-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IwJ7030TW8JAm6W2mWpYlDhPPKMZwQBiyqkeRQSQn0AEUimNEJKVFCu8Pq5BOo9g vwbukJj+Y9eIN/S+ieFRXQ== 0000903423-05-000784.txt : 20051004 0000903423-05-000784.hdr.sgml : 20051004 20051004213015 ACCESSION NUMBER: 0000903423-05-000784 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050930 FILED AS OF DATE: 20051004 DATE AS OF CHANGE: 20051004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/52 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-2711 MAIL ADDRESS: STREET 1: 50606 AMERIPRISE FINANCIAL CENTER STREET 2: H27/52 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: Woerner John Robert CENTRAL INDEX KEY: 0001336621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 051123443 BUSINESS ADDRESS: BUSINESS PHONE: 612.671.3131 MAIL ADDRESS: STREET 1: AMERIPRISE FINANCIAL, INC. STREET 2: 707 SECOND AVENUE SOUTH CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 woerner-f4_1004ex.xml X0202 4 2005-09-30 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001336621 Woerner John Robert 707 SECOND AVENUE SOUTH MINNEAPOLIS MN 55474 0 1 0 0 Senior VP - Str Plan, Bus Dev Common Stock 2005-10-03 4 A 0 3568 0 A 3568 D Employee Stock Option (Right to Buy) 32.871 2005-09-30 4 A 0 25672 0 A 2015-05-25 Common Stock 25672 25672 D Employee Stock Option (Right to Buy) 35.035 2005-10-03 4 A 0 46137 0 A 2015-10-02 Common Stock 46137 46137 D Restricted stock award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in four equal installments on October 3, 2006, 2007, 2008 and 2009. Employee stock option granted under Ameriprise Financial 2005 Incentive Compensation Plan in substitution of employee stock option originally granted to the reporting person under the American Express Company 1998 Incentive Compensation Plan, adjusted to reflect the distribution of Ameriprise Financial, Inc. on September 30, 2005. The reported employee stock option will become exercisable on the same schedule as the American Express Company stock option it replaced; in four equal installments on May 26, 2006, 2007, 2008 and 2009. The reported employee stock option, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will become exercisable in four equal installments on October 3, 2006, 2007, 2008 and 2009. /s/ Julie E. Ramacher for John R. Woerner 2005-10-04 -----END PRIVACY-ENHANCED MESSAGE-----