-----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, GbDkEEh1QLfhubpgYus/neHbdLhyYpbjdRK8gY2zTYpHsEGkkzUfdNOkQfjX1nu/ AIevG0iK6wqi7sJ/WL+JkA== 0000903423-05-000783.txt : 20051004 0000903423-05-000783.hdr.sgml : 20051004 20051004212946 ACCESSION NUMBER: 0000903423-05-000783 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: CRACCHIOLO JAMES M CENTRAL INDEX KEY: 0001196484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 051123442 BUSINESS ADDRESS: STREET 1: 5350 TECH DATA DR STREET 2: MS C3-3 CITY: C;EARWATER STATE: FL ZIP: 33760 BUSINESS PHONE: 727 539 7629 4 1 cracchiolo-f4_ex.xml X0202 4 2005-09-30 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001196484 CRACCHIOLO JAMES M 707 SECOND AVENUE SOUTH MINNEAPOLIS MN 55474 1 1 0 0 Chairman and CEO Common Stock 2005-10-03 4 A 0 99901 0 A 113616 D Common Stock 2005-10-03 4 P 0 100 35.30 A 113716 D Common Stock 955 I By ISP Trust Employee Stock Option (Right to Buy) 27.216 2005-09-30 4 A 0 32089 0 A 2010-02-27 Common Stock 32089 32089 D Employee Stock Option (Right to Buy) 20.819 2005-09-30 4 A 0 144402 0 A 2013-01-26 Common Stock 144402 144402 D Employee Stock Option (Right to Buy) 31.313 2005-09-30 4 A 0 216603 0 A 2014-01-25 Common Stock 216603 216603 D Employee Stock Option (Right to Buy) 32.587 2005-09-30 4 A 0 232648 0 A 2015-01-23 Common Stock 232648 232648 D Employee Stock Option (Right to Buy) 35.035 2005-10-03 4 A 0 878186 0 A 2015-10-02 Common Stock 878186 878186 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. Estimate of the number of shares held in reporting person's account in the Ameriprise Financial Stock Fund under the American Express Company Incentive Savings Plan as a result of the distribution with respect to such reporting person's holdings in the American Express Company pooled stock fund 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 Ameriprise Financial Stock Fund. 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 total on February 28, 2006. The reported employee stock option will become exercisable on the same schedule as the American Express Company stock option it replaced; in two equal installments on January 27, 2006 and 2007. The reported employee stock option will become exercisable on the same schedule as the American Express Company stock option it replaced; in three equal installments January 26, 2006, 2007 and 2008. 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 January 24, 2006, 2007, 2008 and 2009. The reported options, granted under the Ameriprise Financial Incentive Compensation Plan, will vest in four equal installments on October 3, 2006, 2007, 2008 and 2009. /s/ Julie E. Ramacher for James M. Cracchiolo 2005-10-04 -----END PRIVACY-ENHANCED MESSAGE-----