Ameriprise Financial : First Quarter 2026 RiverSource Life Insurance Company NY Quarterly

Published: 2026-05-08 09:39:10 ET AMP

Published on 05/08/2026 at 09:39 am EDT

LIFE, ACCIDENT AND HEALTH COMPANIES/FRATERNAL BENEFIT SOCIETIES - ASSOCIATION EDITION

QUARTERLY STATEMENT

AS OF MARCH 31, 2026

OF THE CONDITION AND AFFAIRS OF THE

RiverSource Life Insurance Co. of New York

NAIC Group Code 0004 0004 NAIC Company Code 80594 Employer's ID Number 41-0987741

(Current) (Prior)

Organized under the Laws of

New York , State of Domicile or Port of Entry

Country of Domicile United States of America

Licensed as business fype: Life, Accident and Health ( X ) Fraternal Benefit Societies ( )

Incorporated/Organized 07/10/1972 Commenced Business 10/25/1:972

Statutory Home Office

20 Madison AvanMe Extension (Street and Number)

Albany, NY, US 12203-5326

(City or Town, State, Country and Zip Code)

Main Administrative Office

227 Ameriprise Financial Center

(Street and Number)

Minneapolis. M, US 55474 612-671-3131

(City or Town, State, Country and Zip Code) (Area Code) (Telephone Number)

Mail Address

227 Ameriprise Financial Center (Street and Number or P.O. Box)

Minneapolis, MN, US 55474 (City or Town, State, Country and Zip Code)

Primary Location of Books and Records

20 Madison Avenue Extension (Street and Number)

Albany, NY: US 2203-532s 612-671-3131

(City or Town, State, Country and Zip Code) (Area Code) (Telephone Number)

Internet Website Address amefiprise.com

Statutory Statement Contact

Paky L. Tobritzhofer

(Name)

612-678-8525

(Area Code) (Telephone Number)

[email protected]

(E-mail Address) (FAX Number)

OFFICERS

Secretary and General

President and CEO Gumer Cruz Alvero Counsel Paula Jacqueline Minella

Appointed Actuary Joshua Allen Twohy SVP and Treasurer Shweta Jhanii

OTHER

Gregg Lewis Ewing. VP. CFO and Controller Kevin Loren Kehn, SVP and Chief Actuary Kirk Michael Moore, VP - Investments

Stephen Ray Wolfrath, SVP - Insurance and Annuities

Thomas William Murphy, VP - Investments Michael John Pelzel, SVP - Corporate Tax Product Development and Management

DIRECTORS OR TRUSTEES

Alyson Laurel Adams Karen Marie Bohn Ronald Louis Guzior

Brian Edward Hartert Diana Marie Marchesi Jason John Poor

Trevor Lincoln Zeimet

State of SS County of

The officers of this reporting entity being duly sworn, each depose and say that they are the described officers of said reporting entity, and that on the reporting period stated above, all of the herein described assets were the absolute property of the said reporting entity, free and clear from any liens or claims thereon, except as herein stated, and that this statement, together with related exhibits, schedules and explanations therein contained, annexed or referred to, is a full and true statement of all the assets and liabilities and of the condition and aWairs of the said reporting entity as of the reporting period stated above, and of its income and deductions therefrom for the period ended, and have been completed in accordance with the NAIC Annual Statement Instructions and Accounting Practices and Procedures manual except to the extent that: (1) state law may differ; or, (2) that state rules or regulations require differences in reporting not related to accounting practices and procedures, according to the best of their information, knowledge and belief, respectively. Furthermore, the scope of this attestation by the described officers also includes the related corresponding electronic filing with the NAIC, when required, that is an

exact copy (except for formatting differences due to electronic Bill statement. The electronic filing may be requested by regulators in lieu of or in addition

to the enclosed statement.

Gunner Cruz Alvero President and CEO

Paula.J Minella Secretary an Tterel Counsel

Is this an original filing? ......................

If no,

State the amendment number........

Date filed ........................................

Number of pages attached...,. ,.,

Shweta Jhanji SVP and Treasurer

Yes [ X ] No [ ]

Current Statement Date

December 31 Prior Year Net Admitted Assets

Assets

Nonadmitted Assets

Net Admitted Assets (Cols. 1 - 2)

$ ................................... encumbrances) .......................................

($ ............... 192,455,818 ) and short-term

investments ($ ................................... ) .................................................

only) ..............................................................................................................

earned but unbilled premiums) ............................................................

contracts subject to redetermination ($ ................................... ) .......

($ ................................... ) ................................................................

. 1,501,937,612

...................................

. 1,501,937,612

. 1,519,288,945

...................................

. 114,182,109

...................................

. 114,182,109

. 116,921,795

...................................

. 186,352,712

...................................

. 186,352,712

. 119,486,963

. 62,794,897

. 5,692

. 62,789,205

. 62,707,392

. 104,791,032

...................................

. 104,791,032

. 123,932,667

. 115,096

...................................

. 115,096

. 1,560,217

...................................

. 1,560,217

. 683,628

...................................

. 1,971,733,675

. 5,692

. 1,971,727,983

. 1,943,136,486

...................................

. 13,935,361

...................................

. 13,935,361

. 14,188,105

. 453,231

. 2,875

. 450,356

. 517,931

...................................

. 2,275,096

...................................

. 2,275,096

. 3,936,593

...................................

. 573,912

...................................

. 573,912

. 1,601,906

. 78,228,496

. 46,724,068

. 31,504,428

. 28,150,556

...................................

. 5,367,912

...................................

. 5,367,912

. 4,990,508

...................................

. 165,090,578

. 49,279

. 165,041,299

. 164,681,236

. 2,237,658,261

. 46,781,914

. 2,190,876,347

. 2,161,203,321

. 4,556,664,649

...................................

. 4,556,664,649

. 4,773,125,327

6,794,322,910

46,781,914

6,747,540,996

6,934,328,648

DETAILS OF WRITE-INS

1101. ......................................................................................................................

....................................

1102. ......................................................................................................................

....................................

1103. ......................................................................................................................

....................................

1198. Summary of remaining write-ins for Line 11 from overflow page ...................

...................................

1199. Totals (Lines 1101 through 1103 plus 1198)(Line 11 above)

2501. Derivative collateral .................................................................................

. 153,414,452

...................................

. 153,414,452

. 153,267,665

2502. Business owned life insurance ...................................................................

. 7,615,301

...................................

. 7,615,301

. 7,575,152

2503. Reinsurance premium asset ..........................................................................

. 2,141,852

...................................

. 2,141,852

. 2,171,103

2598. Summary of remaining write-ins for Line 25 from overflow page ...................

. 1,918,973

. 49,279

. 1,869,694

. 1,667,316

2599. Totals (Lines 2501 through 2503 plus 2598)(Line 25 above)

165,090,578

49,279

165,041,299

164,681,236

Bonds .............................................................................................................

Stocks:

Preferred stocks .......................................................................................

Common stocks .......................................................................................

Mortgage loans on real estate:

First liens ..................................................................................................

Other than first liens..................................................................................

Real estate:

Properties occupied by the company (less $ ................................... encumbrances) .......................................................................................

Properties held for the production of income (less

Properties held for sale (less $ ................................... encumbrances) .......................................................................................

Cash ($ (6,103,106) ), cash equivalents

Contract loans (including $ ................................... premium notes) ......

Derivatives .....................................................................................................

Other invested assets ....................................................................................

Receivables for securities ..............................................................................

Securities lending reinvested collateral assets ..............................................

Aggregate write-ins for invested assets .........................................................

Subtotals, cash and invested assets (Lines 1 to 11) .....................................

Title plants less $ charged off (for Title insurers

Investment income due and accrued .............................................................

Premiums and considerations:

Uncollected premiums and agents' balances in the course of collection

Deferred premiums, agents' balances and installments booked but deferred and not yet due (including $ ...................................

Accrued retrospective premiums ($ ) and

Reinsurance:

Amounts recoverable from reinsurers ....................................................

Funds held by or deposited with reinsured companies ..........................

Other amounts receivable under reinsurance contracts ........................

Amounts receivable relating to uninsured plans ............................................

Current federal and foreign income tax recoverable and interest thereon ....

Net deferred tax asset ...................................................................................

Guaranty funds receivable or on deposit ......................................................

Electronic data processing equipment and software .....................................

Furniture and equipment, including health care delivery assets

Net adjustment in assets and liabilities due to foreign exchange rates .........

Receivables from parent, subsidiaries and affiliates .....................................

Health care ($ ................................... ) and other amounts receivable ......

Aggregate write-ins for other than invested assets ........................................

Total assets excluding Separate Accounts, Segregated Accounts and Protected Cell Accounts (Lines 12 to 25) .....................................................

From Separate Accounts, Segregated Accounts and Protected Cell Accounts ......................................................................................................

Total (Lines 26 and 27)

(including $ ................................... Modco Reserve) ..........................................................................................................

and unpaid ................................................................................................................................................................................

$ ................................... discount; including $ .......................158,776 accident and health premiums .........................

experience rating refunds of which $ is for medical loss ratio rebate per the Public Health

Service Act .......................................................................................................................................................................

ceded .................................................................................................................................................................................

$ ................................... and deposit-type contract funds $ ................................... ..................................................

allowances recognized in reserves, net of reinsured allowances) ..........................................................................................

24.10 Payable for securities lending .........................................................................................................................................

24.11 Capital notes $ ................................... and interest thereon $ ................................... ...........................................

Current Statement Date

December 31 Prior Year

. 1,504,725,263

. 221,655,014

. 4,425,883

. 1,512,961,622

. 222,187,864

. 4,555,891

. 3,617,484

. 1,579,581

. 2,221,117

. 1,284,392

...................................

. 294,910

. 263,930

...................................

. 121,334

. 101,439

. 1,499,858

. 1,527,522

. 1,754,098

. 1,546,184

. 2,269

...................................

. 2,613,977

...................................

. 2,677,019

. (91,723,793)

. 35,293

...................................

. 287,389

. 65,240

...................................

. 3,894,933

...................................

. (95,742,353)

. 35,293

...................................

. 292,193

. 136,775

...................................

. 4,835,254

...................................

. 11,958,266

...................................

. 8,279,154

...................................

. 195,652,618

. 60,247,401

...................................

19,254,160

. 233,302

...................................

. 7,838,719

...................................

. 190,340,475

. 60,743,665

...................................

27,797,989

1,950,013,756

1,946,064,868

. 4,555,993,288

6,506,007,044

. 4,772,442,851

6,718,507,719

. 2,000,000

...................................

. 106,925,830

...................................

. 132,608,122

. 2,000,000

...................................

. 106,925,830

...................................

. 106,895,099

...................................

239,533,952

...................................

213,820,929

241,533,952

215,820,929

6,747,540,996

6,934,328,648

DETAILS OF WRITE-INS

2501.

Derivative collateral .............................................................................................................................................................

. 19,254,160

. 27,797,989

2502.

...................................................................................................................................................................................................

....................................

2503.

...................................................................................................................................................................................................

....................................

2598.

Summary of remaining write-ins for Line 25 from overflow page ..............................................................................................

...................................

2599.

Totals (Lines 2501 through 2503 plus 2598)(Line 25 above)

19,254,160

27,797,989

3101.

...................................................................................................................................................................................................

....................................

3102.

...................................................................................................................................................................................................

....................................

3103.

...................................................................................................................................................................................................

....................................

3198.

Summary of remaining write-ins for Line 31 from overflow page ..............................................................................................

...................................

3199.

Totals (Lines 3101 through 3103 plus 3198)(Line 31 above)

3401.

...................................................................................................................................................................................................

....................................

3402.

...................................................................................................................................................................................................

....................................

3403.

...................................................................................................................................................................................................

....................................

3498.

Summary of remaining write-ins for Line 34 from overflow page ..............................................................................................

...................................

3499.

Totals (Lines 3401 through 3403 plus 3498)(Line 34 above)

Aggregate reserve for life contracts $ ............ 1,504,725,263 less $ ncluded in Line 6.3

Aggregate reserve for accident and health contracts (including $ ................................... Modco Reserve) .......................

Liability for deposit-type contracts (including $ ................................... Modco Reserve)....................................................

Contract claims:

Life ......................................................................................................................................................................................

Accident and health ............................................................................................................................................................

Policyholders' dividends/refunds to members $ ................................... and coupons $ due

Provision for policyholders' dividends, refunds to members and coupons payable in following calendar year - estimated amounts:

Policyholders' dividends and refunds to members apportioned for payment (including $ ................................... Modco) ...............................................................................................................................................................................

Policyholders' dividends and refunds to members not yet apportioned (including $ ................................. Modco) ....

Coupons and similar benefits (including $ ................................. Modco) ..................................................................

Amount provisionally held for deferred dividend policies not included in Line 6 .......................................................................

Premiums and annuity considerations for life and accident and health contracts received in advance less

Contract liabilities not included elsewhere:

Surrender values on canceled contracts ............................................................................................................................

Provision for experience rating refunds, including the liability of $ accident and health

Other amounts payable on reinsurance, including $ ................................... assumed and $ 1,499,858

Interest Maintenance Reserve ............................................................................................................................................

Commissions to agents due or accrued-life and annuity contracts $ , accident and health

Commissions and expense allowances payable on reinsurance assumed ..............................................................................

General expenses due or accrued ............................................................................................................................................

Transfers to Separate Accounts due or accrued (net) (including $ (87,955,684) accrued for expense

Taxes, licenses and fees due or accrued, excluding federal income taxes ..............................................................................

Current federal and foreign income taxes, including $ ................................... on realized capital gains (losses) ..............

Net deferred tax liability .............................................................................................................................................................

Unearned investment income ...................................................................................................................................................

Amounts withheld or retained by reporting entity as agent or trustee .......................................................................................

Amounts held for agents' account, including $ ................................... agents' credit balances ...........................................

Remittances and items not allocated ........................................................................................................................................

Net adjustment in assets and liabilities due to foreign exchange rates ....................................................................................

Liability for benefits for employees and agents if not included above .......................................................................................

Borrowed money $ ................................... and interest thereon $ ................................... ...........................................

Dividends to stockholders declared and unpaid .......................................................................................................................

Miscellaneous liabilities:

Asset valuation reserve ...................................................................................................................................................

Reinsurance in unauthorized and certified ($ ................................... ) companies .......................................................

Funds held under reinsurance treaties with unauthorized and certified ($ ................................... ) reinsurers .........

Payable to parent, subsidiaries and affiliates ..................................................................................................................

Drafts outstanding ...........................................................................................................................................................

Liability for amounts held under uninsured plans ............................................................................................................

Funds held under coinsurance ........................................................................................................................................

Derivatives ......................................................................................................................................................................

Payable for securities ......................................................................................................................................................

Aggregate write-ins for liabilities ...............................................................................................................................................

Total liabilities excluding Separate Accounts business (Lines 1 to 25) .....................................................................................

From Separate Accounts Statement .........................................................................................................................................

Total liabilities (Lines 26 and 27) ...............................................................................................................................................

Common capital stock ...............................................................................................................................................................

Preferred capital stock ..............................................................................................................................................................

Aggregate write-ins for other than special surplus funds ..........................................................................................................

Surplus notes ............................................................................................................................................................................

Gross paid in and contributed surplus .......................................................................................................................................

Aggregate write-ins for special surplus funds ...........................................................................................................................

Unassigned funds (surplus) ......................................................................................................................................................

Less treasury stock, at cost:

................................... shares common (value included in Line 29 $ ................................... ) ...............................

................................... shares preferred (value included in Line 30 $ ................................... ) .............................

Surplus (Total Lines 31+32+33+34+35-36) (including $ .......................671,361 in Separate Accounts Statement) ..............

Totals of Lines 29, 30 and 37 ...................................................................................................................................................

Totals of Lines 28 and 38 (Page 2, Line 28, Col. 3)

transferred to the IMR) .........................................................................................................................

CAPITAL AND SURPLUS ACCOUNT

Current Year To Date

Prior Year To Date

Prior Year Ended December 31

. 36,836,627

...................................

. 16,399,671

. (97,800)

. (13,533)

. 618,773

...................................

. 23,787,408

...................................

8,947,760

. 37,322,050

...................................

. 15,651,409

. (64,775)

. (13,756)

. 615,432

...................................

. 23,800,070

...................................

8,527,182

. 154,365,732

...................................

. 60,121,467

. (396,431)

. 65,472

. 2,507,402

...................................

. 98,006,440

...................................

34,873,101

86,478,906

85,837,612

349,543,183

. 4,139,314

...................................

. 20,793,081

. 4,618,535

...................................

. 126,688,579

...................................

. 74,100

...................................

(8,769,209)

. 6,689,265

...................................

. 21,988,996

. 4,267,775

...................................

. 122,226,915

...................................

. 50,790

...................................

(16,131,167)

. 21,165,704

...................................

. 89,617,229

. 18,091,589

...................................

. 513,650,829

...................................

. 217,479

...................................

(55,097,224)

. 147,544,400

. 5,020,284

...................................

. 5,509,740

. 708,447

. 10,728

. (93,216,119)

25,289

. 139,092,574

. 4,740,620

...................................

. 5,237,848

. 595,691

. 24,824

. (84,403,119)

29,868

. 587,645,606

. 20,139,811

...................................

. 21,345,664

. 2,749,064

. (27,747)

. (361,994,998)

(38,266)

65,602,769

65,318,306

269,819,134

. 20,876,137

. 20,519,306

. 79,724,049

. 20,876,137

(519,053)

. 20,519,306

(11,985,439)

. 79,724,049

(3,662,264)

. 21,395,190

5,936,306

. 32,504,745

38,993,071

. 83,386,313

3,569,871

27,331,496

71,497,816

86,956,184

215,820,929

218,308,968

. 27,331,496

. 5,358,575

...................................

. (3,251,067)

. 7,998,983

...................................

. (11,724,964)

...................................

. (2,418)

. 2,418

...................................

. 71,497,816

. (25,730,477)

. 150,425

. (14,590,938)

. 11,564,738

...................................

. (13,825,265)

...................................

. 8,375

. (8,375)

...................................

. 86,956,184

. (29,041,888)

. (1,922,698)

. (17,463,820)

. 8,947,250

...................................

. 36,933

...................................

. 21,107

. (21,107)

...................................

