| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC [ AMP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/29/2006 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 03/29/2006 | S | 6,400,000(3) | D | $42.91 | 23,922,137(1)(2) | I | see footnotes 1 & 2. | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. These shares are owned by the following subsidiaries of Berkshire Hathaway Inc.: OBH, Inc. ("OBH") (159,940 shares); National Indemnity Company ("NICO") (17,651,175 shares); National Fire & Marine Insurance Company ("NFMIC") (1,598,926 shares); Columbia Insurance Company ("Columbia") (3,445,080 shares); Wesco-Financial Insurance Company ("WSFIC") (388,620 shares); Nebraska Furniture Mart ("NFM") (279,942 shares); Central States Indemnity Company of Omaha ("CSIC") (174,000 shares); The Fechheimer Brothers Company ("Fechheimer") (167,966 shares); Borsheim's Jewelry Company ("Borsheim's") (55,988 shares); and FlightSafety International, Inc. ("FlightSafety") (500 shares). Each of NICO, NFMIC, Columbia, WSFIC, NFM, CSIC, Fechheimer, Borsheim's, and FlightSafety is a subsidiary of OBH, Inc. ("OBH"). OBH is a subsidiary of Berkshire Hathaway Inc. ("Berkshire"). |
| 2. As OBH and Berkshire are each in the chain of ownership of NICO, NFMIC, Columbia, WSFIC, NFM, CSIC, Fechheimer, Borsheim's and FlightSafety, each of Berkshire and OBH may be deemed presently to both beneficially own and have a pecuniary interest in all shares of Ameriprise common stock presently owned by each such subsidiary. Warren E. Buffett, as the controlling stockholder of Berkshire, may be deemed presently to beneficially own, but only to the extent he has a pecuniary interest in, the shares of Ameriprise common stock presently owned by each such subsidiary and by OBH. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| 3. On March 29, 2006, Ameriprise Financial, Inc. ("Ameriprise") entered into a Stock Purchase and Sale Agreement (the "Purchase Agreement") with Warren E. Buffett and Berkshire, to repurchase from Berkshire subsidiaries 6.4 million shares of Ameriprise common stock. The repurchase transaction was completed on March 29, 2006 following market close, at a price per share equal to the March 29, 2006 closing price on the New York Stock Exchange for a share of Ameriprise common stock of $42.91. All of the shares that were repurchased pursuant to the Purchase Agreement were previously held by NICO. |
| /s/ Marc D. Hamburg on behalf of Berkshire Hathaway Inc. | 03/31/2006 | |
| /s/ Warren E. Buffett | 03/31/2006 | |
| /s/ Marc D. Hamburg on behalf of OBH, Inc. | 03/31/2006 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||