0001179110-17-001900.txt : 20170207
0001179110-17-001900.hdr.sgml : 20170207
20170207165951
ACCESSION NUMBER: 0001179110-17-001900
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170203
FILED AS OF DATE: 20170207
DATE AS OF CHANGE: 20170207
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC
CENTRAL INDEX KEY: 0000820027
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 133180631
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1099 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
BUSINESS PHONE: 612-671-7449
MAIL ADDRESS:
STREET 1: 1099 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP
DATE OF NAME CHANGE: 20030513
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS
DATE OF NAME CHANGE: 19950711
FORMER COMPANY:
FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRUSCOTT WILLIAM F
CENTRAL INDEX KEY: 0001282835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 17579838
MAIL ADDRESS:
STREET 1: AMERIPRISE FINANCIAL, INC.
STREET 2: 50591 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
4
1
edgar.xml
FORM 4 -
X0306
4
2017-02-03
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001282835
TRUSCOTT WILLIAM F
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
CEO, Global Asset Management
Common Stock
2017-02-03
4
A
0
12146
0
A
21172
D
Common Stock
2017-02-03
4
F
0
5767
121.26
D
9026
D
Common Stock
2017-02-06
4
M
0
62989
58.70
A
72015
D
Common Stock
2017-02-06
4
F
0
46158
121.26
D
9026
D
Common Stock
2017-02-06
4
S
0
16831
122.952
D
46651
I
By LLC
Common Stock
267.51
I
By 401(k) Plan
Phantom Stock
2017-02-03
4
A
0
727.3627
121.26
A
Common Stock
727.3627
5334.4325
D
Employee Stock Option (right to buy)
58.70
2017-02-06
4
M
0
62989
0
D
2021-02-08
Common Stock
62989
0
D
The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting and/or exercise to the reporting person's indirect LLC holdings.
Reflects the weighted average price of 16,831 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 6, 2017 with sale prices ranging from $122.85 to $123.05 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of February 3, 2017. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
Fully vested.
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.
/s/ Thomas R. Moore for William Fredrick Truscott
2017-02-07