. (50,000,000)

25,713,023

29,066,299

(2,488,039)

241,533,952

247,375,267

215,820,929

DETAILS OF WRITE-INS

08.398. Summary of remaining write-ins for Line 8.3 from overflow page ........................................................

08.399. Totals (Lines 08.301 through 08.303 plus 08.398) (Line 8.3 above)

. 8,947,760

....................................

...................................

8,947,760

. 8,527,182

....................................

...................................

8,527,182

. 34,873,101

....................................

...................................

34,873,101

2701. Miscellaneous deductions ...................................................................................................................

2702. ..............................................................................................................................................................

2703. ..............................................................................................................................................................

2798. Summary of remaining write-ins for Line 27 from overflow page ......................................................... 2799. Totals (Lines 2701 through 2703 plus 2798)(Line 27 above)

. 25,289

....................................

...................................

25,289

. 29,868

....................................

...................................

29,868

. (38,266)

....................................

...................................

(38,266)

5301. ..............................................................................................................................................................

5302. ..............................................................................................................................................................

5303. ..............................................................................................................................................................

5398. Summary of remaining write-ins for Line 53 from overflow page ......................................................... 5399. Totals (Lines 5301 through 5303 plus 5398)(Line 53 above)

....................................

...................................

....................................

...................................

....................................

...................................

Premiums and annuity considerations for life and accident and health contracts ...............................

Considerations for supplementary contracts with life contingencies.....................................................

Net investment income ........................................................................................................................

Amortization of Interest Maintenance Reserve (IMR) ..........................................................................

Separate Accounts net gain from operations excluding unrealized gains or losses ............................

Commissions and expense allowances on reinsurance ceded ...........................................................

Reserve adjustments on reinsurance ceded ........................................................................................

Miscellaneous Income:

Income from fees associated with investment management, administration and contract guarantees from Separate Accounts.............................................................................................

Charges and fees for deposit-type contracts .................................................................................

Aggregate write-ins for miscellaneous income ..............................................................................

Totals (Lines 1 to 8.3) ..........................................................................................................................

Death benefits ......................................................................................................................................

Matured endowments (excluding guaranteed annual pure endowments) ...........................................

Annuity benefits ....................................................................................................................................

Disability benefits and benefits under accident and health contracts ..................................................

Coupons, guaranteed annual pure endowments and similar benefits .................................................

Surrender benefits and withdrawals for life contracts ..........................................................................

Group conversions ...............................................................................................................................

Interest and adjustments on contract or deposit-type contract funds ...................................................

Payments on supplementary contracts with life contingencies ............................................................

Increase in aggregate reserves for life and accident and health contracts ..........................................

Totals (Lines 10 to 19) .........................................................................................................................

Commissions on premiums, annuity considerations, and deposit-type contract funds (direct business only) ....................................................................................................................................

Commissions and expense allowances on reinsurance assumed ......................................................

General insurance expenses and fraternal expenses ..........................................................................

Insurance taxes, licenses and fees, excluding federal income taxes ...................................................

Increase in loading on deferred and uncollected premiums ................................................................

Net transfers to or (from) Separate Accounts net of reinsurance ........................................................

Aggregate write-ins for deductions .......................................................................................................

Totals (Lines 20 to 27) .........................................................................................................................

Net gain from operations before dividends to policyholders and federal income taxes (Line 9 minus Line 28) ..............................................................................................................................................

Dividends to policyholders and refunds to members ...........................................................................

Net gain from operations after dividends to policyholders, refunds to members and before federal income taxes (Line 29 minus Line 30) ...............................................................................................

Federal and foreign income taxes incurred (excluding tax on capital gains) .......................................

Net gain from operations after dividends to policyholders, refunds to members and federal income taxes and before realized capital gains or (losses) (Line 31 minus Line 32) .....................................

Net realized capital gains (losses) (excluding gains (losses) transferred to the IMR) less capital gains tax of $ ................... 1,578,005 (excluding taxes of $ (30,958)

Net income (Line 33 plus Line 34) .......................................................................................................

Capital and surplus, December 31, prior year ......................................................................................

Net income (Line 35) ............................................................................................................................

Change in net unrealized capital gains (losses) less capital gains tax of $ 1,424,431

Change in net unrealized foreign exchange capital gain (loss) ............................................................

Change in net deferred income tax ......................................................................................................

Change in nonadmitted assets ............................................................................................................

Change in liability for reinsurance in unauthorized and certified companies .......................................

Change in reserve on account of change in valuation basis, (increase) or decrease ..........................

Change in asset valuation reserve .......................................................................................................

Change in treasury stock .....................................................................................................................

Surplus (contributed to) withdrawn from Separate Accounts during period .........................................

Other changes in surplus in Separate Accounts Statement ................................................................

Change in surplus notes ......................................................................................................................

Cumulative effect of changes in accounting principles ........................................................................

Capital changes:

Paid in ..........................................................................................................................................

Transferred from surplus (stock dividend) ...................................................................................

Transferred to surplus ..................................................................................................................

Surplus adjustment:

Paid in ..........................................................................................................................................

Transferred to capital (stock dividend) .........................................................................................

Transferred from capital ...............................................................................................................

Change in surplus as a result of reinsurance ...............................................................................

Dividends to stockholders ....................................................................................................................

Aggregate write-ins for gains and losses in surplus .............................................................................

Net change in capital and surplus for the year (Lines 37 through 53) ..................................................

Capital and surplus, as of statement date (Lines 36 + 54)

Miscellaneous income ..........................................................................................................................

..............................................................................................................................................................

Cash from Operations

gains (losses) ...................................................................................................................................

Cash from Investments

Cash from Financing and Miscellaneous Sources

RECONCILIATION OF CASH, CASH EQUIVALENTS AND SHORT-TERM INVESTMENTS

Current Year To Date

Prior Year To Date

Prior Year Ended December 31

. 36,972,191

. 20,631,186

32,936,388

. 37,364,024

. 20,472,734

31,901,668

. 154,203,907

. 80,014,602

135,239,182

90,539,765

89,738,426

369,457,691

. 153,214,796

. (97,232,261)

. 11,109,348

...................................

. 154,381,476

. (87,985,003)

. 11,116,608

...................................

. 644,321,770

. (370,899,933)

. 44,340,791

...................................

(2,729,298)

67,091,883

77,513,081

315,033,330

23,447,882

12,225,345

54,424,361

. 22,053,783

...................................

. 2,739,686

...................................

26,227,020

. 51,173,269

...................................

. 2,460,914

...................................

. (5,723)

18,250,513

. 182,442,281

...................................

. 14,159,519

...................................

. (11,732)

. 51,020,489

. 4,999,985

...................................

1,372,853

. 71,878,973

. 91,292,802

...................................

1,535,940

. 196,590,068

. 157,878,371

...................................

64,836,677

6,372,838

92,828,742

222,715,048

80,186

608,583

2,176,238

44,567,465

(21,558,352)

(28,301,218)

...................................

. (130,008)

...................................

(1,019,590)

...................................

. 640,694

...................................

663,909

...................................

. 374,605

. 50,000,000

3,292,809

(1,149,598)

1,304,603

(46,332,586)

. 66,865,749

. 119,486,963

186,352,712

. (8,028,404)

. 139,696,406

131,668,002

. (20,209,443)

. 139,696,406

119,486,963

Premiums collected net of reinsurance ...............................................................................................

Net investment income ........................................................................................................................

Miscellaneous income .........................................................................................................................

Total (Lines 1 to 3) ..............................................................................................................................

Benefit and loss related payments ......................................................................................................

Net transfers to Separate Accounts, Segregated Accounts and Protected Cell Accounts .................

Commissions, expenses paid and aggregate write-ins for deductions ...............................................

Dividends paid to policyholders ...........................................................................................................

Federal and foreign income taxes paid (recovered) net of $ tax on capital

Total (Lines 5 through 9) ....................................................................................................................

Net cash from operations (Line 4 minus Line 10) ...............................................................................

Proceeds from investments sold, matured or repaid:

Bonds .........................................................................................................................................

Stocks .........................................................................................................................................

Mortgage loans ...........................................................................................................................

Real estate .................................................................................................................................

Other invested assets .................................................................................................................

Net gains or (losses) on cash, cash equivalents and short-term investments ...........................

Miscellaneous proceeds .............................................................................................................

Total investment proceeds (Lines 12.1 to 12.7) .........................................................................

Cost of investments acquired (long-term only):

Bonds .........................................................................................................................................

Stocks .........................................................................................................................................

Mortgage loans ...........................................................................................................................

Real estate .................................................................................................................................

Other invested assets .................................................................................................................

Miscellaneous applications .........................................................................................................

Total investments acquired (Lines 13.1 to 13.6) ........................................................................

Net increase/(decrease) in contract loans and premium notes ..........................................................

Net cash from investments (Line 12.8 minus Line 13.7 and Line 14) ................................................

Cash provided (applied):

Surplus notes, capital notes .......................................................................................................

Capital and paid in surplus, less treasury stock .........................................................................

Borrowed funds ..........................................................................................................................

Net deposits on deposit-type contracts and other insurance liabilities .......................................

Dividends to stockholders ..........................................................................................................

Other cash provided (applied) ....................................................................................................

Net cash from financing and miscellaneous sources (Line 16.1 through Line 16.4 minus Line 16.5 plus Line 16.6) ..................................................................................................................................

Net change in cash, cash equivalents and short-term investments (Line 11, plus Lines 15 and 17) .

Cash, cash equivalents and short-term investments:

Beginning of year ........................................................................................................................

End of period (Line 18 plus Line 19.1)

Note: Supplemental disclosures of cash flow information for non-cash transactions:

DIRECT PREMIUMS AND DEPOSIT-TYPE CONTRACTS

Current Year To Date

Prior Year To Date

Prior Year Ended December 31

. 17,909,580

...................................

. 19,992,374

. 1,408,872

. 3,150,046

...................................

. 42,460,872

...................................

42,460,872

. 16,625,992

...................................

. 21,353,056

. 1,481,566

. 3,295,371

...................................

. 42,755,985

. 781,596

43,537,581

. 68,513,274

. 823

. 90,717,072

. 5,658,435

. 12,650,882

...................................

. 177,540,486

. 1,024,275

178,564,761

Individual life ........................................................................................................................................

Group life ..............................................................................................................................................

Individual annuities ...............................................................................................................................

Group annuities ....................................................................................................................................

Accident & health .................................................................................................................................

Fraternal ...............................................................................................................................................

Other lines of business ........................................................................................................................

Subtotal (Lines 1 through 7) .................................................................................................................

Deposit-type contracts .........................................................................................................................

Total (Lines 8 and 9)

Summary of Significant Accounting Policies and Going Concern

Accounting Practices

The accompanying financial statements of RiverSource Life Insurance Co. of New York (the "Company" or "RiverSource Life of NY") have been prepared in conformity with accounting practices prescribed or permitted by the New York State Department of Financial Services. The New York State Department of Financial Services has adopted the National Association of Insurance Commissioners ("NAIC") Accounting Practices and Procedures Manual as a component of its prescribed statutory accounting principles ("SAP"), as well as certain prescribed accounting practices that deviate from NAIC SAP.

A reconciliation of the Company's net income and capital and surplus between NAIC SAP and practices prescribed and permitted by the State of New York is shown below:

F/S

December 31,

SSAP#PageLine#March31,20262025

NET INCOME/(LOSS):

(1) The Company's state basis (Page 4, Line 35, Columns 1 & 3)...............

XXX

$ 27,331,496

$ 86,956,184

(2) State prescribed practices that increase/(decrease) NAIC SAP: Additional long-term care asset adequacy reserves required under

New York Regulation 56 ................................................................

Additional universal life asset adequacy reserves required under

New York Regulation 126 ..............................................................

Additional fixed annuity asset adequacy reserves required under

New York Regulation 126 ..............................................................

3,000,000

10,000,000

Additional variable annuity reserves required under New York

Regulation 213 ................................................................................

(3) State permitted practices that increase/(decrease) NAIC SAP: None .....

521,804

1,699,618

(4) NAIC SAP (1-2-3=4)..............................................................................

XXX

$ 23,809,692

$ 75,256,566

SURPLUS:

(5) The Company's state basis (Page 3, Line 38, Columns 1 & 2)...............

XXX

241,533,952

215,820,929

(6) State prescribed practices that increase/(decrease) NAIC SAP: Additional long-term care asset adequacy reserves required under

New York Regulation 56 ................................................................

(5,000,000)

Additional universal life asset adequacy reserves required under

New York Regulation 126 ..............................................................

(10,000,000)

Additional fixed annuity asset adequacy reserves required under

New York Regulation 126 ..............................................................

(17,000,000)

(20,000,000)

Additional variable annuity reserves required under New York

Regulation 213 ................................................................................

(7) State permitted practices that increase/(decrease) NAIC SAP: None .....

(29,317,959)

(29,839,763)

(8) NAIC SAP (5-6-7=8)..............................................................................

XXX

$ 302,851,911

$ 280,660,692

- D. No significant change.

Accounting Changes and Corrections of Errors Accounting Changes

None.

Changes in Reserve Valuation Basis

Generator of Economic Scenario ("GOES")

In 2025, the NAIC adopted revisions to the Valuation Manual ("VM") related to the adoption of the GOES for Principle-Based Reserving calculations. GOES applies to calculations for life insurance, variable annuities, and non-variable annuities under VM-20, VM-21, and VM-22 and is effective January 1, 2026. The Company adopted GOES as of that date. The adoption of GOES did not result in a change to reserves or surplus, and accordingly no amount was reported as a change in reserve valuation basis.

Correction of Errors

None.

Business Combinations and Goodwill

Not applicable.

Discontinued Operations

Not applicable.

Investments

- C. No significant change.

D. Asset-Backed Securities ("ABS")

Prepayment assumptions for ABS are based on financial information provided by a licensed data provider. These assumptions are consistent with the current interest rate and economic environment. The retrospective method is used to value ABS except in situations where rate changes result in recalculation of the effective yield. The recalculated yield is used to amortize the investment as of the rate change date.

During the three months ended March 31, 2026, the Company had no other-than-temporary impairments ("OTTI") recognized on ABS due to intent to sell or inability or lack of intent to retain for a period of time sufficient to recover the amortized cost.

The Company had no ABS as of March 31, 2026 for which an OTTI has been recognized in the current reporting period due to the fact that the present value of cash flows expected to be collected is less than the amortized cost of the securities.

The following table provides information about investments in ABS for which the carrying value (amortized cost) exceeds fair value and the length of time that individual securities have continuously had amortized cost in excess of fair value, as of March 31, 2026:

The aggregate amount of unrealized losses:

Less than 12 Months ................................... $ 177,051

12 Months or Longer................................... $ 46,638,621

The aggregate related fair value of securities with unrealized losses:

Less than 12 Months ................................... $ 24,470,832

12 Months or Longer................................... $ 418,779,469

For all ABS for which carrying value exceeds fair value, RiverSource Life of NY has the intent and ability to retain the investment in the security for a period of time sufficient to recover the carrying value.

No change.

E. - K No significant change.

Restricted Assets

The Company does not have any assets held under modco or funds withheld reinsurance arrangements. Therefore, columns and disclosures related to modco and funds withheld assets in Note 5L are not applicable.

Restricted assets (including pledged)

Restricted Asset Category

Gross (Admitted & Nonadmitted) Restricted(1)

Current Year

Total From Prior Year

Increase/ (Decrease) (5 minus 6)

Total Admitted Restricted

(5 minus 8)

Percentage

Total General Account (G/A)

Total

Gross (Admitted & Nonadmitted) Restricted to Total Assets(2)

Admitted Restricted to Total Admitted Assets(3)

On deposit with states ........................

$ 220,480

$ 220,607

$ (127)

$ 220,480

Pledged as collateral not captured in other categories .............................

118,540,891

119,055,587

(514,696)

118,540,891

1.7

Collateral assets received and on balance sheet .................................

19,179,000

27,539,000

(8,360,000)

19,179,000

0.3

Total restricted assets.........................

$137,940,371

$146,815,194

$(8,874,823)

$137,940,371

2.0%

Columns 2-4 and 8 are None.

Column 5 divided by Asset Page, Line 28, Column 1

Column 9 divided by Asset Page, Line 28, Column 3

Detail of assets pledged as collateral not captured in other categories:

Gross (Admitted & Nonadmitted) Restricted(1)

Percentage

Current Year

Description of Assets

Total General Account (G/A)

Total

Total From Prior Year

Increase/ (Decrease) (5 minus 6)

Total Current Year Admitted Restricted

Gross (Admitted & Nonadmitted) Restricted to Total Assets

Admitted Restricted to Total Admitted Assets

Bonds pledged for derivatives ................

$118,540,891

$119,055,587

$(514,696)

$118,540,891

1.7%

Amount of total pledged under derivative contracts ............................

118,540,891

119,055,587

(514,696)

118,540,891

XXX

Total Excluding Derivative Collateral

(Total minus Amt of Total pledged under derivative contracts) ...............

$ -

XXX

Columns 2-4 are None.

The Company did not have any other restricted assets at March 31, 2026 and December 31, 2025.

Collateral received and reflected as assets within the Company's financial statements:

1 4 7 8

Assets

General Account: a.-i. None

Book/Adjusted Carrying Value ("BACV")

Collateral

Fair Value

Collateral

% of BACV to Total Assets (Admitted and

Nonadmitted)*

% of BACV to Total Admitted

Assets **

Other............................................. $ 19,179,000 $ 19,179,000 0.9% 0.9%

Total assets ................................... $ 19,179,000 $ 19,179,000 0.9% 0.9%

None .............................................

* k = Column 1 divided by Asset Page, Line 26 (Column 1)

** k = Column 1 divided by Asset Page, Line 26 (Column 3)

Separate Account: None.

1 2

% of Liability to

Amount TotalLiabilities*

y. Recognized obligation to return collateral asset (General Account) ............ $ 19,179,000 1.0% z.-dd. None

* y = Column 1 divided by Liability Page, Line 26 (Column 1)

Assets held as collateral have been pledged for another purpose specific to the insurance reporting entity (not for the benefit of the reinsurer):

Collateral Held

a. Securities Lending................................................................................................................

$ -

b. Repo/repurchase Agreements ..............................................................................................

c. Placed under option contracts ..............................................................................................

d. On deposit with states ..........................................................................................................

220,480

e. On deposit with other regulatory bodies ..............................................................................

f. Pledged as collateral to FHLB (including assets backing funding agreements) ................

g. Pledged as collateral not captured in other categories.........................................................

