dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #4 Under the Securities and Exchange Act of 1934 Transphorm Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 89386L100 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| November 14, 2024 |
EX-99.I 2 d807831dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| November 14, 2024 |
XPOF / Xponential Fitness, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d848148dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Xponential Fitness, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 98422X101 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d807831dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Universal Electronics Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G t |
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| November 14, 2024 |
AIOT / PowerFleet, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d888087dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 PowerFleet, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 73931J109 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| November 14, 2024 |
FIGS / FIGS, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d847123dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 FIGS, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 30260D103 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d847576dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of RingCentral, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which t |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d852879dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Synaptics Inc. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC authorizes Amerip |
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| November 14, 2024 |
ERII / Energy Recovery, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d892428dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Energy Recovery, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 29270J100 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d853002dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Altimmune, Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle Asset M |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d888087dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of PowerFleet, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which th |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d848077dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Aris Water Solutions, Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadnee |
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| November 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d895370dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated November 14, 2024 in connection with their beneficial ownership of Hamilton Beach Brands Holding Company. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Sc |
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| November 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 AMERIPRISE FINANCIAL, I |
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| October 23, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2024 AMERIPRISE FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commis |
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| October 23, 2024 |
Ameriprise Financial, Inc. Minneapolis, MN NYSE: AMP October 23, 2024 Ameriprise Financial Reports Third Quarter 2024 Results Earnings Per Diluted Share Return on Equity, ex AOCI (1) Q3 2024 Q3 2024 GAAP $5.00 GAAP 40.1% Adjusted Operating $8.10 Adjusted Operating 49.6% Adjusted Operating, excluding unlocking and severance expense $9.02 Adjusted Operating, excluding unlocking 50.7% •Third quarter |
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| September 10, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated September 10, 2024 in connection with their beneficial ownership of Carriage Services, Inc. Each of CT American Smaller Companies Fund (US), a sub-fund of Columbia Threadneedle Investment Funds (UK) ICVC, TAM UK International Holdings L |
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| September 10, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated September 10, 2024 in connection with their beneficial ownership of Outset Medical, Inc. Each of Columbia Acorn Fund, Columbia Wanger Asset Management, LLC and Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial |
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| September 10, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdings Limited. Non-US Institut |
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| September 10, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, 78 Cannon Street, London, EC4N 6 |
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| September 10, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Investment Adviser – Columbia Wanger Asset Manage |
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| September 10, 2024 |
OM / Outset Medical, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #2 Under the Securities and Exchange Act of 1934 Outset Medical, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 690145107 (CUSIP Number) August 31, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| September 10, 2024 |
CSV / Carriage Services, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #4 Under the Securities and Exchange Act of 1934 Carriage Services, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 143905107 (CUSIP Number) August 31, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 AMERIPRISE FINANCIAL, INC. ( |
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| July 24, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2024 AMERIPRISE FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commissio |
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| July 24, 2024 |
Ameriprise Financial, Inc. Minneapolis, MN NYSE: AMP July 24, 2024 Ameriprise Financial Reports Second Quarter 2024 Results Earnings Per Diluted Share Return on Equity, ex AOCI (1) Q2 2024 Q2 2024 GAAP $8.02 GAAP 45.9% Adjusted Operating $8.53 Adjusted Operating 48.9% Adjusted Operating, excluding severance expense $8.72 •Second quarter adjusted operating earnings per diluted share was $8.53. Adju |
