0001415889-23-011940.txt : 20230808
0001415889-23-011940.hdr.sgml : 20230808
20230808191653
ACCESSION NUMBER: 0001415889-23-011940
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230804
FILED AS OF DATE: 20230808
DATE AS OF CHANGE: 20230808
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Berman Walter Stanley
CENTRAL INDEX KEY: 0001335761
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 231152954
MAIL ADDRESS:
STREET 1: AMERIPRISE FINANCIAL, INC.
STREET 2: 707 SECOND AVENUE SOUTH
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
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: 612-671-8001
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
4
1
form4-08082023_110843.xml
X0508
4
2023-08-04
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335761
Berman Walter Stanley
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
false
true
false
false
EXECUTIVE VP AND CFO
0
Common Stock
2023-08-04
4
M
0
15000
179.84
A
29360
D
Common Stock
2023-08-04
4
M
0
10025
126.89
A
39385
D
Common Stock
2023-08-04
4
F
0
18295
352.08
D
21090
D
Common Stock
2023-08-04
4
S
0
6730
350.9501
D
14360
D
Common Stock
2023-08-04
4
S
0
6312
352.1902
D
8048
D
Common Stock
354.45
I
By 401(k) Plan
Employee Stock Option (right to buy)
179.84
2023-08-04
4
M
0
15000
0
D
2028-01-26
Common Stock
15000
25382
D
Employee Stock Option (right to buy)
126.89
2023-08-04
4
M
0
10025
0
D
2029-02-01
Common Stock
10025
0
D
Reflects the weighted average price of 6,730 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 4, 2023 with sale prices ranging from $350.48 to $351.355 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.
Reflects the weighted average price of 6,312 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 4, 2023 with sale prices ranging from $351.8222 to $352.36 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 August 4, 2023. 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.
/s/ Wendy B. Mahling for Walter Stanley Berman
2023-08-08