118,540,891

Total......................................................................................................................................

$ 118,761,371

M. - S. No significant change.

6. Joint Ventures, Partnerships and Limited Liability Companies

No significant change.

7. Investment Income

No significant change.

8. Derivative Instruments

A. Derivatives under SSAP 86 - Derivatives

(1)-(4) and (7) No significant change.

(5), (6), (8) and (10) Not applicable.

(9) The deferred premium associated with certain options is paid or received semiannually over the life of the option contract or at maturity. The following is a summary of the payments the Company is scheduled to make for these options as of March 31, 2026:

Derivative Premium

Fiscal Year Payments Due

2026 (for the period from April 1, 2026 to December 31, 2026) ..................................................................... $ 23,700,500

2027 .................................................................................................................................................................. -

2028 .................................................................................................................................................................. -

2029 .................................................................................................................................................................. 13,830,000

Thereafter 21,870,000

Total financing premiums........................................................................................................................... $ 59,400,500

Undiscounted Future Premium

Commitments

Derivative Fair Value with Premium Commitments (Reported on

Schedule DB)

Derivative Fair Value Excluding

Impact of Financing

Premiums

Prior Year - 2025 ............................................$ 59,400,500 $ 28,470,375 $ 28,470,375

Current Year - 2026 ........................................ 59,400,500 28,176,098 28,176,098

Derivatives under SSAP 108 - Derivative Hedging Variable Annuity Guarantees: None.

Income Taxes

No significant change.

Information Concerning Parent, Subsidiaries, Affiliates and Other Related Parties

No significant change.

Debt

No significant change.

Retirement Plans, Deferred Compensation, Postemployment Benefits and Compensated Absences and Other Postretirement Benefit Plans

No significant change.

Capital and Surplus, Dividend Restrictions and Quasi-Reorganizations

No significant change.

Liabilities, Contingencies and Assessments

No significant change.

Leases

No significant change.

Information about Financial Instruments with Off-Balance Sheet Risk and Financial Instruments with Concentrations of Credit Risk

No significant change.

Sale, Transfer and Servicing of Financial Assets and Extinguishments of Liabilities

No significant change.

Gain or Loss to the Reporting Entity from Uninsured Plans and the Uninsured Portion of Partially Insured Plans

Not applicable.

Direct Premium Written/Produced by Managing General Agents/Third Party Administrators

Not applicable.

Fair Value Measurements

The Company categorizes its fair value measurements according to a three-level hierarchy. The hierarchy prioritizes the inputs used by the Company's valuation techniques. A level is assigned to each fair value measurement based on the lowest level input that is significant to the fair value measurement in its entirety. The three levels of the fair value hierarchy are defined as follows:

Level 1 Unadjusted quoted prices for identical assets or liabilities in active markets that are accessible at the measurement date. Level 2 Prices or valuations based on observable inputs other than quoted prices in active markets for identical assets and liabilities. Level 3 Prices or valuations that require inputs that are both significant to the fair value measurement and unobservable.

(1)

Fair Value Measurements at March 31, 2026

Description for each class of asset

orliability(Level1)

(Level 2)

(Level 3)

Net Asset Value

("NAV")

Total

a. Assets at fair value

Derivative assets:

Interest rate contracts................. $ -

$ 22,892,960

$ -

$ 22,892,960

Equity contracts .........................

607,624

81,290,448

81,898,072

Total derivative assets .............

607,624

104,183,408

104,791,032

Separate account assets.................

4,552,171,780

Total assets at fair value ..................

$ 607,624

$ 104,183,408

$ -

$ 4,552,171,780

$ 4,656,962,812

b. Liabilities at fair value

Derivative liabilities:

Interest rate contracts.................

$ 238,563

$ 176,199,964

$ - $ -

$ 176,438,527

Equity contracts .........................

11,548,597

7,391,050

- -

18,939,647

Foreign exchange contracts .......

274,444

- -

274,444

Total derivative liabilities........

12,061,604

183,591,014

- -

195,652,618

Total liabilities at fair value.............

$ 12,061,604

$ 183,591,014

$ - $ -

$ 195,652,618

There were no changes in Level 3 assets and liabilities measured at fair value during the three months ended March 31, 2026.

The Company recognizes transfers between levels of the fair value hierarchy as of the beginning of the quarter in which each transfer occurred.

The Company uses valuation techniques consistent with the market and income approaches to measure the fair value of its assets and liabilities. The Company's market approach uses prices and other relevant information generated by market transactions involving identical or comparable assets or liabilities. The Company's income approach uses valuation techniques to convert future projected cash flows to a single discounted present value amount. When applying either approach, the Company maximizes the use of observable inputs and minimizes the use of unobservable inputs.

The following is a description of the valuation techniques used to measure fair value and the general classification of these instruments pursuant to the fair value hierarchy.

Derivative assets and liabilities

Derivatives that are measured using quoted prices in active markets, such as derivatives that are exchange-traded, are classified as Level 1 measurements. The variation margin on futures contracts is also classified as Level 1. The fair value of derivatives that are traded in less active over-the-counter markets is generally measured using pricing models with market observable inputs such as interest rates and equity index levels. These measurements are classified as Level 2 within the fair value hierarchy and include swaps and the majority of options. The counterparties' nonperformance risk associated with uncollateralized derivative assets was immaterial as of March 31, 2026.

Separate account assets

The fair value of assets held by separate accounts is determined by the NAV of the funds in which those separate accounts are invested. The NAV is used as a practical expedient for fair value and represents the exit price for the separate account. These separate account assets are excluded from classification in the fair value hierarchy.

Derivative assets and liabilities are presented on a gross basis for any relevant disclosures in paragraphs (1) through (4) above.

Additional fair value information: See Notes 5 and 8.

The following table provides the carrying value and the estimated fair value of financial instruments that are not reported at fair value:

March 31, 2026

Fair Value

Aggregate

Admitted Assets or

Not

Practicable (Carrying

FairValueLiabilities(Level1)(Level2)(Level3)NAVValue)

Financial Assets

Bonds: Issuer credit obligations ... $

926,593,005

$ 972,394,601

$ 220,577

$ 917,423,539

$ 8,948,889

$ - $ -

Bonds: ABS ..................................

483,753,171

529,543,011

483,753,171

- -

Mortgage loans on real estate .......

108,485,439

114,182,109

108,485,439

- -

Cash equivalents ...........................

192,455,818

49,681,171

142,774,647

- -

Contract loans ...............................

62,789,205

- -

Financial Liabilities

Deposit-type contracts $

4,363,902

4,425,883

4,363,902

Bonds

When available, the fair value is based on quoted prices in active markets. If quoted prices are not available, fair values are obtained from third-party pricing services, non-binding broker quotes, or other model-based valuation techniques.

Level 1 bonds primarily include U.S. Treasuries.

The fair value of Level 2 bonds is based on a market approach with prices obtained from third-party pricing services. Observable inputs used to value these bonds can include, but are not limited to, reported trades, benchmark yields, issuer spreads and non-binding broker quotes. The fair value of bonds included in an observable transaction with a market participant are also considered Level 2 when the market is not active.

The fair value of Level 3 bonds is typically based on a single non-binding broker quote. The underlying inputs used for some of the non-binding broker quotes are not readily available to the Company. The Company's privately placed bonds are typically based on a single non-binding broker quote.

Mortgage loans on real estate

The fair value of commercial mortgage loans, except those with significant credit deterioration, is determined by discounting contractual cash flows using discount rates that reflect current pricing for loans with similar remaining maturities, liquidity and characteristics including loan-to-value ratio, occupancy rate, refinance risk, debt service coverage, location, and property condition. For commercial mortgage loans with significant credit deterioration, fair value is determined using the same adjustments as above with an additional adjustment for the Company's estimate of the amount recoverable on the loan. Given the significant unobservable inputs to the valuation of the loans, these measurements are classified as Level 3.

Cash equivalents

Cash equivalents include highly liquid investments with original or remaining maturities at the time of purchase of three months or less. Cash equivalents are measured at amortized cost, which is a reasonable estimate of fair value because of the short time between the purchase of the instrument and its expected realization. Level 1 securities consist of U.S. Treasuries. All other cash equivalents are classified as Level 2.

Contract loans

Contract loans represent loans made against the cash surrender value of the underlying life insurance or annuity product. These loans and the related interest are usually realized at death of the policyholder or contractholder or at surrender of the contract and are not transferable without the underlying insurance or annuity contract. The fair value of contract loans is approximated by the carrying value and is classified as Level 2.

Deposit-type contracts

Deposit-type contracts consist of single premium immediate annuities without life contingencies. The fair value is determined by discounting cash flows using a risk neutral discount rate with adjustments for expense margin. Given the use of significant unobservable inputs to these valuations, the measurements are classified as Level 3.

Not Practicable to Estimate Fair Value: None.

The Company has no general account investments measured using NAV as a practical expedient.

Other Items

No significant change.

Events Subsequent

Subsequent events have been considered through May 7, 2026, the date the statutory financial statements were issued.

On May 1, 2026, the Company's board of directors declared a cash dividend of $50.0 million payable to RiverSource Life Insurance Company, on or after May 8, 2026.

Reinsurance

No significant change.

Retrospectively Rated Contracts & Contracts Subject to Redetermination

Not applicable.

Change in Incurred Losses and Loss Adjustment Expenses

Accident and health claim reserves as of December 31, 2025 were $58.7 million. During the three months ended March 31, 2026, $4.0 million was paid for incurred claims and claim adjustment expenses attributable to insured events of prior years. In addition, tabular fund interest was $0.5 million. At March 31, 2026, accident and health claim reserves for prior year claims incurred were $52.4 million. Therefore, there was a $2.8 million favorable prior period development since December 31, 2025. This is primarily due to favorable longterm care insurance and disability income insurance claim experience.

There were no significant changes in methodologies or assumptions used in calculating the liability for unpaid losses and loss adjustment expenses.

Intercompany Pooling Arrangements

Not applicable.

Structured Settlements

Not applicable.

Health Care Receivables

Not applicable.

Participating Policies

Not applicable.

Premium Deficiency Reserves

None.

Reserves for Life Contracts and Annuity Contracts

No significant change.

Analysis of Annuity Actuarial Reserves and Deposit Type Contract Liabilities by Withdrawal Characteristics

No significant change.

Analysis of Life Actuarial Reserves by Withdrawal Characteristics

No significant change.

Premiums and Annuity Considerations Deferred and Uncollected

No significant change.

Separate Accounts

No significant change.

Loss/Claim Adjustment Expenses

No significant change.

PART 1 - COMMON INTERROGATORIES GENERAL

Did the reporting entity experience any material transactions requiring the filing of Disclosure of Material Transactions with the State of

Domicile, as required by the Model Act? ................................................................................................................................................................. Yes [ ] No [ X ]

If yes, has the report been filed with the domiciliary state? ..................................................................................................................................... Yes [ ] No [ ]

Has any change been made during the year of this statement in the charter, by-laws, articles of incorporation, or deed of settlement of the

reporting entity? ....................................................................................................................................................................................................... Yes [ ] No [ X ]

If yes, date of change: .............................................................................................................................................................................................

Is the reporting entity a member of an Insurance Holding Company System consisting of two or more affiliated persons, one or more of which

is an insurer? ........................................................................................................................................................................................................... Yes [ X ] No [ ]

If yes, complete Schedule Y, Parts 1 and 1A.

Have there been any substantial changes in the organizational chart since the prior quarter end? ....................................................................... Yes [ ] No [ X ]

If the response to 3.2 is yes, provide a brief description of those changes.

................................................................................................................................................................................................................................

Is the reporting entity publicly traded or a member of a publicly traded group? ...................................................................................................... Yes [ X ] No [ ]

If the response to 3.4 is yes, provide the CIK (Central Index Key) code issued by the SEC for the entity/group 820027

Has the reporting entity been a party to a merger or consolidation during the period covered by this statement? ................................................. Yes [ ] No [ X ]

If yes, provide the name of the entity, NAIC Company Code, and state of domicile (use two letter state abbreviation) for any entity that has ceased to exist as a result of the merger or consolidation.

Name of Entity

NAIC Company Code

State of Domicile

If the reporting entity is subject to a management agreement, including third-party administrator(s), managing general agent(s), attorney-

in-fact, or similar agreement, have there been any significant changes regarding the terms of the agreement or principals involved? ......... Yes [ ] No [ X ] N/A [ ]

If yes, attach an explanation.

State as of what date the latest financial examination of the reporting entity was made or is being made 12/31/2025

State the as of date that the latest financial examination report became available from either the state of domicile or the reporting entity. This

date should be the date of the examined balance sheet and not the date the report was completed or released 12/31/2020

State as of what date the latest financial examination report became available to other states or the public from either the state of domicile or the reporting entity. This is the release date or completion date of the examination report and not the date of the examination (balance sheet

date) 09/08/2023

By what department or departments?

New York State Department of Financial Services ................................................................................................................................................

Have all financial statement adjustments within the latest financial examination report been accounted for in a subsequent financial

statement filed with Departments? ................................................................................................................................................................... Yes [ ] No [ ] N/A [ X ]

Have all of the recommendations within the latest financial examination report been complied with? ............................................................ Yes [ ] No [ ] N/A [ X ]

Has this reporting entity had any Certificates of Authority, licenses or registrations (including corporate registration, if applicable) suspended or

revoked by any governmental entity during the reporting period? ........................................................................................................................... Yes [ ] No [ X ]

If yes, give full information:

Is the company a subsidiary of a bank holding company regulated by the Federal Reserve Board? ..................................................................... Yes [ X ] No [ ]

If response to 8.1 is yes, please identify the name of the bank holding company.

Ameriprise Financial, Inc. .......................................................................................................................................................................................

Is the company affiliated with one or more banks, thrifts or securities firms? ......................................................................................................... Yes [ X ] No [ ]

If response to 8.3 is yes, please provide below the names and location (city and state of the main office) of any affiliates regulated by a federal regulatory services agency [i.e. the Federal Reserve Board (FRB), the Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC) and the Securities Exchange Commission (SEC)] and identify the affiliate's primary federal regulator.

Affiliate Name

Location (City, State)

FRB

OCC

FDIC

SEC

American Enterprise Investment Services, Inc. ............................

Minneapolis, MN ...................................................

............

... YES....

Ameriprise Bank, FSB .......................................................................

Minneapolis, MN ...................................................

............

... YES....

............

Ameriprise Certificate Company ......................................................

Minneapolis, MN ...................................................

............

... YES....

Ameriprise Financial, Inc. .............................................................

Minneapolis, MN ...................................................

............

... YES....

Ameriprise Financial Services, LLC ...............................................

Minneapolis, MN ...................................................

............

... YES....

Columbia Management Investment Advisers, LLC ..............................

Boston, MA ...........................................................

............

... YES....

Columbia Management Investment Distributors, Inc. .....................

Boston, MA ...........................................................

............

... YES....

Columbia Management Investment Services Corp. ............................

Boston, MA ...........................................................

............

... YES....

Columbia Wanger Asset Management, LLC ..........................................

Chicago, IL ..........................................................

............

... YES....

J. & W. Seligman & Co. Incorporated .............................................

New York, NY ........................................................

............

... YES....

Lionstone Partners, LLC ..................................................................

Houston, TX ..........................................................

............

... YES....

RiverSource Distributors, Inc. ......................................................

Minneapolis, MN ...................................................

............

... YES....

RiverSource Life Insurance Company ...............................................

Minneapolis, MN ...................................................

............

... YES....

Are the senior officers (principal executive officer, principal financial officer, principal accounting officer or controller, or persons performing

similar functions) of the reporting entity subject to a code of ethics, which includes the following standards? ....................................................... Yes [ X ] No [ ]

Honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships;

Full, fair, accurate, timely and understandable disclosure in the periodic reports required to be filed by the reporting entity;

Compliance with applicable governmental laws, rules and regulations;

The prompt internal reporting of violations to an appropriate person or persons identified in the code; and

Accountability for adherence to the code.

9.11 If the response to 9.1 is no, please explain:

Has the code of ethics for senior managers been amended? ................................................................................................................................. Yes [ X ] No [ ]

9.21 If the response to 9.2 is yes, provide information related to amendment(s).

In the first quarter of 2026, the design and content of the code was updated to reflect changes in law, regulation or internal policy or practice. .

Have any provisions of the code of ethics been waived for any of the specified officers? ...................................................................................... Yes [ ] No [ X ]

9.31 If the response to 9.3 is yes, provide the nature of any waiver(s).

FINANCIAL

Does the reporting entity report any amounts due from parent, subsidiaries or affiliates on Page 2 of this statement? ......................................... Yes [ X ] No [ ]

If yes, indicate any amounts receivable from parent included in the Page 2 amount: ...........................................................................................$ 2,340,743

INVESTMENT

Were any of the stocks, bonds, or other assets of the reporting entity loaned, placed under option agreement, or otherwise made available for

use by another person? (Exclude securities under securities lending agreements.) .............................................................................................. Yes [ X ] No [ ]

If yes, give full and complete information relating thereto:

Bonds pledged as collateral to cover derivative positions and bonds on deposit with states. ...............................................................................

12. Amount of real estate and mortgages held in other invested assets in Schedule BA: ..........................................................................................$ 115,096

Does the reporting entity have any investments in parent, subsidiaries and affiliates? .......................................................................................... Yes [ X ] No [ ]

If yes, please complete the following:

Prior Year-End Book/Adjusted

Carrying Value

Current Quarter Book/Adjusted

Carrying Value

Bonds ............................................................................................................................................................................ $ ................................... $...................................

Preferred Stock ..............................................................................................................................................................$ ................................... $...................................

Common Stock ..............................................................................................................................................................$ ................................... $...................................

Short-Term Investments ................................................................................................................................................$ ................................... $...................................

Mortgage Loans on Real Estate .................................................................................................................................... $ ................................... $...................................

All Other .........................................................................................................................................................................$ ...................... 115,096 $ 115,096

Total Investment in Parent, Subsidiaries and Affiliates (Subtotal Lines 13.21 to 13.26) ...............................................$ ...................... 115,096 $ 115,096

Total Investment in Parent included in Lines 13.21 to 13.26 above ..............................................................................$ ................................... $...................................