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| June 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 11-K ý ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2023 Or o TRANSITION REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 1-32525 A. Full title of the plan and the address of t |
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| May 10, 2024 |
EIGRQ / Eiger BioPharmaceuticals, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d838097dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #7 Under the Securities and Exchange Act of 1934 Eiger BioPharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 28249U204 (CUSIP Number) April 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| May 10, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d838097dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated May 10, 2024 in connection with their beneficial ownership of Eiger BioPharmaceuticals, Inc. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC author |
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| May 10, 2024 |
EX-99.I 2 d838097dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 AMERIPRISE FINANCIAL, INC. |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2024 AMERIPRISE FINANCIAL, INC. |
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| April 26, 2024 |
Certificate of Amendment to the Amended and Restated Certificate of Incorporation, as amended. Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AMERIPRISE FINANCIAL, INC. (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Ameriprise Financial, Inc., a Delaware corporation duly organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify that: 1. |
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| April 22, 2024 |
Ameriprise Financial, Inc. Minneapolis, MN NYSE: AMP April 22, 2024 Ameriprise Financial Reports First Quarter 2024 Results, Raises Quarterly Dividend 10 Percent Earnings Per Diluted Share Return on Equity, ex AOCI (1) Q1 2024 Q1 2024 GAAP $9.46 GAAP 48.1% Adjusted Operating $8.39 Adjusted Operating 49.0% •First quarter adjusted operating earnings per diluted share was $8.39, up 16 percent from st |
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| April 22, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2024 AMERIPRISE FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-32525 13-3180631 (State or other jurisdiction of incorporation) (Commissi |
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| April 10, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d824955dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated April 10, 2024 in connection with their beneficial ownership of Outset Medical, Inc. Each of Columbia Acorn Fund, Columbia Wanger Asset Management, LLC and Columbia Management Investment Advisers, LLC autho |
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| April 10, 2024 |
OM / Outset Medical, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d824955dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Outset Medical, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 690145107 (CUSIP Number) March 31, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| April 10, 2024 |
EX-99.I 2 d824955dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Investment Adviser – |
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| March 15, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by R |
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| March 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6(e)(2)) ☐ |
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| March 1, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☑ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by Ru |
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| February 27, 2024 |
PIII / P3 Health Partners Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d590198dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #3 Under the Securities and Exchange Act of 1934 P3 Health Partners Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 744413105 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| February 27, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d590198dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 27, 2024, in connection with their beneficial ownership of P3 Health Partners Inc. Each of, Columbia Wanger Asset Management, LLC and Columbia Management Investment Advisers, LLC authorizes Ameripr |
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| February 27, 2024 |
EX-99.I 2 d590198dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Investment Adviser – |
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| February 23, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) Ameriprise Financial, Inc. |
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| February 23, 2024 |
As filed with the Securities and Exchange Commission on February 23, 2024 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on February 23, 2024 Registration Statement No. |
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| February 23, 2024 |
Exhibit 24 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned Director and/or Officer of Ameriprise Financial, Inc. |
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| February 23, 2024 |
— Consent of Independent Registered Public Accounting Firm. Exhibit 23(a) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form S-3 of Ameriprise Financial, Inc. |
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| February 23, 2024 |
— Statement of Eligibility of Trustee on Form T-1. Exhibit 25 securities and exchange commission Washington, D.C. 20549 FORM T-1 Statement of Eligibility Under The Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) ¨ U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036 I.R.S. Emp |
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| February 22, 2024 |
RESTRICTED STOCK AWARD (RSU) CERTIFICATE Exhibit 10.37 RESTRICTED STOCK AWARD (RSU) CERTIFICATE Congratulations on being the recipient of an Ameriprise Financial Long-Term Incentive Award (your “Award”). This certificate (this “Certificate”) is confirmation of the grant of your Award. The details of your Award, including the Grant Date, Grant Type and the Vesting Schedule are all visible in your Shareworks Portfolio. Your Award is subjec |
