0001415889-24-003649.txt : 20240213 0001415889-24-003649.hdr.sgml : 20240213 20240213204423 ACCESSION NUMBER: 0001415889-24-003649 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240209 FILED AS OF DATE: 20240213 DATE AS OF CHANGE: 20240213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRACCHIOLO JAMES M CENTRAL INDEX KEY: 0001196484 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 24631464 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 form4-02142024_010207.xml X0508 4 2024-02-09 0000820027 AMERIPRISE FINANCIAL INC AMP 0001196484 CRACCHIOLO JAMES M GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 true true false false CHAIRMAN AND CEO 0 Common Stock 2024-02-12 4 M 0 39834 179.84 A 228170 D Common Stock 2024-02-12 4 F 0 29079 402.09 D 199091 D Common Stock 2024-02-12 4 S 0 1644 400.8751 D 197447 D Common Stock 2024-02-12 4 S 0 849 401.5789 D 196598 D Common Stock 1695.78 I By 401(k) Plan Phantom Stock 2024-02-09 4 A 0 1054.9453 396.94 A Common Stock 1054.9453 102208.3106 D Employee Stock Option (right to buy) 179.84 2024-02-12 4 M 0 39834 0 D 2028-01-26 Common Stock 39834 0 D Reflects the weighted average price of 1,644 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 12, 2024 with sale prices ranging from $400.46 to $401.29 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 849 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 12, 2024 with sale prices ranging from $401.53 to $401.67 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 12, 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. 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. Fully vested. /s/ Wendy B. Mahling for James M. Cracchiolo 2024-02-13