Has the reporting entity entered into any hedging transactions reported on Schedule DB? .................................................................................. Yes [ ] No [ X ]

If yes, has a comprehensive description of the hedging program been made available to the domiciliary state? ......................................... Yes [ ] No [ ] N/A [ X ]

If no, attach a description with this statement.

For the reporting entity's security lending program, state the amount of the following as of the current statement date:

Total fair value of reinvested collateral assets reported on Schedule DL, Parts 1 and 2. ...................................................... $ ...................................

Total book/adjusted carrying value of reinvested collateral assets reported on Schedule DL, Parts 1 and 2 ........................ $ ...................................

Total payable for securities lending reported on the liability page. ......................................................................................... $ ...................................

Excluding items in Schedule E - Part 3 - Special Deposits, real estate, mortgage loans and investments held physically in the reporting entity's offices, vaults or safety deposit boxes, were all stocks, bonds and other securities, owned throughout the current year held pursuant to a custodial agreement with a qualified bank or trust company in accordance with Section 1, III - General Examination Considerations, F.

Outsourcing of Critical Functions, Custodial or Safekeeping Agreements of the NAIC Financial Condition Examiners Handbook? ..................... Yes [ X ] No [ ]

For all agreements that comply with the requirements of the NAIC Financial Condition Examiners Handbook, complete the following:

Name of Custodian(s)

Custodian Address

JPMorgan Chase & Co. ..............................................................................

270 Park Avenue New York, NY 10017 ......................................................

For all agreements that do not comply with the requirements of the NAIC Financial Condition Examiners Handbook, provide the name, location and a complete explanation:

Name(s)

Location(s)

Complete Explanation(s)

Have there been any changes, including name changes, in the custodian(s) identified in 16.1 during the current quarter? .............................. Yes [ ] No [ X ]

If yes, give full information relating thereto:

Old Custodian

New Custodian

Date of Change

Reason

Investment management - Identify all investment advisors, investment managers, broker/dealers, including individuals that have the authority to make investment decisions on behalf of the reporting entity. This includes both primary and sub-advisors. For assets that are managed internally by employees of the reporting entity, note as such. ["…that have access to the investment accounts"; "…handle securities"]

Name of Firm or Individual

Affiliation

Columbia Management Investment Advisers, LLC ..............................................

............................................................................................................................

A..................

.....................

16.5097 For those firms/individuals listed in the table for Question 16.5, do any firms/individuals unaffiliated with the reporting entity (i.e.

designated with a "U") manage more than 10% of the reporting entity's invested assets?............................................................... Yes [ ] No [ ] N/A [ X ]

16.5098 For firms/individuals unaffiliated with the reporting entity (i.e. designated with a "U") listed in the table for Question 16.5, does the

total assets under management aggregate to more than 50% of the reporting entity's invested assets?......................................... Yes [ ] No [ ] N/A [ X ]

For those firms or individuals listed in the table for 16.5 with an affiliation code of "A" (affiliated) or "U" (unaffiliated), provide the information for the table below.

Central Registration Depository Number

Name of Firm or Individual

Registered With

Investment Management Agreement (IMA) Filed

108257 ....................

.................................

Columbia Management Investment Advisers, LLC ......................................................

....................................................................................................................................

SEC ............................................................

...................................................................

DS................

.....................

Have all the filing requirements of the Purposes and Procedures Manual of the NAIC Investment Analysis Office been followed? ..................... Yes [ X ] No [ ]

If no, list exceptions:

By self-designating 5GI securities, the reporting entity is certifying the following elements for each self-designated 5GI security:

Documentation necessary to permit a full credit analysis of the security does not exist or an NAIC CRP credit rating for an FE or PL security is not available.

Issuer or obligor is current on all contracted interest and principal payments.

The insurer has an actual expectation of ultimate payment of all contracted interest and principal.

Has the reporting entity self-designated 5GI securities? ......................................................................................................................................... Yes [ ] No [ X ]

By self-designating PLGI securities, the reporting entity is certifying its compliance with the requirements as specified in the Purposes and Procedures Manual of the NAIC Investment Analysis Office (P&P Manual) for private letter rating (PLR) securities and the following elements of each self-designated PLGI security:

The security was either:

issued prior to January 1, 2018 (which is exempt from PLR filing requirements pursuant to the P&P Manual), or

issued from January 1, 2018 to December 31, 2021 and subject to a confidentiality agreement executed prior to January 1, 2022 which confidentiality agreement remains in force, for which an insurance company cannot provide a copy of a private letter rating rationale report to the SVO due to confidentiality or other contractual reasons ("waived submission PLR securities").

The reporting entity is holding capital commensurate with the NAIC Designation and NAIC Designation Category reported for the security.

The NAIC Designation and NAIC Designation Category were derived from the credit rating assigned by an NAIC CRP in its legal capacity as a NRSRO which is shown on a current private letter rating, dated during the financial statement year, held by the insurer and available for examination by state insurance regulators.

Other than for waived submission PLR securities, defined above, on or after January 1, 2024 for any PLR securities issued on or after January 1, 2022, if the reporting entity is not permitted to share this private credit rating or the private rating letter rationale report of the PL security with the SVO, it certifies that it is reporting it as an NAIC 5.B GI and may not assign any other self-designation.

Has the reporting entity self-designated PLGI to securities, all of which meet the above requirement and as specified in the P&P Manual? ...... Yes [ ] No [ X ]

By assigning FE to a Schedule BA non-registered private fund, the reporting entity is certifying the following elements of each self-designated FE fund:

The shares were purchased prior to January 1, 2019.

The reporting entity is holding capital commensurate with the NAIC Designation reported for the security.

The security had a public credit rating(s) with annual surveillance assigned by an NAIC CRP in its legal capacity as an NRSRO prior to January 1, 2019.

The fund only or predominantly holds bonds in its portfolio.

The current reported NAIC Designation was derived from the public credit rating(s) with annual surveillance assigned by an NAIC CRP in its legal capacity as an NRSRO.

The public credit rating(s) with annual surveillance assigned by an NAIC CRP has not lapsed.

Has the reporting entity assigned FE to Schedule BA non-registered private funds that complied with the above criteria? .................................. Yes [ ] No [ X ]

PART 2 - LIFE AND ACCIDENT AND HEALTH COMPANIES/FRATERNAL BENEFIT SOCIETIES

Life and Accident Health Companies/Fraternal Benefit Societies:

Report the statement value of mortgage loans at the end of this reporting period for the following categories: 1

Amount

Long-Term Mortgages In Good Standing

Farm Mortgages ......................................................................................................................................................................$.....................................................

Residential Mortgages ............................................................................................................................................................ $.....................................................

Commercial Mortgages ...........................................................................................................................................................$ 114,182,109

Total Mortgages in Good Standing $ 114,182,109

Long-Term Mortgages In Good Standing with Restructured Terms

1.21 Total Mortgages in Good Standing with Restructured Terms $

Long-Term Mortgage Loans Upon which Interest is Overdue more than Three Months

Commercial Mortgages ...........................................................................................................................................................$.....................................................

Total Mortgages with Interest Overdue more than Three Months $

Long-Term Mortgage Loans in Process of Foreclosure

Total Mortgages in Process of Foreclosure ............................................................................................................................ $.....................................................

Total Mortgage Loans (Lines 1.14 + 1.21 + 1.34 + 1.44) (Page 2, Column 3, Lines 3.1 + 3.2) $ 114,182,109

Long-Term Mortgages Foreclosed, Properties Transferred to Real Estate in Current Quarter

Total Mortgages Foreclosed and Transferred to Real Estate $

Operating Percentages:

A&H loss percent 177.280 %

A&H cost containment percent %

A&H expense percent excluding cost containment expenses 17.050 %

Do you act as a custodian for health savings accounts? ............................................................................................................................. Yes [ ] No [ X ]

If yes, please provide the amount of custodial funds held as of the reporting date ....................................................................................$ .....................................................

Do you act as an administrator for health savings accounts? ...................................................................................................................... Yes [ ] No [ X ]

If yes, please provide the balance of the funds administered as of the reporting date .............................................................................. $ .....................................................

Is the reporting entity licensed or chartered, registered, qualified, eligible or writing business in at least two states? ................................ Yes [ ] No [ X ]

If no, does the reporting entity assume reinsurance business that covers risks residing in at least one state other than the state of

domicile of the reporting entity? ................................................................................................................................................................... Yes [ ] No [ X ]

Fraternal Benefit Societies Only:

In all cases where the reporting entity has assumed accident and health risks from another company, provisions should be made in this statement on account of such reinsurances for reserve equal to that which the original company would have been required to

establish had it retained the risks. Has this been done? .............................................................................................................................. Yes [ ] No [ ] N/A [ ]

If no, explain:

Does the reporting entity have outstanding assessments in the form of liens against policy benefits that have increased surplus? .......... Yes [ ] No [ ]

If yes, what is the date(s) of the original lien and the total outstanding balance of liens that remain in surplus?

Date

Outstanding Lien Amount

Total

...................................

STATEMENT AS OF MARCH 31, 2026 OF THE RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK

Showing All New Reinsurance Treaties - Current Year to Date

NAIC

Company Code

Number

Effective Date

Name of Reinsurer

Domiciliary Jurisdiction

Type of Reinsurance Ceded

Type of Business Ceded

Type of Reinsurer

Certified Reinsurer Rating

(1 through 6)

Effective Date of Certified Reinsurer Rating

.... 38636 .....

..13-3031176 ......

... 01/01/2026 ..

Partner Reinsurance Company of the U.S. ........................................................................................................

.......... CT.........

.........CO/I.......

.........XXXL.......

Authorized................................................................................................................

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STATEMENT AS OF MARCH 31, 2026 OF THE RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK

SCHEDULE T - PREMIUMS AND ANNUITY CONSIDERATIONS

Current Year To Date - Allocated by States and Territories

States, Etc.

Active Status (a)

Direct Business Only

Life Contracts

Accident and Health Insurance Premiums, Including Policy,

Membership and Other Fees

Other Considerations

Total Columns

2 Through 5

Deposit-Type Contracts

Life Insurance Premiums

Annuity Considerations

Alabama AL

Alaska AK

Arizona AZ

Arkansas AR

California CA

Colorado CO

Connecticut CT

Delaware DE

District of Columbia DC

Florida FL

Georgia GA

Hawaii HI

Idaho ID

Illinois IL

Indiana IN

Iowa IA

Kansas KS

Kentucky KY

Louisiana LA

Maine ME

Maryland MD

Massachusetts MA

Michigan MI

Minnesota MN

Mississippi MS

Missouri MO

Montana MT

Nebraska NE

Nevada NV

New Hampshire NH

New Jersey NJ

New Mexico NM

New York NY

North Carolina NC

North Dakota ND

Ohio OH

Oklahoma OK

Oregon OR

Pennsylvania PA

Rhode Island RI

South Carolina SC

South Dakota SD

Tennessee TN

Texas TX

Utah UT

Vermont VT

Virginia VA

Washington WA

West Virginia WV

Wisconsin WI

Wyoming WY

American Samoa AS

Guam GU

Puerto Rico PR

U.S. Virgin Islands VI

Northern Mariana Islands MP

Canada CAN

Aggregate other alien OT

Subtotal .....................................................

Reporting entity contributions for employee benefits plans...................................................................

Dividends or refunds applied to purchase paid-up additions and annuities........................................

Dividends or refunds applied to shorten endowment or premium paying period....................................

Premium or annuity considerations waived under disability or other contract provisions....................

Aggregate or other amounts not allocable by state..

Totals (direct business)..........................................

Plus reinsurance assumed.....................................

97 Totals (all business)...............................................

Less reinsurance ceded.........................................

Totals (all business) less reinsurance ceded

.......... N.........

.......... L.........

.......... N.........

....... XXX.......

XXX

. 4,274

. 112

. 33,077

. 1,276

. 90,492

. 9,133

. 178,030

. 33,545

. 1,877

. 532,447

. 49,686

. 549

. 1,120

. 37,166

. 6,602

. 6,140

. 1,215

. 4,737

. 64,491

. 4,141

. 33,620

. 87,339

. 27,302

. 18,517

. 1,135

. 2,402

. 2,238

. 1,999

. 11,819

. 8,014

. 429,699

. 5,794

. 15,520,687

. 159,368

. 138

. 18,289

. 1,268

. 19,248

. 223,653

. 6,696

. 75,592

..........................

. 15,125

. 69,067

. 1,213

. 10,449

. 93,263

. 18,577

. 4,215

. 11,106

..........................

. 3,083

. 1,505

..........................

. 6,600

. 17,949,130

..........................

. 65,575

..........................

. 18,014,705

..........................

. 18,014,705

. 4,981,837

13,032,868

. 600

..........................

. 1,725

. 300

. 4,875

. 13,535

. 98,906

. 11,350

. 450

. 386,381

. 6,758

..........................

. 300

. 6,825

. 750

..........................

. 6,500

. 525

..........................

. 1,550

. 3,500

. 34,350

. 750

. 375

. 1,500

. 900

..........................

. 45,600

. 400

. 354,561

. 150

. 20,267,641

. 14,615

..........................

. 900

. 750

. 400

. 40,065

. 75

. 52,420

..........................

. 1,860

. 15,887

. 600

. 8,500

. 12,167

..........................

. 300

..........................

. 1,649

. 21,401,245

..........................

. 21,401,245

..........................

. 21,401,245

..........................

21,401,245

. 1,171

. 645

. 9,006

. 315

. 45,799

. 9,504

. 71,455

. 5,555

. 3,000

. 181,339

. 26,260

. 1,110

. 1,984

. 7,692

. 4,595

..........................

. 508

. 1,606

. 2,338

. 6,311

. 19,915

. 17,875

. 2,276

. 5,038

. 372

. 1,940

. 669

..........................

. 5,056

. 10,263

. 118,170

. 4,438

. 2,237,901

. 42,335

. 77

. 7,307

. 1,347

. 5,567

. 44,214

. 2,156

. 26,836

..........................

. 8,072

. 14,541

. 700

. 2,829

. 25,307

. 7,015

. (586)

. 1,583

. 248

..........................

. 1,540

..........................

. 1,562

. 2,996,756

..........................

. 134,584

..........................

. 3,131,340

..........................

. 3,131,340

. 847,150

2,284,190

..........................

. 6,045

. 757

. 43,808

. 1,891

. 141,166

. 32,172

. 348,391

. 50,450

. 5,327

. 1,100,167

. 82,704

. 1,659

. 3,404

. 51,683

. 11,947

. 6,140

. 8,223

. 6,868

. 66,829

. 12,002

. 57,035

. 139,564

. 30,328

. 23,930

. 3,007

. 5,242

. 2,907

. 1,999

. 62,475

. 18,677

. 902,430

. 10,382

. 38,026,229

. 216,318

. 215

. 26,496

. 3,365

. 25,215

. 307,932

. 8,927

. 154,848

..........................

. 25,057

. 99,495

. 2,513

. 21,778

. 130,737

. 25,592

. 3,629

. 12,989

. 248

..........................

. 4,623

. 1,505

..........................

. 9,811

. 42,347,131

..........................

. 200,159

..........................

. 42,547,290

..........................

. 42,547,290

. 5,828,987

36,718,303

..........................

DETAILS OF WRITE-INS

58001. ZZZ Other Alien ...................................................

58002. .............................................................................

58003. .............................................................................

58998. Summary of remaining write-ins for Line 58 from overflow page .....................................................

58999. Totals (Lines 58001 through 58003 plus

58998)(Line 58 above)

....... XXX.......

XXX

. 6,600

............................

..........................

6,600

. 1,649

............................

..........................

1,649

. 1,562

............................

..........................

1,562

..........................

............................

..........................

. 9,811

............................

..........................

9,811

..........................

............................

..........................

9401. .............................................................................

9402. .............................................................................

9403. .............................................................................

9498. Summary of remaining write-ins for Line 94 from overflow page .....................................................

9499. Totals (Lines 9401 through 9403 plus 9498)(Line

94 above)

....... XXX.......

XXX

............................

..........................

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..........................

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..........................

............................

..........................

Active Status Counts:

L - Licensed or Chartered - Licensed insurance carrier or domiciled RRG.......................... ....... 1 4. Q - Qualified - Qualified or accredited reinsurer........................................ .........

R - Registered - Non-domiciled RRGs.............................................................................. ......... 5. N - None of the above - Not allowed to write business in the state............. 56

E - Eligible - Reporting entities eligible or approved to write surplus lines in the state......... .........

IDNumberSTATENAIC#

Ameriprise Financial, Inc 13-3180631

Ameriprise Advisor Capital, LLC 27-0544454

Ameriprise Advisor Financing 2, LLC… 88-3480093

Ameriprise Asset Management Holdings Singapore (Pte.) Ltd.…………………………………………………………………………………

Threadneedle Portfolio Services Hong Kong Limited……………………………………………………………………………………

Columbia Threadneedle Investments Japan Co., Ltd.……………………………………………………………………………………

Columbia Threadneedle Malaysia Sdn Bhd.………………………………………………………………………………………………

Threadneedle Investments Singapore (Pte.) Ltd.…………………………………………………………………………………………

Ameriprise Bank, FSB 06-1791061

Ameriprise Capital Trust I… 45-6157641

Ameriprise Capital Trust II… 45-6157643

Ameriprise Capital Trust III… 45-6157644

Ameriprise Capital Trust IV… 45-6157645

Ameriprise Captive Insurance Company…………………………………………………………………………………………………………… 20-5761939 VT 12852

Ameriprise Certificate Company 41-6009975

Investors Syndicate Development Corporation 41-0951695

Ameriprise Holdings, Inc 26-3878824

Ameriprise Installment Financing, LLC… 99-3282920

Ameriprise India LLP…………………………………………………………………………………………………………………………………

Ameriprise India Partner, LLC 83-3396069

Ameriprise Trust Company 41-6219335

AMPF Holding, LLC 38-2722519

American Enterprise Investment Services Inc 41-1667086

Ameriprise Financial Services, LLC 41-0973005

AMPF Property Corporation… 38-3050688

Investment Professionals, Inc 74-2629876

CT Global Social Bond Fund…………………………………………………………………………………………………………………….…

RiverSource Distributors, Inc 42-1690915

RiverSource Life Insurance Company……………………………………………………………………………………………………………… 41-0823832 MN 65005

Columbia Cent CLO Advisers, LLC 85-3063028

Cent CLO 27 Limited…………………………………………………………………………………………………………………

Cent CLO 28 Limited…………………………………………………………………………………………………………………

Cent CLO 30 Limited…………………………………………………………………………………………………………………

Cent CLO 31 Limited…………………………………………………………………………………………………………………

Cent CLO 32 Limited…………………………………………………………………………………………………………………

Cent CLO 33 Limited…………………………………………………………………………………………………………………

Cent CLO 34 Limited…………………………………………………………………………………………………………………

Cent CLO 35 Limited…………………………………………………………………………………………………………………

RiverSource Life Insurance Co. of New York……………………………………………………………………………………………… 41-0987741 NY 80594

RiverSource NY REO, LLC 27-0380139

RiverSource REO 1, LLC 26-4164569

RiverSource Tax Advantaged Investments, Inc 13-6178563

AEXP Affordable Housing Portfolio, LLC… 41-1977631

CREA Corporate Tax Credit Fund XXVIII, LLC……………………………………………………………………………………

Columbia Management Investment Advisers, LLC… 41-1533211

Advisory Capital Strategies Group Inc 41-1624224

Centurion CDO IV Limited……………………………………………………………………………………………………………………

Columbia Research Enhanced Real Estate ETF… 92-2626172

Columbia Credit Income Opportunities Fund… 33-2418768

CT QR Series Global Equity Active UCITS ETF…..…………………………………….…………………………………………….......