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| February 22, 2024 |
Exhibit 3.2 The By-Laws Of Ameriprise Financial, Inc., As Amended And Restated As Of February 24, 2021 Article I Stockholders Section 1.01.Annual Meetings. The annual meeting of the stockholders of the Corporation for the election of Directors and for the transaction of such other business as properly may come before such meeting shall be held at such place, either within or without the State of D |
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| February 22, 2024 |
RESTRICTED STOCK AWARD (RSA) CERTIFICATE Exhibit 10.36 RESTRICTED STOCK AWARD (RSA) CERTIFICATE Congratulations on being the recipient of an Ameriprise Financial Long-Term Incentive Award (your “Award”). This certificate (this “Certificate”) is confirmation of the grant of your Award. The details of your Award, including the Grant Date, Grant Type and the Vesting Schedule are all visible in your Shareworks Portfolio. Your Award is subjec |
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| February 22, 2024 |
FIRST AMENDMENT TO THE AMERIPRISE FINANCIAL ANNUAL INCENTIVE AWARD PLAN Exhibit 10.39 FIRST AMENDMENT TO THE AMERIPRISE FINANCIAL ANNUAL INCENTIVE AWARD PLAN WHEREAS, Ameriprise Financial, Inc. (the “Company”), established the Ameriprise Financial Annual Incentive Award Plan (the “Plan”), effective as of January 1, 2009; WHEREAS, the Compensation and Benefits Committee (the “Committee”) of the Company, pursuant to Article 9 of the Plan, desires to amend the Plan to ad |
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| February 22, 2024 |
AWARD CERTIFICATE PERFORMANCE SHARE UNIT AWARD (___-____ Performance Period) Exhibit 10.33 AWARD CERTIFICATE PERFORMANCE SHARE UNIT AWARD (- Performance Period) Award Date: Performance Period: through Performance Matrix: [As determined per award] Total Shareholder Return (“TSR”) Adjustment Matrix: [As determined per award] PERFORMANCE SHARE UNIT AWARD CERTIFICATE (- Performance Period) This Performance Share Unit Plan award (the “PSU Award”) is subject to the terms and con |
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| February 22, 2024 |
AWARD CERTIFICATE PERFORMANCE CASH UNIT AWARD (____-____ Performance Period) Exhibit 10.34 AWARD CERTIFICATE PERFORMANCE CASH UNIT AWARD (- Performance Period) Award Date: Performance Period: through Performance Matrix: [As determined per award] Total Shareholder Return (“TSR”) Adjustment Matrix: [As determined per award] PERFORMANCE CASH UNIT AWARD CERTIFICATE (- Performance Period) This Performance Cash Unit Plan award (the “PCU Award”) is subject to the terms and condit |
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| February 22, 2024 | ||
| February 22, 2024 |
AWARD CERTIFICATE PERFORMANCE SHARE UNIT AWARD (2024-2026 Performance Period) Exhibit 10.35 AWARD CERTIFICATE PERFORMANCE SHARE UNIT AWARD (2024-2026 Performance Period) Award Date: Performance Period: through Performance Matrix: [As determined per award] Total Shareholder Return (“TSR”) Adjustment Matrix: [As determined per award] PERFORMANCE SHARE UNIT AWARD CERTIFICATE (- Performance Period) This Performance Share Unit Plan award (the “PSU Award”) is subject to the terms |
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| February 22, 2024 |
Exhibit 24 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned Director and/or Officer of Ameriprise Financial, Inc. |
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| February 22, 2024 |
NONQUALIFIED STOCK OPTIONS (NQSO) AWARD CERTIFICATE Exhibit 10.38 NONQUALIFIED STOCK OPTIONS (NQSO) AWARD CERTIFICATE Congratulations on being the recipient of an Ameriprise Financial Long-Term Incentive Award (your “Award”). This certificate (this “Certificate”) is confirmation of the grant of your Award. The details of your Award, including the Grant Date, Grant Type and the Vesting Schedule are all visible in your Shareworks Portfolio. Your Awar |
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| February 22, 2024 |
FIRST AMENDMENT TO THE AMERIPRISE FINANCIAL SENIOR EXECUTIVE SEVERANCE PLAN Exhibit 10.40 FIRST AMENDMENT TO THE AMERIPRISE FINANCIAL SENIOR EXECUTIVE SEVERANCE PLAN WHEREAS, Ameriprise Financial, Inc. (the “Company”), established the Ameriprise Financial Senior Executive Severance Plan (the “Plan”), effective as of September 30, 2005, and subsequently amended and restated as of January 1, 2012; WHEREAS, the Compensation and Benefits Committee (the “Committee”) of the Com |
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| February 22, 2024 |
For the Transition Period from_______________________to_______________________ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period fromto Commission File No. 1-32525 AMERIPRISE FINANCIAL, INC. (Exac |
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| February 22, 2024 |
AMERIPRISE FINANCIAL, INC. POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION Exhibit 97 AMERIPRISE FINANCIAL, INC. POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION 1.Introduction The Compensation and Benefits Committee (the “Committee”) of the Board of Directors (the “Board”) of Ameriprise Financial, Inc. (the “Company”), adopts this Policy for the Recovery of Erroneously Awarded Compensation (as amended or restated from time to time, this “Policy”) in accordanc |
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| February 22, 2024 |
Exhibit 21 The table below is a list of certain direct and indirect subsidiaries of the Parent as of December 31, 2023, and the state or jurisdiction in which the subsidiaries are organized. |
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| February 14, 2024 |
AP / Ampco-Pittsburgh Corporation / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #5 Under the Securities and Exchange Act of 1934 Ampco–Pittsburgh Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 032037103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d931716dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of 908 Devices Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which th |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Gaia Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make any n |
