-----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, ThIR/FP2JmEE9euRQG++YSf+ykBrBV2ZWeZDFXYh2CJ7xc/XLHK2U8NE3XOu8geT D4p7nVY4qE8geK5sObO+Vw== 0000903423-05-000726.txt : 20050921 0000903423-05-000726.hdr.sgml : 20050921 20050921163740 ACCESSION NUMBER: 0000903423-05-000726 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050919 FILED AS OF DATE: 20050921 DATE AS OF CHANGE: 20050921 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: Sweeney Joseph Edward CENTRAL INDEX KEY: 0001335749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 051096160 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 sweeney-f4_ex.xml X0202 4 2005-09-19 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335749 Sweeney Joseph Edward 707 SECOND AVENUE SOUTH MINNEAPOLIS MN 55474 0 1 0 0 Pres - Fin Pln Prdcts and Serv Common Stock 2005-09-19 4 J 0 360 A 360 D Common Stock 2005-09-19 4 J 0 6 A 6 I By ISP Trust Shares to be distributed to reporting person in connection with pro-rata distribution of the shares of Ameriprise Financial, Inc. (the "Company") to the stockholders of American Express Company. Pursuant to the exemption under Section 16a-9(a) of the Securities Exchange Act of 1934 (the "Exchange Act"), this Form 4 filing is not required and is for informational purposes only. The information contained herein shall not be deemed to constitute an admission that this Form 4 filing fails to meet the requirements for exemption under Section 16a-9(a) of the Exchange Act. Shares held in reporting person's account under American Express Company's Incentive Savings Plan as of September 19, 2005. This plan uses unit accounting, and the number of shares that a participant is deemed to hold varies with the unit price of the American Express Company pooled stock fund. /s/ Bruce A. Kohn for Joseph E. Sweeney 2005-09-21 -----END PRIVACY-ENHANCED MESSAGE-----