Columbia Research Enhanced Small Cap ETF… 39-3924213

Columbia Research Enhanced International Equity ETF… 39-3895786

-Columbia Corporate Bond ETF… 39-3977049

Columbia Wanger Asset Management, LLC… 04-3519872

Emerging Global Advisors, LLC………………………………………………………………………………………………………………

GA Legacy, LLC… 26-2639148

J. & W. Seligman & Co. Incorporated 13-3043476

Columbia Management Investment Distributors, Inc 13-3043478

Seligman Partners, LLC 13-4200160

Lionstone BBP Limited Partner, LLC… 83-3869028

Lionstone CREAD Partners Two, LLC… 88-2297839

Lionstone CREAD GP, LLC… 84-3717367

Lionstone LORE Two, LLC… 88-2297682

Lionstone Partners, LLC… 76-0694729

Lionstone CFRE II Real Estate Advisory, LLC… 47-1271089

Lionstone Raleigh Development Partners GP, LLC… 86-1575183

Lionstone RDP Co-Investment Fund 1 GP, LLC… 88-2822913

RiverSource CDO Seed Investments, LLC… 87-0812264

Seligman Healthcare Spectrum Fund, LLC… 99-1086736

IDNumberSTATENAIC#

Ameriprise Financial, Inc. (continued) 13-3180631

Columbia Management Investment Services Corp 41-1861053

Columbia Threadneedle Investments UK International Limited…………………………………………………………………………………

Columbia Threadneedle (Europe) Limited…………………………………………………………………………………………………

Columbia Threadneedle AM (Holdings) Limited……………………………………………………………………………………

Astraeus III GP LLP……………………………………………………………………………………………………………

Astraeus III FP LP………………………………………………………………………………………………………

Columbia Threadneedle Capital (Group) Limited…………………………………………………………………………

Columbia Threadneedle Capital (Holdings) Limited………………………………………………………………

Columbia Threadneedle Capital (UK) Limited ……………………………………………………………

Columbia Threadneedle Multi-Manager LLP………………………………………………………………

Thames River Capital LLP……………………………………………………………………………………

Columbia Threadneedle Group (Holdings) Limited………………………………………………………………………

Columbia Threadneedle Group (Management) Limited…………………………………………………………

Columbia Threadneedle Holdings Limited…………………………………………………………………

- Columbia Threadneedle Management Limited 04-3219301

- FCEM Holdings (UK) Limited…………………………………………………………………

Columbia Threadneedle Netherlands B.V…………………………………………………………………………

Columbia Threadneedle Treasury Limited…………………………………………………………………………………

WAM Holdings Ltd……………………………………………………………………………………………………

Columbia Threadneedle Fund Management Limited………………………………………………………

Columbia Threadneedle (Services) Limited…………………………………………………………………………………

Columbia Threadneedle Management (Swiss) GmbH……………………………………………………………………

Columbia Threadneedle Investment Business Limited……………………………………………………………………

Columbia Threadneedle PE Co-Investment GP LLP………………………………………………………………………

FCIT PE FP LP…………………………………………………………………………………………………………

Columbia Threadneedle PE Co-Investment FP LP………………………………………………………………

Columbia Threadneedle Real Estate Partners LLP………………………………………………………………………

Columbia Threadneedle Real Estate Partners S.à.r.l.……………………………………………………………………

CT Real Estate Partners GmbH & Co. KG, München……………………………………………………………

CT Real Estate Partners Verwaltungsgesellschaft mbH, München (General Partner)…………………………

Columbia Threadneedle Real Estate Partners Asset Management Limited……………………………………………

Columbia Threadneedle REP Property Management Limited……………………………………………………………

Castle Mount Impact Partners GP LLP………………………………………………………………………………………

Castle Mount Impact Partners FP LP………………………………………………………………………………

F&C Aurora (GP) Limited……………………………………………………………………………………………………

The Aurora Fund (Founder Partner) LP……………………………………………………………………………

F&C Climate Opportunity Partners (GP) Limited……………………………………………………………………………

F&C Climate Opportunity Partners (GP) LP…………………………………………………………………………

F&C Climate Opportunity Partners (Founder Partner) LP…………………………………………………………

F&C Equity Partners Holdings Limited………………………………………………………………………………………

F&C European Capital Partners (GP) Limited………………………………………………………………………………

F&C European Capital Partners II (GP) Limited……………………………………………………………………………

F&C European Capital Partners II (Founder Partner) LP…………………………………………………………

F&C European Capital Partners II (GP) LP…………………………………………………………………………

F&C Group ESOP Trustee Limited…………………………………………………………………………………………

FP Asset Management Holdings Limited……………………………………………………………………………………

Columbia Threadneedle Asset Managers Limited…………………………………………………………………

Ivory & Sime Limited…………………………………………………………………………………………………………

Columbia Threadneedle (EM) Investments Limited 98-1089286

Pyrford International Limited… 98-0651721

IDNumberSTATENAIC#

Ameriprise Financial, Inc. (continued) 13-3180631

TAM UK International Holdings Limited……………………………………………………………………………………………………………

Columbia Threadneedle Investments (ME) Limited………………………………………………………………………………………

CTM Holdings Limited…………………………………………………………………………………………………………………….…

TAM Investment Limited…………………………………………………………………………………………………………………….

Threadneedle Asset Management Oversight Limited……………………………………………………………………………………

Ameriprise International Holdings GmbH……………………………………………………………………………………………

Threadneedle EMEA Holdings 1, LLC 47-3044011

Threadneedle Holdings Limited………………………………………………………………………………………………………………

TAM UK Holdings Limited……………………………………………………………………………………………………………

Threadneedle Asset Management Holdings Limited.……………………………………………………………………

Columbia Threadneedle Foundation………………………………………………………………………………

Columbia Threadneedle Pullman Promote Ltd …………………………………………………………………....

TC Financing Limited …………………………………………………………………………………………………

Threadneedle Asset Management Limited…………………………………………………………………

Threadneedle Investment Services Limited…………………………………………………………………

Threadneedle Asset Management (Nominees) Limited…………………………………………………………

Sackville TIPP Property (GP) Limited………………………………………………………………………

Threadneedle Asset Management Finance Limited………………………………………………………………

TMS Investment Limited ………………………………………………………………………………………

Threadneedle International Limited…………………………………………………………………………………

Threadneedle Investments (Channel Islands) Limited……………………………………………………………

Threadneedle Investments Limited …………………………………………………………………………………

Threadneedle Management Services Limited………………………………………………………………………

Threadneedle Navigator ISA Manager Limited……………………………………………………………………

Threadneedle Pensions Limited……………………………………………………………………………………

Threadneedle Portfolio Services AG…………………………………………………………………………………

Threadneedle Portfolio Services Limited……………………………………………………………………………

Threadneedle Property Investments Limited………………………………………………………………………

Sackville (CTESIF) 2&3 GP Sarl……………………………………………………………………………

Sackville LCW (GP) Limited…………………………………………………………………………………

Sackville UK Property Select II (GP) Limited………………………………………………………………

Sackville UK Property Select II (GP) No. 3 Limited………………………………………………………

Sackville UK Property Select III (GP) No. 1 Limited………………………………………………………

Sackville UK Property Select III (GP) No. 2 Limited………………………………………………………

Sackville UK Property Select III (GP) No. 3 Limited………………………………………………………

Sackville UK Property Select III (GP) S.à.r.l…………………………………………………………………

Sackville UK Property Select IV (GP) S.à.r.l………………………………………………………………

Sackville UK Property Select IV (GP) No. 1 Limited………………………………………………………

Sackville UK Property Select IV (GP) No. 2 Limited………………………………………………………

Sackville UK Property Select IV (GP) No. 3 Limited………………………………………………………

Threadneedle Management Luxembourg S.A.……………………………………………………………………………………………

Group Code

Group Name

NAIC

Company Code

Number

Federal RSSD

CIK

Name of Securities Exchange

if Publicly Traded (U.S. or

International)

Names of Parent, Subsidiaries

Or Affiliates

Domiciliary Location

Relationship

to Reporting Entity

Directly Controlled by (Name of Entity/Person)

Type of Control

(Ownership, Board, Management, Attorney-in-Fact, Influence, Other)

If Control is Ownership Provide Percentage

Ultimate Controlling Entity(ies)/Person(s)

Is an SCA

Filing Required?

(Yes/No)

.... ......

Ameriprise Financial, Inc. ..............

......... ........

13-3180631 ..

2433312 .....

820027 .......

NYSE ...........................

Ameriprise Financial, Inc. .......................

.. DE.....

...... UIP.......

........................................................

................................................

.. 0.000 ....

..................................................

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

27-0544454 ..

4283810 .....

................

................................

Ameriprise Advisor Capital, LLC ................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

88-3480093 ..

5785722 .....

................

................................

Ameriprise Advisor Financing 2, LLC ...........

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Ameriprise Asset Management Holdings

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5396119 .....

................

................................

Singapore (Pte.) Ltd. ..............................

..SGP.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Threadneedle Portfolio Services Hong Kong

Ameriprise Asset Management Holdings

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4293903 .....

................

................................

Limited .................................................

..HKG.....

...... NIA.......

Singapore (Pte.) Ltd. ...........................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Threadneedle Investments Japan Co.,

Ameriprise Asset Management Holdings

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5590935 .....

................

................................

Ltd. .....................................................

..JPN.....

...... NIA.......

Singapore (Pte.) Ltd. ...........................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Ameriprise Asset Management Holdings

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5396182 .....

................

................................

Columbia Threadneedle Malaysia Sdn Bhd. ......

..MYS.....

...... NIA.......

Singapore (Pte.) Ltd. ...........................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Threadneedle Investments Singapore (Pte.)

Ameriprise Asset Management Holdings

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4293873 .....

................

................................

Ltd. .....................................................

..SGP.....

...... NIA.......

Singapore (Pte.) Ltd. ...........................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

06-1791061 ..

3470239 .....

................

................................

Ameriprise Bank, FSB ...............................

.. US.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

45-6157641 ..

4285346 .....

................

................................

Ameriprise Capital Trust I .......................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

45-6157643 ..

4289755 .....

................

................................

Ameriprise Capital Trust II ......................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

45-6157644 ..

4289764 .....

................

................................

Ameriprise Capital Trust III ....................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

45-6157645 ..

4289773 .....

................

................................

Ameriprise Capital Trust IV ......................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

. 0004 ...

Ameriprise Financial, Inc. ..............

..... 12852 ....

20-5761939 ..

4289791 .....

................

................................

Ameriprise Captive Insurance Company .........

.. VT.....

.......IA........

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-6009975 ..

4054449 .....

................

................................

Ameriprise Certificate Company ..................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-0951695 ..

4285298 .....

................

................................

Investors Syndicate Development Corporation

.. NV.....

...... NIA.......

Ameriprise Certificate Company ...............

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

26-3878824 ..

4283856 .....

................

................................

Ameriprise Holdings, Inc. .........................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

99-3282920 ..

..............

................

................................

Ameriprise Installment Financing, LLC ........

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4289830 .....

................

................................

Ameriprise India LLP ...............................

..IND.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

.... 1 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

83-3396069 ..

5396342 .....

................

................................

Ameriprise India Partner, LLC ...................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-6219335 ..

994257 ......

................

................................

Ameriprise Trust Company ..........................

.. MN.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

38-2722519 ..

4289933 .....

................

................................

AMPF Holding, LLC ....................................

.. MI.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

American Enterprise Investment Services Inc.

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-1667086 ..

3255445 .....

................

................................

............................................................

.. MN.....

...... NIA.......

AMPF Holding Corporation .......................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-0973005 ..

4289942 .....

................

................................

Ameriprise Financial Services, LLC ............

.. DE.....

...... NIA.......

AMPF Holding Corporation .......................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

38-3050688 ..

4289951 .....

................

................................

AMPF Property Corporation ........................

.. MI.....

...... NIA.......

AMPF Holding Corporation .......................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

74-2629876 ..

..............

................

................................

Investment Professionals, Inc. ..................

.. TX.....

...... NIA.......

AMPF Holding Corporation .......................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5878941 .....

................

................................

CT Global Social Bond Fund .......................

..GBR.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

...74.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

42-1690915 ..

4291815 .....

................

................................

RiverSource Distributors, Inc. ..................

.. DE.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

. 0004 ...

Ameriprise Financial, Inc. ..............

..... 65005 ....

41-0823832 ..

2696715 .....

................

................................

RiverSource Life Insurance Company ............

.. MN.....

...... UDP.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

85-3063028 ..

5554601 .....

................

................................

Columbia Cent CLO Advisers, LLC ................

.. DE.....

...... NIA.......

RiverSource Life Insurance Company .........

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Cent CLO 27 Limited .................................

..CYM.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Cent CLO 28 Limited .................................

..CYM.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Cent CLO 30 Limited .................................

..CYM.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Cent CLO 31 Limited .................................

..CYM.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Cent CLO 32 Limited .................................

..CYM.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5950931 .....

................

................................

Cent CLO 33 Limited .................................

..JEY.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

6008530 .....

................

................................

Cent CLO 34 Limited .................................

..CYM.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

6054135 .....

................

................................

Cent CLO 35 Limited .................................

..CYM.....

...... NIA.......

Columbia Cent CLO Advisers, LLC .............

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

. 0004 ...

Ameriprise Financial, Inc. ..............

..... 80594 ....

41-0987741 ..

2718046 .....

................

................................

RiverSource Life Insurance Co. of New York ..

.. NY.....

.......RE........

RiverSource Life Insurance Company .........

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

RiverSource Life Insurance Co. of New York

.... ......

Ameriprise Financial, Inc. ..............

......... ........

27-0380139 ..

4289858 .....

................

................................

RiverSource NY REO, LLC ...........................

.. NY.....

.......DS........

.........................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

26-4164569 ..

4289867 .....

................

................................

RiverSource REO 1, LLC .............................

.. MN.....

...... NIA.......

RiverSource Life Insurance Company .........

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Group Code

Group Name

NAIC

Company Code

Number

Federal RSSD

CIK

Name of Securities Exchange

if Publicly Traded (U.S. or

International)

Names of Parent, Subsidiaries

Or Affiliates

Domiciliary Location

Relationship

to Reporting Entity

Directly Controlled by (Name of Entity/Person)

Type of Control

(Ownership, Board, Management, Attorney-in-Fact, Influence, Other)

If Control is Ownership Provide Percentage

Ultimate Controlling Entity(ies)/Person(s)

Is an SCA

Filing Required?

(Yes/No)

RiverSource Tax Advantaged Investments, Inc.

.... ......

Ameriprise Financial, Inc. ..............

......... ........

13-6178563 ..

4289876 .....

................

................................

............................................................

.. DE.....

...... NIA.......

RiverSource Life Insurance Company .........

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

....YES.....

..... .....

RiverSource Tax Advantaged Investments,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-1977631 ..

3945102 .....

................

................................

AEXP Affordable Housing Portfolio, LLC .......

.. DE.....

...... NIA.......

Inc. ..................................................

Ownership...................................

...66.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

RiverSource Tax Advantaged Investments,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

CREA Corporate Tax Credit Fund XXVIII, LLC .

.. DE.....

...... NIA.......

Inc. ..................................................

Ownership...................................

...99.990 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers, LLC

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-1533211 ..

4246169 .....

................

................................

............................................................

.. MN.....

...... NIA.......

Ameriprise Financial, Inc. ....................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-1624224 ..

4289979 .....

................

................................

Advisory Capital Strategies Group Inc. .......

.. MN.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Centurion CDO IV Limited ..........................

..CYM.....

...... NIA.......

LLC ....................................................

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

92-2626172 ..

5879322 .....

................

................................

Columbia Research Enhanced Real Estate ETF .

.. MA.....

...... NIA.......

LLC ....................................................

Ownership...................................

...64.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

33-2418768 ..

6051246 .....

................

................................

Columbia Credit Income Opportunities Fund ...

.. MA.....

...... NIA.......

LLC ....................................................

Ownership...................................

...51.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

6127123 .....

................

................................

CT QR Series Global Equity Active UCITS ETF

..IRL.....

...... NIA.......

LLC ....................................................

Ownership...................................

...59.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

39-3924213 ..

..............

................

................................

Columbia Research Enhanced Small Cap ETF ....

.. MA.....

...... NIA.......

LLC ....................................................

Ownership...................................

...81.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Research Enhanced International

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

39-3895786 ..

..............

................

................................

Equity ETF .............................................

.. MA.....

...... NIA.......

LLC ....................................................

Ownership...................................

...82.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

39-3977049 ..

..............

................

................................

Columbia Corporate Bond ETF ......................

.. MA.....

...... NIA.......

LLC ....................................................

Ownership...................................

...50.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

04-3519872 ..

4289997 .....

................

................................

Columbia Wanger Asset Management, LLC ........

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Emerging Global Advisors, LLC ...................

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

26-2639148 ..

4346854 .....

................

................................

GA Legacy, LLC ........................................

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

13-3043476 ..

2654434 .....

................

................................