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| February 14, 2024 |
EDR / Endeavor Group Holdings, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Endeavor Group Holdings, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 29260Y109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d754836dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of GCM Grosvenor Inc. Each of Columbia Acorn Fund, Columbia Wanger Asset Management, LLC and Columbia Management Investment Advisers, LLC auth |
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| February 14, 2024 |
AIRG / Airgain, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Airgain Inc (Name of Issuer) Common Stock (Title of Class of Securities) 00938A104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| February 14, 2024 |
EX-99.I 2 d759440dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
APEI / American Public Education, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 American Public Education, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 02913V103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Brilliant Earth Group, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attac |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Advanced Energy Industries. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attac |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Teradata Corp. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdings Limited. Non-US Institut |
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| February 14, 2024 |
EX-99.I 2 d931716dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
OM / Outset Medical, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Outset Medical, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 690145107 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: This |
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| February 14, 2024 |
GCMG / Grosvenor Capital Management, L.P. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #5 Under the Securities and Exchange Act of 1934 GCM Grosvenor Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 36831E108 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 14, 2024 |
DOMO / Domo, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Domo, Inc. (Name of Issuer) Class B Common Stock (Title of Class of Securities) 257554105 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: This Sc |
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| February 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d765470dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d765434dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024, in connection with their beneficial ownership of P3 Health Partners Inc. Each of, Columbia Wanger Asset Management, LLC and Columbia Management Investment Advisers, LLC authorizes Ameripr |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d782814dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Airgain Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this E |
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| February 14, 2024 |
ADEA / Adeia Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #5 Under the Securities and Exchange Act of 1934 Adeia Inc (Name of Issuer) Common Stock (Title of Class of Securities) 00676P107 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: T |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d931710dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of PowerFleet, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which th |
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| February 14, 2024 |
BRLT / Brilliant Earth Group, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Brilliant Earth Group, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 109504100 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d765452dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Carriage Services, Inc. Each of CT American Smaller Companies Fund (US), a sub-fund of Columbia Threadneedle Investment Funds (UK) ICVC, TA |
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| February 14, 2024 |
EX-99.I 2 d931377dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
EX-99.I 2 d781500dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Non-US Institution – TAM UK International Holdings Limited, a private limited company incorporated in England and Wales, is a holding company and parent entity to Threadneedle Holdi |
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| February 14, 2024 |
RNG / RingCentral, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 RingCentral, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 76680R206 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d666771dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Domo, Inc. Each of TAM UK International Holdings Limited, Threadneedle Holdings Limited, TAM UK Holdings Limited, Threadneedle Asset Manage |
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| February 14, 2024 |
NR / Newpark Resources, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d765470dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #5 Under the Securities and Exchange Act of 1934 Newpark Resources Inc (Name of Issuer) Common Stock (Title of Class of Securities) 651718504 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
EX-99.I 2 d51227dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
PWFL / PowerFleet, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G 1 d931710dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 PowerFleet, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 73931J109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| February 14, 2024 |
TGAN / Transphorm, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #3 Under the Securities and Exchange Act of 1934 Transphorm Inc (Name of Issuer) Common Stock (Title of Class of Securities) 89386L100 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Bloom Energy Corp. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to ex |
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| February 14, 2024 |
