0001415889-24-002006.txt : 20240130 0001415889-24-002006.hdr.sgml : 20240130 20240130205121 ACCESSION NUMBER: 0001415889-24-002006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240126 FILED AS OF DATE: 20240130 DATE AS OF CHANGE: 20240130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sweeney Joseph Edward CENTRAL INDEX KEY: 0001335749 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 24580346 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] ORGANIZATION NAME: 02 Finance 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 form4-01312024_010115.xml X0508 4 2024-01-26 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335749 Sweeney Joseph Edward GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 false true false false PRES-AWM PRODUCTS & SERVICES 0 Common Stock 2024-01-26 4 A 0 1776 0 A 9942 D Common Stock 2024-01-27 4 F 0 208 391.40 D 9734 D Common Stock 2024-01-28 4 F 0 313 391.40 D 9421 D Common Stock 2024-01-29 4 M 0 18220 179.84 A 27641 D Common Stock 2024-01-29 4 F 0 13074 389.20 D 14567 D Common Stock 2024-01-29 4 S 0 5146 389.4659 D 9421 D Common Stock 290.60 I By 401(k) Plan Employee Stock Option (right to buy) 391.40 2024-01-26 4 A 0 5246 0 A 2034-01-27 Common Stock 5246 5246 D Employee Stock Option (right to buy) 179.84 2024-01-29 4 M 0 18220 0 D 2028-01-26 Common Stock 18220 0 D Reflects the weighted average price of 5,146 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 29, 2024 with sale prices ranging from $389.29 to $389.565 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 January 29, 2024. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 26, 2024. Fully vested. /s/ Wendy B. Mahling for Joseph Edward Sweeney 2024-01-30