J. & W. Seligman & Co. Incorporated ...........

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Distributors,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

13-3043478 ..

4292821 .....

................

................................

Inc. .....................................................

.. DE.....

...... NIA.......

J. & W. Seligman & Co. Incorporated ........

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

13-4200160 ..

4293145 .....

................

................................

Seligman Partners, LLC .............................

.. DE.....

...... NIA.......

J. & W. Seligman & Co. Incorporated ........

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

83-3869028 ..

5397732 .....

................

................................

Lionstone BBP Limited Partner, LLC ............

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

88-2297839 ..

5783513 .....

................

................................

Lionstone CREAD Partners Two, LLC ..............

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

84-3717367 ..

5930063 .....

................

................................

Lionstone CREAD GP, LLC ...........................

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

88-2297682 ..

5782794 .....

................

................................

Lionstone LORE Two, LLC ...........................

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

76-0694729 ..

5394777 .....

................

................................

Lionstone Partners, LLC ...........................

.. TX.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

47-1271089 ..

5396315 .....

................

................................

Lionstone CFRE II Real Estate Advisory, LLC

.. DE.....

...... NIA.......

Lionstone Partners, LLC ........................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Lionstone Raleigh Development Partners GP,

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

86-1575183 ..

5584671 .....

................

................................

LLC .......................................................

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Lionstone Raleigh Development Partners GP,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

88-2822913 ..

5834349 .....

................

................................

Lionstone RDP Co-Investment Fund 1 GP, LLC .

.. DE.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Columbia Management Investment Advisers,

.... ......

Ameriprise Financial, Inc. ..............

......... ........

87-0812264 ..

4290126 .....

................

................................

RiverSource CDO Seed Investments, LLC ........

.. MN.....

...... NIA.......

LLC ....................................................

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

13.1

Group Code

Group Name

NAIC

Company Code

Number

Federal RSSD

CIK

Name of Securities Exchange

if Publicly Traded (U.S. or

International)

Names of Parent, Subsidiaries

Or Affiliates

Domiciliary Location

Relationship

to Reporting Entity

Directly Controlled by (Name of Entity/Person)

Type of Control

(Ownership, Board, Management, Attorney-in-Fact, Influence, Other)

If Control is Ownership Provide Percentage

Ultimate Controlling Entity(ies)/Person(s)

Is an SCA

Filing Required?

(Yes/No)

.... ......

Ameriprise Financial, Inc. ..............

......... ........

99-1086736 ..

..............

................

................................

Seligman Healthcare Spectrum Fund, LLC .......

Columbia Management Investment Services Corp.

............................................................

Columbia Threadneedle Investments UK International Limited ..............................

Columbia Threadneedle (Europe) Limited .......

Columbia Threadneedle AM (Holdings) Limited

Astraeus III GP LLP .................................

Astraeus III FP LP ..................................

Columbia Threadneedle Capital (Group) Limited

............................................................

Columbia Threadneedle Capital (Holdings) Limited .................................................

Columbia Threadneedle Capital (UK) Limited . Columbia Threadneedle Multi-Manager LLP ...... Thames River Capital LLP ..........................

Columbia Threadneedle Group (Holdings) Limited .................................................

Columbia Threadneedle Group (Management) Limited .................................................

Columbia Threadneedle Holdings Limited ....... Columbia Threadneedle Management Limited .... FCEM Holdings (UK) Limited .......................

Columbia Threadneedle Netherlands B.V. .......

Columbia Threadneedle Treasury Limited .......

WAM Holdings Ltd .....................................

Columbia Threadneedle Fund Management Limited

............................................................

Columbia Threadneedle (Services) Limited ....

Columbia Threadneedle Management (Swiss) GmbH

............................................................

Columbia Threadneedle Investment Business Limited .................................................

Columbia Threadneedle PE Co-Investment GP LLP

............................................................

FCIT PE FP LP .........................................

Columbia Threadneedle PE Co-Investment FP LP

............................................................

Columbia Threadneedle Real Estate Partners LLP .......................................................

.. DE.....

...... NIA.......

Columbia Management Investment Advisers, LLC ....................................................

Ameriprise Financial, Inc. ....................

Ameriprise Financial, Inc. .................... Columbia Threadneedle Investments UK International Limited ........................... Columbia Threadneedle (Europe) Limited .... Columbia Threadneedle AM (Holdings) Limited

.........................................................

Astraeus III GP LLP ..............................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle Capital (Group) Limited ..............................................

Columbia Threadneedle Capital (Holdings) Limited ..............................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle Group (Holdings) Limited ..............................................

Columbia Threadneedle Group (Management) Limited ..............................................

Columbia Threadneedle Holdings Limited .... Columbia Threadneedle Management Limited .. Columbia Threadneedle Group (Holdings) Limited ..............................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle Treasury Limited ....

WAM Holdings Ltd ..................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle Co-Investment GP LLP

.........................................................

Columbia Threadneedle Co-Investment GP LLP

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Influence...................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

41-1861053 ..

4291776 .....

................

................................

.. MN.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5680171 .....

5680180 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

..GBR.....

...... NIA.......

Other.........................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

.... 5 .....

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684133 .....

................

................................

..CYM.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684311 .....

................

................................

..CYM.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684320 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684348 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684339 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5683668 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5683725 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

04-3219301 ..

...............

5683734 .....

5683770 .....

5683800 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5683686 .....

................

................................

..NLD.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684076 .....

5684085 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684106 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684030 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684067 .....

................

................................

..CHE.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684021 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684759 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

.... 5 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684777 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

...50.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

.... 3 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684768 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

...50.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

.... 3 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684870 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

.... 4 .....

13.2

Group Code

Group Name

NAIC

Company Code

Number

Federal RSSD

CIK

Name of Securities Exchange

if Publicly Traded (U.S. or

International)

Names of Parent, Subsidiaries

Or Affiliates

Domiciliary Location

Relationship

to Reporting Entity

Directly Controlled by (Name of Entity/Person)

Type of Control

(Ownership, Board, Management, Attorney-in-Fact, Influence, Other)

If Control is Ownership Provide Percentage

Ultimate Controlling Entity(ies)/Person(s)

Is an SCA

Filing Required?

(Yes/No)

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5685149 .....

................

................................

Columbia Threadneedle Real Estate Partners S.à.r.l. ................................................

CT Real Estate Partners GmbH & Co. KG, München .................................................

CT Real Estate Partners Verwaltungsgesellschaft mbH, München (General Partner) ................................................

Columbia Threadneedle Real Estate Partners Asset Management Limited .......................... Columbia Threadneedle REP Property Management Limited .................................................

..LUX.....

...... NIA.......

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle Real Estate Partners S.à.r.l. .............................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Castle Mount Impact Partners GP LLP ........

Columbia Threadneedle AM (Holdings) Limited

.........................................................

F&C Aurora (GP) Limited ........................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

F&C Climate Opportunity Partners (GP) Limited ..............................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

F&C European Capital Partners II (GP) Limited ..............................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle AM (Holdings) Limited

.........................................................

FP Asset Management Holdings Limited .......

Columbia Threadneedle AM (Holdings) Limited

.........................................................

Columbia Threadneedle Investments UK International Limited ........................... Columbia Threadneedle Investments UK International Limited ...........................

Ameriprise Financial, Inc. ....................

TAM UK International Holdings Limited ...... TAM UK International Holdings Limited ...... TAM UK International Holdings Limited ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5685130 .....

................

................................

..DEU.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684898 .....

................

................................

..DEU.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684928 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684937 .....

................

................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Castle Mount Impact Partners GP LLP ...........

Castle Mount Impact Partners FP LP ............

..GBR.....

...... NIA.......

Other.........................................

... 0.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

.... 5 .....

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684357 .....

5684366 .....

5684384 .....

................

................................

F&C Aurora (GP) Limited ...........................

The Aurora Fund (Founder Partner) LP .......... F&C Climate Opportunity Partners (GP) Limited .................................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

...50.000 ....

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

.... 5 .....

.... 3 .....

.... 5 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684405 .....

5684393 .....

................

................................

F&C Climate Opportunity Partners (GP) LP .... F&C Climate Opportunity Partners (Founder Partner) LP ............................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

...50.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

.... 6 .....

.... 3 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

F&C Equity Partners Holdings Limited ..........

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684432 .....

5684517 .....

5684526 .....

................

................................

F&C European Capital Partners (GP) Limited . F&C European Capital Partners II (GP) Limited .................................................

F&C European Capital Partners II (Founder Partner) LP ............................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

...48.550 ....

Ameriprise Financial, Inc. ...............

.... NO......

.... 5 .....

.... 3 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684535 .....

................

................................

F&C European Capital Partners II (GP) LP ....

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

.... 6 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5684012 .....

................

................................

F&C Group ESOP Trustee Limited ..................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5683846 .....

5683855 .....

................

................................

FP Asset Management Holdings Limited ..........

Columbia Threadneedle Asset Managers Limited

............................................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

98-1089286 ..

..............

5680201 .....

................

................................

Ivory & Sime Limited ...............................

Columbia Threadneedle (EM) Investments Limited .................................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

98-0651721 ..

...............

5680199 .....

5555381 .....

..............

5396089 .....

4293574 .....

................

................................

Pyrford International Limited ................... TAM UK International Holdings Limited ........ Columbia Threadneedle Investments (ME) Limited ................................................. CTM Holdings Limited ................................

TAM Investment Limited .............................

..GBR.....

..ARE.....

..MLT.....

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

13.3

Group Code

Group Name

NAIC

Company Code

Number

Federal RSSD

CIK

Name of Securities Exchange

if Publicly Traded (U.S. or

International)

Names of Parent, Subsidiaries

Or Affiliates

Domiciliary Location

Relationship

to Reporting Entity

Directly Controlled by (Name of Entity/Person)

Type of Control

(Ownership, Board, Management, Attorney-in-Fact, Influence, Other)

If Control is Ownership Provide Percentage

Ultimate Controlling Entity(ies)/Person(s)

Is an SCA

Filing Required?

(Yes/No)

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5555390 .....

................

................................

Threadneedle Asset Management Oversight Limited .................................................

..GBR.....

...... NIA.......

TAM UK International Holdings Limited ...... Threadneedle Asset Management Oversight Limited ..............................................

TAM UK International Holdings Limited ...... TAM UK International Holdings Limited ...... Threadneedle Holdings Ltd ......................

TAM UK Holdings Ltd ..............................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

TC Financing Limited .............................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management (Nominees) Ltd ....................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Finance Ltd Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Asset Management Holdings Ltd

.........................................................

Threadneedle Property Investments Ltd ......

Threadneedle Property Investments Ltd ...... Threadneedle Property Investments Ltd ...... Threadneedle Property Investments Ltd ......

Threadneedle Property Investments Ltd ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

47-3044011 ..

...............

5394759 .....

5394740 .....

4294339 .....

4294348 .....

4294357 .....

................

................................

Ameriprise International Holdings GmbH .......

Threadneedle EMEA Holdings 1, LLC ..............

Threadneedle Holdings Limited ....................

TAM UK Holdings Limited ...........................

Threadneedle Asset Management Holdings Limited .................................................

..CHE.....

.. MN.....

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... 2 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5395895 .....

................

................................

Columbia Threadneedle Foundation ...............

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

6124074 .....

................

................................

Columbia Threadneedle Pullman Promote Ltd. ..

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

98-0691981 ..

98-0691982 ..

...............

4294535 .....

4294469 .....

4294571 .....

4294478 .....

................

................................

TC Financing Limited ...............................

Threadneedle Asset Management Limited ......... Threadneedle Investment Services Limited .... Threadneedle Asset Management (Nominees) Limited .................................................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4294526 .....

4294441 .....

4294450 .....

................

................................

Sackville TIPP Property (GP) Limited .........

Threadneedle Asset Management Finance Limited

............................................................

TMS Investment Limited .............................

..GBR.....

..JEY.....

...... NIA.......

Ownership...................................

.. 100.000 ...

...44.000 ....

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... 2 .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4294553 .....

4294599 .....

................

................................

Threadneedle International Limited ............. Threadneedle Investments (Channel Islands) Limited .................................................

..GBR.....

..JEY.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4294393 .....

................

................................

Threadneedle Investments Limited ...............

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5428597 .....

................

................................

Threadneedle Management Services Limited ....

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4294786 .....

................

................................

Threadneedle Navigator ISA Manager Limited ..

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4294795 .....

................

................................

Threadneedle Pensions Limited ...................

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5448894 .....

................

................................

Threadneedle Portfolio Services AG .............

..CHE.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4294982 .....

................

................................

Threadneedle Portfolio Services Limited ......

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

4294991 .....

..............

4295028 .....

5395961 .....

5396007 .....

5561131 .....

................

................................

Threadneedle Property Investments Limited ...

Sackville (CTESIF) 2&3 GP Sarl .................

Sackville LCW (GP) Limited .......................

Sackville UK Property Select II (GP) Limited

............................................................

Sackville UK Property Select II (GP) No. 3 Limited .................................................

Sackville UK Property Select III (GP) No. 1 Limited .................................................

..GBR.....

..LUX.....

..GBR.....

...... NIA.......

Ownership...................................

.. 100.000 ...

...33.000 ....

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

13.4

Group Code

Group Name

NAIC

Company Code

Number

Federal RSSD

CIK

Name of Securities Exchange

if Publicly Traded (U.S. or

International)

Names of Parent, Subsidiaries

Or Affiliates

Domiciliary Location

Relationship

to Reporting Entity

Directly Controlled by (Name of Entity/Person)

Type of Control

(Ownership, Board, Management, Attorney-in-Fact, Influence, Other)

If Control is Ownership Provide Percentage

Ultimate Controlling Entity(ies)/Person(s)

Is an SCA

Filing Required?

(Yes/No)

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

Sackville UK Property Select III (GP) No. 2 Limited .................................................

Sackville UK Property Select III (GP) No. 3 Limited .................................................

Sackville UK Property Select III (GP) S.à.r.l. ................................................

Sackville UK Property Select IV (GP) S.à.r.l. ................................................

Sackville UK Property Select IV (GP) No. 1 Limited .................................................

Sackville UK Property Select IV (GP) No. 2 Limited .................................................

Sackville UK Property Select IV (GP) No. 3 Limited .................................................

Threadneedle Management Luxembourg S.A. ......

..GBR.....

...... NIA.......

Threadneedle Property Investments Ltd ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

..GBR.....

...... NIA.......

Threadneedle Property Investments Ltd ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

5533651 .....

................

................................

..LUX.....

...... NIA.......

Threadneedle Property Investments Ltd ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

..LUX.....

...... NIA.......

Threadneedle Property Investments Ltd ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

..GBR.....

...... NIA.......

Threadneedle Property Investments Ltd ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

................

................................

..GBR.....

...... NIA.......

Threadneedle Property Investments Ltd ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

.... ......

Ameriprise Financial, Inc. ..............

......... ........

...............

..............

4293882 .....

................

................................

..GBR.....

..LUX.....

...... NIA.......

Threadneedle Property Investments Ltd ......

TAM UK International Holdings Limited ......

Ownership...................................

.. 100.000 ...

Ameriprise Financial, Inc. ...............

.... NO......

..... .....

Asterisk

Explanation

1 .................

Ameriprise Financial, Inc. owns a 100% profit sharing ratio with capital contribution of 124,078,760 INR (Indian currency=rupees) and 10 INR are owned each by Columbia Management Investment Advisers, LLC and Ameriprise India Partner, LLC. ....................................................................................................

2 .................

Ownership percentage indicates voting shares only. ............................................................................................................................................................................................................................................................................................................................................................................................

3 .................

Columbia Threadneedle AM (Holdings) Limited owns a percentage of the entity. .....................................................................................................................................................................................................................................................................................................................................................

4 .................

Columbia Threadneedle Treasury Limited holds 1 unit. .........................................................................................................................................................................................................................................................................................................................................................................................

5 .................

In the UK, legally the private equity funds are considered to be subsidiaries of the General Partner, however we do not consolidate these in our Group hence they are not included in our Group structure or in the list above. ........................................................................................................................

6 .................

The General Partner is a Group company, the Limited partner is a Group employee. ...............................................................................................................................................................................................................................................................................................................................................

13.5

SUPPLEMENTAL EXHIBITS AND SCHEDULES INTERROGATORIES

The following supplemental reports are required to be filed as part of your statement filing. However, in the event that your company does not transact the type of business for which the special report must be filed, your response of NO to the specific interrogatory will be accepted in lieu of filing a "NONE" report and a bar code will be printed below. If the supplement is required of your company but is not being filed for whatever reason enter SEE EXPLANATION and provide an explanation following the interrogatory questions.

Response

Will the Trusteed Surplus Statement be filed with the state of domicile and the NAIC with this statement? ............................................. NO

Will the Medicare Part D Coverage Supplement be filed with the state of domicile and the NAIC with this statement? ........................... NO

Will the Reasonableness of Assumptions Certification required by Actuarial Guideline XXXV be filed with the state of domicile and

electronically with the NAIC? ...................................................................................................................................................................... NO

Will the Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXV be filed with the state of

domicile and electronically with the NAIC? ................................................................................................................................................. NO

Will the Reasonableness of Assumptions Certification for Implied Guaranteed Rate Method required by Actuarial Guideline XXXVI be

filed with the state of domicile and electronically with the NAIC? ............................................................................................................... NO

Will the Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXVI (Updated Average

Market Value) be filed with the state of domicile and electronically with the NAIC? ................................................................................... NO

Will the Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXVI (Updated Market Value)

be filed with the state of domicile and electronically with the NAIC? .......................................................................................................... YES

Will the Life PBR Statement of Exemption be filed with the state of domicile by July 1st and electronically with the NAIC with the second quarterly filing per the Valuation Manual (by August 15)? (2nd Quarter Only) The response for 1st and 3rd quarters should be N/A. A NO response resulting with a bar code is only appropriate in the 2nd quarter. In the case of an ongoing statement of exemption,

enter "SEE EXPLANATION" and provide as an explanation that the company is utilizing an ongoing statement of exemption. .............. N/A

AUGUST FILING

Will the regulator-only (non-public) Communication of Internal Control Related Matters Noted in Audit be filed with the state of domicile and electronically with the NAIC (as a regulator-only non-public document) by August 1? The response for 1st and 3rd quarters should

be N/A. A NO response resulting with a bar code is only appropriate in the 2nd quarter. .......................................................................... N/A

Explanation:

Not applicable

Bar Code:

Trusteed Surplus Statement [Document Identifier 490]

Medicare Part D Coverage Supplement [Document Identifier 365]

Reasonableness of Assumptions Certification required by Actuarial Guideline XXXV [Document Identifier 445]

Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXV [Document Identifier 446]

Reasonableness of Assumptions Certification for Implied Guaranteed Rate Method required by Actuarial Guideline XXXVI [Document Identifier 447]

Reasonableness and Consistency of Assumptions Certification required by Actuarial Guideline XXXVI [Document Identifier 448]

OVERFLOW PAGE FOR WRITE-INS

Additional Write-ins for Assets Line 25

Current Statement Date

December 31 Prior Year Net Admitted Assets

Assets

Nonadmitted Assets

Net Admitted Assets (Cols. 1 - 2)

2504. Miscellaneous assets ...................................................................................

2597. Summary of remaining write-ins for Line 25 from overflow page

. 1,918,973

1,918,973

. 49,279

49,279

. 1,869,694

1,869,694

. 1,667,316

1,667,316

Real Estate

Year to Date

Prior Year Ended December 31

Book/adjusted carrying value, December 31 of prior year .......................................................................................................

