Investments
3Portfolio Exits
2
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Latest RiverSource Investments News
May 23, 2012
Both settle on allegations by SEC, plead guilty to parallel criminal charges Robert W. Kwok, formerly Yahoo’s senior director of business management, and Reema D. Shah, a former mutual fund manager at the Ameriprise Financial unit RiverSource Investments LLC, were charged Monday with insider trading and have agreed to settle the SEC’s charges. The U.S. Attorney’s Office for the Southern District of New York also announced parallel criminal charges on Monday. The SEC’s investigation is continuing; Kwok and Shah have pled guilty to the criminal charges, the former to conspiracy to commit securities fraud, and the latter to both a primary and conspiracy charge. Both are awaiting sentencing. Complete your profile to continue reading and get FREE access to ThinkAdvisor.com, part of your ALM digital membership. Your access to unlimited ThinkAdvisor.com content isn’t changing. Once you are an ALM digital member, you’ll receive: Critical ThinkAdvisor information including continuing education articles and quizzes, Fact Sheets, Investing Guides, educational webcasts and videos, resources from industry leaders, and informative eNewsletters. Exclusive discounts on ALM and ThinkAdvisor events. Access to other award-winning ALM publications including LifeHealthPro.com, GlobeSt.com and Law.com.
RiverSource Investments Investments
3 Investments
RiverSource Investments has made 3 investments. Their latest investment was in Jones Soda as part of their Unattributed VC on June 6, 2006.
RiverSource Investments Investments Activity
Date | Round | Company | Amount | New? | Co-Investors | Sources |
|---|---|---|---|---|---|---|
6/16/2006 | Unattributed VC | Jones Soda | $30M | Yes | Carpe Diem Capital Management, Employees Retirement System of Rhode Island, Hartford Mutual Funds, Hartford Small Company Fund, Hartford Ventures, Hudson Bay Capital Management, Iroquois Capital Group, LICR Fund, Magnetar Capital, MassMutual Asia, MML Capital Partners, RiverSource Investments, SF Capital Group, UBS, Vanguard Group, Vardon Capital Management, and Wellington Management | |
7/11/2000 | Series B | |||||
1/24/2000 | Unattributed VC |
Date | 6/16/2006 | 7/11/2000 | 1/24/2000 |
|---|---|---|---|
Round | Unattributed VC | Series B | Unattributed VC |
Company | Jones Soda | ||
Amount | $30M | ||
New? | Yes | ||
Co-Investors | Carpe Diem Capital Management, Employees Retirement System of Rhode Island, Hartford Mutual Funds, Hartford Small Company Fund, Hartford Ventures, Hudson Bay Capital Management, Iroquois Capital Group, LICR Fund, Magnetar Capital, MassMutual Asia, MML Capital Partners, RiverSource Investments, SF Capital Group, UBS, Vanguard Group, Vardon Capital Management, and Wellington Management | ||
Sources |
RiverSource Investments Portfolio Exits
2 Portfolio Exits
RiverSource Investments has 2 portfolio exits. Their latest portfolio exit was Jones Soda on July 13, 2006.
Date | Exit | Companies | Valuation Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model. | Acquirer | Sources |
|---|---|---|---|---|---|
7/13/2006 | IPO | Public | |||
Date | 7/13/2006 | |
|---|---|---|
Exit | IPO | |
Companies | ||
Valuation | ||
Acquirer | Public | |
Sources |
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