TDC / Teradata Corporation / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #4 Under the Securities and Exchange Act of 1934 Teradata Corp (Name of Issuer) Common Stock (Title of Class of Securities) 88076W103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file |
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| February 14, 2024 |
SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Schnitzer Steel Industries, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 806882106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 14, 2024 |
EDUC / Educational Development Corporation / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #4 Under the Securities and Exchange Act of 1934 Educational Development Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 281479105 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 14, 2024 |
XPER / Xperi Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #2 Under the Securities and Exchange Act of 1934 Xperi Inc (Name of Issuer) Common Stock (Title of Class of Securities) 98423J101 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: T |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d931377dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Dropbox, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this |
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| February 14, 2024 |
GAIA / Gaia, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Gaia Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 36269P104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| February 14, 2024 |
CSV / Carriage Services, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d765452dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #3 Under the Securities and Exchange Act of 1934 Carriage Services Inc (Name of Issuer) Common Stock (Title of Class of Securities) 143905107 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
CRNC / Cerence Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #7 Under the Securities and Exchange Act of 1934 Cerence Inc (Name of Issuer) Common Stock (Title of Class of Securities) 156727109 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Ampco–Pittsburgh Corporation. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is att |
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| February 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d781500dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d753081dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Adeia Inc. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC authorizes Ameriprise |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d931714dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of RingCentral, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which t |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d783788dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Transphorm Inc. Each of Columbia Seligman Technology and Information Fund and Columbia Management Investment Advisers, LLC authorizes Ameri |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d931704dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of GoodRx Holdings, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to whi |
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| February 14, 2024 |
MASS / 908 Devices Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 908 Devices Inc (Name of Issuer) Common Stock (Title of Class of Securities) 65443P102 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: This Sched |
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| February 14, 2024 |
to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY EX-99.III 4 d765452dex99iii.htm EX-99.III Exhibit III to Schedule 13G Powers of Attorney LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, which are intended to constitute a Limited Power of Attorney, that TAM UK International Holdings Limited, a company incorporated under the laws of England and Wales under registered number 12728685, with its principal place of business at Cannon Place, |
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| February 14, 2024 |
EX-99.I 2 d765434dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Investment Adviser – |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of American Public Education, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is a |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
BUR / Burford Capital Limited / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d783666dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #2 Under the Securities and Exchange Act of 1934 Burford Capital Ltd (Name of Issuer) Common Stock (Title of Class of Securities) G17977110 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Investment Adviser – Columbia Wanger Asset Manage |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d931682dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Educational Development Corporation. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Sche |
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| February 14, 2024 |
EX-99.I 2 d743484dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. Investment Adviser – |
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| February 14, 2024 |
BE / Bloom Energy Corporation / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #5 Under the Securities and Exchange Act of 1934 Bloom Energy Corp. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 093712107 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| February 14, 2024 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
ARIS / Aris Water Solutions, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Aris Water Solutions, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 04041L106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| February 14, 2024 |
GDRX / GoodRx Holdings, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 GoodRx Holdings, Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 38246G108 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 14, 2024 |
EX-99.I 2 d782795dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
EX-99.I 2 d779369dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