Cost of acquired:

Actual cost at time of acquisition .......................................................................................................................................

Additional investment made after acquisitionN.........................O.............................N...........................E..................................

Current year change in encumbrances ....................................................................................................................................

Total gain (loss) on disposals ..................................................................................................................................................

Deduct amounts received on disposals ...................................................................................................................................

Total foreign exchange change in book/adjusted carrying value .............................................................................................

Deduct current year's other than temporary impairment recognized .......................................................................................

Deduct current year's depreciation ..........................................................................................................................................

Book/adjusted carrying value at the end of current period (Lines 1+2+3+4-5+6-7-8) .............................................................

Deduct total nonadmitted amounts ..........................................................................................................................................

Statement value at end of current period (Line 9 minus Line 10)

....................................

Mortgage Loans

Year to Date

Prior Year Ended December 31

Book value/recorded investment excluding accrued interest, December 31 of prior year .......................................................

Cost of acquired:

Actual cost at time of acquisition .......................................................................................................................................

Additional investment made after acquisition ....................................................................................................................

Capitalized deferred interest and other ....................................................................................................................................

Accrual of discount ...................................................................................................................................................................

Unrealized valuation increase/(decrease) ................................................................................................................................

Total gain (loss) on disposals ..................................................................................................................................................

Deduct amounts received on disposals ...................................................................................................................................

Deduct amortization of premium and mortgage interest points and commitment fees ............................................................

Total foreign exchange change in book value/recorded investment excluding accrued interest .............................................

Deduct current year's other than temporary impairment recognized .......................................................................................

Book value/recorded investment excluding accrued interest at end of current period (Lines 1+2+3+4+5+6-7-8+9-10) .........

Total valuation allowance .........................................................................................................................................................

Subtotal (Line 11 plus Line 12) ................................................................................................................................................

Deduct total nonadmitted amounts ..........................................................................................................................................

Statement value at end of current period (Line 13 minus Line 14)

. 116,921,795

...................................

. 2,739,686

...................................

. 114,182,109

...................................

. 114,182,109

...................................

114,182,109

. 131,081,314

...................................

. 14,159,519

...................................

. 116,921,795

...................................

. 116,921,795

...................................

116,921,795

Other Long-Term Invested Assets

Year to Date

Prior Year Ended December 31

Book/adjusted carrying value, December 31 of prior year .......................................................................................................

Cost of acquired:

Actual cost at time of acquisition .......................................................................................................................................

Additional investment made after acquisition ....................................................................................................................

Capitalized deferred interest and other ....................................................................................................................................

Accrual of discount ...................................................................................................................................................................

Unrealized valuation increase/(decrease) ................................................................................................................................

Total gain (loss) on disposals ..................................................................................................................................................

Deduct amounts received on disposals ...................................................................................................................................

Deduct amortization of premium, depreciation and proportional amortization .........................................................................

Total foreign exchange change in book/adjusted carrying value .............................................................................................

Deduct current year's other than temporary impairment recognized .......................................................................................

Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5+6-7-8+9-10) .........................................................

Deduct total nonadmitted amounts ..........................................................................................................................................

Statement value at end of current period (Line 11 minus Line 12)

. 115,096

...................................

. 115,096

...................................

115,096

. 115,096

...................................

. 115,096

...................................

115,096

Bonds and Stocks

Year to Date

Prior Year Ended December 31

Book/adjusted carrying value of bonds and stocks, December 31 of prior year ......................................................................

Cost of bonds and stocks acquired ..........................................................................................................................................

Accrual of discount ..................................................................................................................................................................

Unrealized valuation increase/(decrease) ................................................................................................................................

Total gain (loss) on disposals ..................................................................................................................................................

Deduct consideration for bonds and stocks disposed of .........................................................................................................

Deduct amortization of premium ..............................................................................................................................................

Total foreign exchange change in book/adjusted carrying value .............................................................................................

Deduct current year's other than temporary impairment recognized .......................................................................................

Total investment income recognized as a result of prepayment penalties and/or acceleration fees .......................................

Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5-6-7+8-9+10) .........................................................

Deduct total nonadmitted amounts ..........................................................................................................................................

Statement value at end of current period (Line 11 minus Line 12)

. 1,519,288,945

. 17,045,985

. 702,960

...................................

. (147,420)

. 34,463,846

. 853,075

...................................

. 364,063

. 1,501,937,612

...................................

1,501,937,612

. 1,545,512,974

. 212,962,209

. 2,698,144

...................................

. (836,503)

. 236,727,308

. 3,521,760

...................................

. (798,811)

. 1,519,288,945

...................................

1,519,288,945

STATEMENT AS OF MARCH 31, 2026 OF THE RIVERSOURCE LIFE INSURANCE CO. OF NEW YORK

Showing the Acquisitions, Dispositions and Non-Trading Activity

SI02

During the Current Quarter for all Bonds and Preferred Stock by NAIC Designation

NAIC Designation

Book/Adjusted Carrying Value Beginning

of Current Quarter

Acquisitions During

Current Quarter

Dispositions During

Current Quarter

Non-Trading Activity During

Current Quarter

Book/Adjusted Carrying Value End of

First Quarter

Book/Adjusted Carrying Value End of

Second Quarter

Book/Adjusted Carrying Value End of

Third Quarter

Book/Adjusted Carrying Value December 31 Prior Year

ISSUER CREDIT OBLIGATIONS (ICO)

. 317,788,418

. 760,422,490

. 22,958,117

. 3,192,352

...................................

100

. 378,078,670

. 750,699,112

. 33,545,209

. 2,527,328

...................................

100

. 317,788,418

. 760,422,490

. 22,958,117

. 3,192,352

...................................

100

NAIC 1 (a) ....................................................................................................................................................

NAIC 2 (a) ....................................................................................................................................................

NAIC 3 (a) ....................................................................................................................................................

NAIC 4 (a) ....................................................................................................................................................

NAIC 5 (a) ....................................................................................................................................................

NAIC 6 (a) ....................................................................................................................................................

Total ICO

. 116,619,283

. 4,877,335,206

...................................

. 56,321,750

. 4,877,472,240

. 388,000

. 660,000

...................................

. (7,281)

. (9,586,344)

. 10,975,092

. (5,024)

...................................

1,104,361,477

4,993,954,489

4,934,841,990

1,376,443

1,164,850,419

1,104,361,477

ASSET-BACKED SECURITIES (ABS)

NAIC 1 .........................................................................................................................................................

NAIC 2 .........................................................................................................................................................

NAIC 3 .........................................................................................................................................................

NAIC 4 .........................................................................................................................................................

NAIC 5 .........................................................................................................................................................

NAIC 6 ..........................................................................................................................................................

Total ABS

. 533,846,587

. 1,530,196

...................................

. 4,999,985

...................................

. 10,731,357

. 856

...................................

. (96,826)

. (4,718)

...................................

. 528,018,389

. 1,524,622

...................................

. 533,846,587

. 1,530,196

...................................

535,376,783

4,999,985

10,732,213

(101,544)

529,543,011

535,376,783

PREFERRED STOCK

NAIC 1 .........................................................................................................................................................

NAIC 2 .........................................................................................................................................................

NAIC 3 .........................................................................................................................................................

NAIC 4 .........................................................................................................................................................

NAIC 5 .........................................................................................................................................................

NAIC 6 .........................................................................................................................................................

Total Preferred Stock ...................................................................................................................................

Total ICO, ABS & Preferred Stock

...................................

1,639,738,260

4,998,954,474

4,945,574,203

1,274,899

1,694,393,430

1,639,738,260

Book/Adjusted Carrying Value column for the end of the current reporting period includes the following amount of short-term and cash equivalent bonds by NAIC designation:

NAIC 1 $ ................. 69,681,171 ; NAIC 2 $ ................122,774,647 ; NAIC 3 $ ................................... NAIC 4 $ ................................... ; NAIC 5 $ ................................... ; NAIC 6 $ ...................................

Short-Term Investments

Book/Adjusted Carrying Value

Par Value

Actual Cost

Interest Collected Year-to-Date

Paid for Accrued Interest Year-to-Date

7709999999 Totals

XXX

Short-Term Investments

Year To Date

Prior Year Ended December 31

....................................

Book/adjusted carrying value, December 31 of prior year .......................................................................................................

Cost of short-term investments acquired .................................................................................................................................

Accrual of discount ...................................................................................................................................................................

Unrealized valuation increase/(decrease) .........N...........................O..............................N...........................E...................................

Total gain (loss) on disposals ..................................................................................................................................................

Deduct consideration received on disposals ............................................................................................................................

Deduct amortization of premium ..............................................................................................................................................

Total foreign exchange change in book/adjusted carrying value .............................................................................................

Deduct current year's other than temporary impairment recognized .......................................................................................

Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5-6-7+8-9) ...............................................................

Deduct total nonadmitted amounts ..........................................................................................................................................

Statement value at end of current period (Line 10 minus Line 11)

Options, Caps, Floors, Collars, Swaps and Forwards

Book/adjusted carrying value, December 31, prior year (Line 10, prior year) ............................................................................................................. (69,802,772)

Cost paid/(consideration received) on additions .......................................................................................................................................................... 1,719,604

Unrealized valuation increase/(decrease) ................................................................................................................................................................... (8,088,938)

SSAP No. 108 adjustments ......................................................................................................................................................................................... ...................................

Total gain (loss) on termination recognized ................................................................................................................................................................. 1,240,743

Considerations received/(paid) on terminations .......................................................................................................................................................... 2,833,762

Amortization ................................................................................................................................................................................................................. (1,642,483)

Adjustment to the book/adjusted carrying value of hedged item ................................................................................................................................. ...................................

Total foreign exchange change in book/adjusted carrying value ................................................................................................................................. ...................................

Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5-6+7+8+9) ................................................................................................. (79,407,607)

Deduct nonadmitted assets ......................................................................................................................................................................................... ...................................

Statement value at end of current period (Line 10 minus Line 11) .............................................................................................................................. (79,407,607)

Futures Contracts

Book/adjusted carrying value, December 31 of prior year (Line 6, prior year) 3,394,964

Cumulative cash change (Section 1, Broker Name/Net Cash Deposits Footnote - Cumulative Cash Change column) (14,848,943)

Add:

Change in variation margin on open contracts - highly effective hedges

Section 1, Column 15, current year to date minus ............................... ...................................

Section 1, Column 15, prior year .......................................................... ................................... ...................................

Change in variation margin on open contracts - all other

Section 1, Column 18, current year to date minus ............................... 15,098,883

Section 1, Column 18, prior year .......................................................... ...................... 226,938 ................. 14,871,945 14,871,945

Add:

Change in adjustment to basis of hedged item

Section 1, Column 17, current year to date minus ............................... ...................................

Section 1, Column 17, prior year .......................................................... ................................... ...................................

Change in amount recognized

Section 1, Column 19, current year to date minus ............................... 15,098,883

Section 1, Column 19, prior year plus .................................................. 226,938

SSAP No. 108 adjustments .................................................................. ................................... ................. 14,871,945 14,871,945

Subtotal (Line 3.1 minus Line 3.2) .................................................................................................................................................................................. ...................................

Cumulative variation margin on terminated contracts during the year 6,273,568

Less:

Amount used to adjust basis of hedged item ....................................... ...................................

Amount recognized .............................................................................. 6,273,568

SSAP No. 108 adjustments .................................................................. ................................... 6,273,568

Subtotal (Line 4.1 minus Line 4.2) .................................................................................................................................................................................. ...................................

Dispositions gains (losses) on contracts terminated in prior year:

Total gain (loss) recognized for terminations in prior year ........................................................................................................................................ ...................................

Total gain (loss) adjusted into the hedged item(s) for terminations in prior year ...................................................................................................... ...................................

Book/adjusted carrying value at end of current period (Lines 1+2+3.3-4.3-5.1-5.2) (11,453,979)

Deduct total nonadmitted amounts ................................................................................................................................................................................. ...................................

Statement value at end of current period (Line 6 minus Line 7) (11,453,979)

Schedule DB - Part C - Section 1 - Replication (Synthetic Asset) Transactions (RSATs) Open

Schedule DB-Part C-Section 2-Reconciliation of Replication (Synthetic Asset) Transactions Open

Verification of Book/Adjusted Carrying Value, Fair Value and Potential Exposure of all Open Derivative Contracts

Book/Adjusted Carrying Value Check

1. Part A, Section 1, Column 14...................................................................................................................................................

. (79,407,607)

2. Part B, Section 1, Column 15 plus Part B, Section 1 Footnote - Total Ending Cash Balance.................................................

. (11,453,979)

3. Total (Line 1 plus Line 2) .........................................................................................................................................................

. (90,861,587)

4. Part D, Section 1, Column 6 ...................................................................................................................................................

. 104,183,407

5. Part D, Section 1, Column 7 ...................................................................................................................................................

. (195,044,994)

6. Total (Line 3 minus Line 4 minus Line 5) ................................................................................................................................

...................................

Fair Value Check

Part A, Section 1, Column 16 ..................................................................................................................................................

. (79,407,607)

Part B, Section 1, Column 13 ..................................................................................................................................................

. (11,453,979)

Total (Line 7 plus Line 8) .........................................................................................................................................................

. (90,861,587)

10.

Part D, Section 1, Column 9 ...................................................................................................................................................

. 104,791,032

11.

Part D, Section 1, Column 10 .................................................................................................................................................

. (195,652,618)

Total (Line 9 minus Line 10 minus Line 11) ............................................................................................................................

...................................

Potential Exposure Check

13. Part A, Section 1, Column 21 .................................................................................................................................................

. 27,427,493

14. Part B, Section 1, Column 20 .................................................................................................................................................

. 35,411,600

15. Part D, Section 1, Column 12 .................................................................................................................................................

. 62,839,093

16. Total (Line 13 plus Line 14 minus Line 15) .............................................................................................................................

...................................

(Cash Equivalents)

Year To Date

Prior Year Ended December 31

Book/adjusted carrying value, December 31 of prior year .......................................................................................................

Cost of cash equivalents acquired ...........................................................................................................................................

Accrual of discount ..................................................................................................................................................................

Unrealized valuation increase/(decrease) ...............................................................................................................................

Total gain (loss) on disposals ..................................................................................................................................................

Deduct consideration received on disposals ...........................................................................................................................

Deduct amortization of premium ..............................................................................................................................................

Total foreign exchange change in book/adjusted carrying value .............................................................................................

Deduct current year's other than temporary impairment recognized .......................................................................................

Book/adjusted carrying value at end of current period (Lines 1+2+3+4+5-6-7+8-9) ...............................................................

Deduct total nonadmitted amounts ..........................................................................................................................................

Statement value at end of current period (Line 10 minus Line 11)

. 120,449,315

. 4,981,908,489

. 1,425,014

...................................

. 4,911,327,000

...................................

. 192,455,818

...................................

192,455,818

. 145,762,815

. 21,140,274,890

. 6,196,611

...................................

. 21,171,785,000

...................................

. 120,449,315

...................................

120,449,315

Showing All Real Estate ACQUIRED AND ADDITIONS MADE During the Current Quarter

Description of Property

Location

Date Acquired

Name of Vendor

Actual Cost at Time of Acquisition

Amount of Encumbrances

Book/Adjusted Carrying Value

Less Encumbrances

Additional Investment Made After Acquisition

City

State

.............................................................................................

....................................................................

..................N..................

.......O........... ..................

N.........................E....................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

............................................................................................

...................................................................

.................. ..................

...........................................................................................

....................................

0399999 - Totals

E01

Description of Property

Location

Disposal Date

Name of Purchaser

Actual Cost

Expended for Additions, Permanent Improvements and Changes in Encumbrances

Book/ Adjusted Carrying Value Less Encumbrances Prior

Year

Change in Book/Adjusted Carrying Value Less Encumbrances

Book/ Adjusted Carrying Value Less Encumbrances

on Disposal

Amounts Received During Year

Foreign Exchange Gain (Loss)

on Disposal

Realized Gain (Loss) on Disposal

Total Gain (Loss) on Disposal

Gross Income Earned Less Interest Incurred on Encumbrances

Taxes, Repairs and Expenses Incurred

City

State

Current Year's Depreciation

Current Year's Other-Than-Temporary Impairment Recognized

Current Year's Change in Encumbrances

Total Change in Book/ Adjusted Carrying Value

(11-9-10)

Total Foreign Exchange Change in Book/ Adjusted Carrying Value

..............................................

..................................

.............. .............

.......... .........

..............................................

..N................

..................

O..................

N..................

....E..............

..................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

...........................................

..................................

.............. .............

....................

.............................................

...................

0399999 - Totals

Showing All Real Estate DISPOSED During the Quarter, Including Payments During the Final Year on "Sales Under Contract"

Showing All Mortgage Loans ACQUIRED AND ADDITIONS MADE During the Current Quarter

Loan Number

Location

Loan Type

Date Acquired

Rate of Interest

Actual Cost at Time of Acquisition

Additional Investment Made After Acquisition

Value of Land and Buildings

City

State

.......................................

...................................................................................

..........................................

................... ......................

..........N......... ...........O...........

................... ......................

........... ...........

...........N...........

........... ...........

...........................

.......E....... .............

...........................

............................

.....................................

......................................

.....................................

......................................

.....................................

3399999 - Totals

E02

Showing All Mortgage Loans DISPOSED, Transferred or Repaid During the Current Quarter

Loan Number

Location

Loan Type

Date Acquired

Disposal Date

Book Value/ Recorded Investment Excluding Accrued Interest Prior Year

Change in Book Value/Recorded Investment

Book Value/ Recorded Investment Excluding Accrued Interest on Disposal

Consideration

Foreign Exchange Gain (Loss) on Disposal

Realized Gain (Loss) on Disposal

Total Gain (Loss) on Disposal

City

State

Unrealized Valuation Increase/ (Decrease)

Current Year's (Amortization)

/Accretion

Current Year's Other-Than-Temporary Impairment Recognized

Capitalized Deferred Interest and Other

Total Change in

Book Value (8+9-10+11)

Total Foreign Exchange Change in Book Value

697080199

697081069

..........................

OXNARD .......................................

EL CENTRO ...................................

................. CA................

........ ........

. 11/26/2012

. 04/26/2006

.....

. 03/04

. 03/06

/2026 .....

. 311,322

. 767,473

.....................

. 195,396

. 726,080

. 195,396

. 726,080

.....................

0199999. Mortgages closed by repayment

1,078,795

921,476

697000212

..........................

BIRMINGHAM ..................................

................. AL................

........ ........

..... 06/17/2013

.....

............

...........

. 534,735

.....................

. 31,161

.....................

697080278

..........................

MESA ..........................................

................. AZ................

........ ........

..... 10/16/2019

.....

............

...........

. 2,180,435

.....................

. 14,642

.....................

697080298

..........................

SCOTTSDALE ..................................

................. AZ................

........ ........

. 06/22/2021

.....

............

...........

. 2,332,662

.....................

. 13,080

.....................

697080275

..........................

TEMPE ........................................

................. AZ................

........ ........

. 09/19/2019

.....

............

...........

. 1,681,800

.....................

. 15,082

.....................

697001011

..........................

TUCSON .......................................

................. AZ................

........ ........

. 05/23/2000

.....

............

...........

. 416,503

.....................

. 21,205

.....................

697080252

..........................

AMERICAN CANYON ............................

................. CA................

........ ........

..... 07/28/2017

.....

............

...........

. 1,925,129

.....................

. 32,689

.....................

697080303

..........................

CAMARILLO ...................................

................. CA................

........ ........

. 06/14/2022

.....

............

...........

. 1,078,383

.....................

. 5,643

.....................

697080223

..........................

CARPINTERIA .................................

................. CA................

........ ........

. 05/28/2014

.....

............

...........

. 1,441,675

.....................

. 13,620

.....................

697080304

..........................

COSTA MESA ..................................

................. CA................

........ ........

. 07/07/2022

.....

............

...........

. 1,252,720

.....................

. 7,982

.....................

697080288

..........................

EL CAJON .....................................

................. CA................

........ ........

. 12/13/2019

.....

............

...........

. 2,194,588

.....................

. 14,390

.....................

697081069

..........................

EL CENTRO ...................................

................. CA................

........ ........

. 04/26/2006

.....

............

...........

. 734,540

.....................

. 8,460

.....................

697080234

..........................

ESCONDIDO ....................................

................. CA................

........ ........

. 11/04/2015

.....

............

...........

. 805,720

.....................

. 36,517

.....................

697080241

..........................

FOUNTAIN VALLEY ...........................

................. CA................

........ ........

..... 10/06/2016

.....

............

...........

. 802,401

.....................

. 9,527

.....................

697080281

..........................

LOS ALAMITOS ...............................

................. CA................

........ ........

. 01/09/2020

.....

............

...........

. 923,729

.....................

. 6,026

.....................

697080305

..........................

ONTARIO ......................................

................. CA................

........ ........

. 04/12/2023

.....

............

...........

. 1,305,520

.....................

. 7,753

.....................

697080199

..........................

OXNARD .......................................

................. CA................

........ ........

. 11/26/2012

.....

............

...........

. 212,345

.....................

. 16,949

.....................

697080276

..........................

RIVERSIDE ...................................

................. CA................

........ ........

. 09/26/2019

.....

............

...........

. 655,315

.....................

. 7,778

.....................

697080236

..........................

SAN DIEGO ...................................

................. CA................

........ ........

..... 01/13/2016

.....

............

...........

. 861,392

.....................

. 37,908

.....................

Loan Number

Location

Loan Type

Date Acquired

Disposal Date

Book Value/ Recorded Investment Excluding Accrued Interest Prior Year

Change in Book Value/Recorded Investment

Book Value/ Recorded Investment Excluding Accrued Interest on Disposal

Consideration

Foreign Exchange Gain (Loss) on Disposal

Realized Gain (Loss) on Disposal

Total Gain (Loss) on Disposal

City

State

Unrealized Valuation Increase/ (Decrease)

Current Year's (Amortization)

/Accretion

Current Year's Other-Than-Temporary Impairment Recognized

Capitalized Deferred Interest and Other

Total Change in

Book Value (8+9-10+11)

Total Foreign Exchange Change in Book Value

697080280 ..........................

SAN DIEGO ...................................

................. CA................

........ ........

......01/09/2020 .....

............ ...........

. 651,009

.....................

. 4,247

.....................

697080242 ..........................

SAN MARCOS ..................................

................. CA................

........ ........

..... 10/06/2016 .....

............ ...........

. 581,138

.....................

. 22,792

.....................

697080176 ..........................

SANTA FE SPRINGS ..........................

................. CA................

........ ........

......04/13/2006 .....

............ ...........

. 50,849

.....................

. 30,370

.....................

697080218 ..........................

SANTA MONICA ...............................

................. CA................

........ ........

..... 10/01/2013 .....

............ ...........

. 693,389

.....................

. 18,162

.....................

697080248 ..........................

SUNLAND ......................................

................. CA................

........ ........

......02/23/2017 .....

............ ...........

. 773,617

.....................

. 29,969

.....................

697080296 ..........................

TEHACHAPI ...................................

................. CA................

........ ........

......12/07/2020 .....

............ ...........

. 1,192,287

.....................

. 25,219

.....................

697080286 ..........................

SHELTON ......................................

................. CT................

........ ........

......01/24/2020 .....

............ ...........

. 661,012

.....................

. 15,620

.....................

697080287 ..........................

SHELTON ......................................

................. CT................

........ ........

......01/24/2020 .....

............ ...........

. 2,527,900

.....................

. 22,666

.....................

697080208 ..........................

DEERFIELD BEACH ............................

................. FL................

........ ........

......03/21/2013 .....

............ ...........

. 292,344

.....................

. 30,109

.....................

697000183 ..........................

DORAL .........................................

................. FL................

........ ........

..... 09/18/2006 .....

............ ...........

. 169,858

.....................

. 50,042

.....................

697080289 ..........................

OCOEE .........................................

................. FL................

........ ........

......02/24/2020 .....

............ ...........

. 1,699,747

.....................

. 23,038

.....................

697080255 ..........................

SARASOTA .....................................

................. FL................

........ ........

..... 08/07/2017 .....

............ ...........

. 1,464,308

.....................

. 15,531

.....................

697080256 ..........................

SARASOTA .....................................

................. FL................

........ ........

..... 08/07/2017 .....

............ ...........

. 4,674,420

.....................

. 36,880

.....................

697080229 ..........................

CHAMBLEE .....................................

................. GA................

........ ........

......12/18/2014 .....

............ ...........

. 1,759,555

.....................

. 9,887

.....................

697080204 ..........................

COLUMUBUS ...................................

................. GA................

........ ........

......11/15/2012 .....

............ ...........

. 898,471

.....................

. 27,706

.....................

697080250 ..........................

COUNCIL BLUFFS .............................

................. IA................

........ ........

..... 05/08/2017 .....

............ ...........

. 848,066

.....................

. 8,888

.....................

697080213 ..........................

KANSAS CITY .................................

................. KS................

........ ........

......06/26/2013 .....

............ ...........

. 405,478

.....................

. 37,375

.....................

697080259 ..........................

MISSION ......................................

................. KS................

........ ........

..... 12/01/2017 .....

............ ...........

. 1,036,584

.....................

. 32,499

.....................

697000200 ..........................

OVERLAND PARK ..............................

................. KS................

........ ........

......07/26/2012 .....

............ ...........

. 190,166

.....................

. 27,645

.....................

697080243 ..........................

FORT WRIGHT .................................

................. KY................

........ ........

..... 10/20/2016 .....

............ ...........

. 1,025,918

.....................

. 18,892

.....................

697080244 ..........................

LEXINGTON ...................................

................. KY................

........ ........

..... 12/01/2016 .....

............ ...........

. 798,901

.....................

. 41,003

.....................

697080283 ..........................

SILVER SPRING ..............................

................. MD................

........ ........

......12/19/2019 .....

............ ...........

. 3,495,862

.....................

. 23,560

.....................

697000210 ..........................

CENTER LINE .................................

................. MI................

........ ........

......03/27/2013 .....

............ ...........

. 1,490,521

.....................

. 8,998

.....................

697080299 ..........................

COMMERCE TOWNSHIP .........................

................. MI................

........ ........

......07/27/2021 .....

............ ...........

. 1,595,917

.....................

. 12,821

.....................

697080262 ..........................

FORT GRATIOT TOWNSHIP ....................

................. MI................

........ ........

......03/28/2018 .....

............ ...........

. 1,487,819

.....................

. 22,240

.....................

697080277 ..........................

MADISON HEIGHTS ............................

................. MI................

........ ........

......10/15/2019 .....

............ ...........

. 724,512

.....................

. 17,274

.....................

697080226 ..........................

MINNEAPOLIS .................................

................. MN................

........ ........

......02/05/2015 .....

............ ...........

. 496,079

.....................

. 26,639

.....................

697080294 ..........................

MINNETONKA ..................................

................. MN................

........ ........

......04/06/2020 .....

............ ...........

. 1,858,452

.....................

. 16,884

.....................

697080271 ..........................

ST PAUL ......................................

................. MN................

........ ........

..... 11/01/2018 .....

............ ...........

. 1,478,089

.....................

. 21,492

.....................

697080185 ..........................

CHARLOTTE ...................................

................. NC................

........ ........

..... 08/01/2006 .....

............ ...........

. 949,157

.....................

. 18,292

.....................

697080233 ..........................

FARGO ........................................

................. ND................

........ ........

......09/01/2015 .....

............ ...........

. 1,129,471

.....................

. 23,400

.....................

697081068 ..........................

AVENEL .......................................

................. NJ................

........ ........

......04/26/2006 .....

............ ...........

. 1,391,941

.....................

. 11,677

.....................

697080272 ..........................

CRANBURY .....................................

................. NJ................

........ ........

..... 11/06/2018 .....

............ ...........

. 2,461,680

.....................

. 64,345

.....................

697000072 ..........................

WALL TWSP ...................................

................. NJ................

........ ........

......11/05/1992 .....

............ ...........

. 1,456,662

.....................

. 10,403

.....................

697080297 ..........................

ALBUQUERQUE .................................

................. NM................

........ ........

......07/13/2021 .....

............ ...........

. 1,181,305

.....................

. 13,772

.....................

697080247 ..........................

HENDERSON ....................................

................. NV................

........ ........

..... 01/27/2017 .....

............ ...........

. 2,153,625

.....................

. 24,734

.....................

697080211 ..........................

LAS VEGAS ...................................

................. NV................

........ ........

......05/14/2013 .....

............ ...........

. 449,315

.....................

. 43,018

.....................

697000231 ..........................

BROOKLYN .....................................

................. NY................

........ ........

......12/11/2014 .....

............ ...........

. 937,282

.....................

. 12,012

.....................

697080263 ..........................

BROOKLYN .....................................

................. NY................

........ ........

......04/25/2018 .....

............ ...........

. 580,949

.....................

. 16,523

.....................

697080273 ..........................

BROOKLYN .....................................

................. NY................

........ ........

......03/09/2020 .....

............ ...........

. 1,497,481

.....................

. 22,772

.....................

697080301 ..........................

CINCINNATI ..................................

................. OH................

........ ........

......04/27/2022 .....

............ ...........

. 1,130,949

.....................

. 12,639

.....................

697000292 ..........................

LORAIN .......................................

................. OH................

........ ........

......03/19/2020 .....

............ ...........

. 1,166,759

.....................

. 26,232

.....................

697080267 ..........................

MASON .........................................

................. OH................

........ ........

..... 06/11/2018 .....

............ ...........

. 1,452,006

.....................

. 13,805

.....................

697080240 ..........................

WEST CHESTER ...............................

................. OH................

........ ........

..... 09/01/2016 .....

............ ...........

. 815,387

.....................

. 39,487

.....................

697080258 ..........................

HILLSBORO ...................................

................. OR................

........ ........

......09/27/2017 .....

............ ...........

. 2,635,802

.....................

. 27,564

.....................

697080295 ..........................

PORTLAND .....................................

................. OR................

........ ........

......06/29/2020 .....

............ ...........

. 1,983,473

.....................

. 10,024

.....................

697080274 ..........................

WILSONVILLE .................................

................. OR................

........ ........

......06/25/2019 .....

............ ...........

. 1,668,585

.....................

. 14,828

.....................

697080264 ..........................

CORAOPOLIS ..................................

................. PA................

........ ........

......04/30/2018 .....

............ ...........

. 1,196,210

.....................

. 7,928

.....................

697080265 ..........................

CORAOPOLIS ..................................

................. PA................

........ ........

......04/30/2018 .....

............ ...........

. 1,196,210

.....................

. 7,928

.....................

697000266 ..........................

PHILADELPHIA CITY .........................

................. PA................

........ ........

......05/22/2018 .....

............ ...........

. 1,448,348

.....................

. 21,757

.....................

697080217 ..........................

PHILADELPHIA CITY .........................

................. PA................

........ ........

......11/20/2013 .....

............ ...........

. 1,176,992

.....................

. 10,658

.....................

E02.1

Loan Number

Location

Loan Type

Date Acquired

Disposal Date

Book Value/ Recorded Investment Excluding Accrued Interest Prior Year

Change in Book Value/Recorded Investment

Book Value/ Recorded Investment Excluding Accrued Interest on Disposal

Consideration

Foreign Exchange Gain (Loss) on Disposal

Realized Gain (Loss) on Disposal

Total Gain (Loss) on Disposal

City

State

Unrealized Valuation Increase/ (Decrease)

Current Year's (Amortization)

/Accretion

Current Year's Other-Than-Temporary Impairment Recognized

Capitalized Deferred Interest and Other

Total Change in

Book Value (8+9-10+11)

Total Foreign Exchange Change in Book Value

697081025 ..........................

PLYMOUTH MEETING ..........................

................. PA................

........ ........

......05/03/2001 .....

............ ...........

. 1,043,865

.....................

. 33,516

.....................

697080180 ..........................

BRENTWOOD ...................................

................. TN................

........ ........

..... 08/14/2006 .....

............ ...........

. 1,760,959

.....................

. 11,313

.....................

697000260 ..........................

AUSTIN .......................................

................. TX................

........ ........

..... 02/07/2018 .....

............ ...........

. 1,963,661

.....................

. 20,118

.....................

697080249 ..........................

AUSTIN .......................................

................. TX................

........ ........

......04/27/2017 .....

............ ...........

. 1,338,410

.....................

. 23,027

.....................

697080285 ..........................

HOUSTON ......................................

................. TX................

........ ........

......12/12/2019 .....

............ ...........

. 793,539

.....................

. 18,771

.....................

697080254 ..........................

SAN ANTONIO .................................

................. TX................

........ ........

......09/05/2017 .....

............ ...........

. 795,749

.....................

. 25,422

.....................

697080290 ..........................

NORTH SALT LAKE ............................

................. UT................

........ ........

......02/18/2020 .....

............ ...........

. 928,059

.....................

. 12,605

.....................

697080239 ..........................

HAMPTON CITY ...............................

................. VA................

........ ........

......06/24/2016 .....

............ ...........

. 283,771

.....................

. 21,874

.....................

697080300 ..........................

HAMPTON CITY ...............................

................. VA................

........ ........

......02/24/2022 .....

............ ...........

. 2,760,320

.....................

. 17,003

.....................

697080306 ..........................

NORFOLK CITY ...............................

................. VA................

........ ........

......08/28/2024 .....

............ ...........

. 2,931,539

.....................

. 14,305

.....................

697080282 ..........................

RICHMOND .....................................

................. VA................

........ ........

......12/11/2019 .....

............ ...........

. 2,187,228

.....................

. 30,854

.....................

697080284 ..........................

VIRGINIA BEACH .............................

................. VA................

........ ........

......12/12/2019 .....

............ ...........

. 1,168,167

.....................

. 27,374

.....................

697080293 ..........................

KIRKLAND .....................................

................. WA................

........ ........

......04/03/2020 .....

............ ...........

. 1,771,534

.....................

. 11,348

.....................

697080302 ..........................

KIRKLAND .....................................

................. WA................

........ ........

......05/19/2022 .....

............ ...........

. 1,541,632

.....................

. 8,323

.....................

697080268 ..........................

LYNNWOOD .....................................

................. WA................

........ ........

..... 08/02/2018 .....

............ ...........

. 1,546,947

.....................

. 14,339

.....................

697000257 ..........................

MILL CREEK ..................................

................. WA................

........ ........

..... 07/28/2017 .....

............ ...........

. 1,686,445

.....................

. 18,107

.....................

697000261 ..........................

PASCO .........................................

................. WA................

........ ........

..... 03/06/2018 .....

............ ...........

. 1,452,329

.....................

. 50,926

.....................

697080165 ..........................

SEATTLE ......................................

................. WA................

........ ........

......03/29/2005 .....

............ ...........

. 2,185,287

.....................

. 14,600

.....................

697080291 ..........................

SEATTLE ......................................

................. WA................

........ ........

......03/23/2020 .....

............ ...........

. 1,310,905

.....................

. 11,728

.....................

0299999. Mortgages with partial repayments

115,871,795

1,818,210

0599999 - Totals

116,950,590

921,476

2,739,686

E02.2

Disclaimer

Ameriprise Financial Inc. published this content on May 08, 2026, and is solely responsible for the information contained herein. Distributed via Public Technologies (PUBT), unedited and unaltered, on May 08, 2026 at 13:38 UTC.