-----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, P3PXxRvdiL736S6Deu6LuBa3VMIxPmilyTGz3V/AspRvr7EAFvWAR5htaabCKKbv ADE0i3UOQuM5IvotjnJNqw== 0000903423-05-000785.txt : 20051004 0000903423-05-000785.hdr.sgml : 20051004 20051004213343 ACCESSION NUMBER: 0000903423-05-000785 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: Berman Walter Stanley CENTRAL INDEX KEY: 0001335761 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 051123447 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 berman-f4_1004ex.xml X0202 4 2005-09-30 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335761 Berman Walter Stanley 707 SECOND AVENUE SOUTH MINNEAPOLIS MN 55474 0 1 0 0 Executive VP and CFO Common Stock 2005-10-03 4 A 0 21408 0 A 21430 D Common Stock 38 I By ISP Trust Employee Stock Option (Right to Buy) 20.819 2005-09-30 4 A 0 36101 0 A 2013-01-26 Common Stock 36101 36101 D Employee Stock Option (Right to Buy) 31.313 2005-09-30 4 A 0 64981 0 A 2014-01-25 Common Stock 64981 64981 D Employee Stock Option (Right to Buy) 32.587 2005-09-30 4 A 0 41716 0 A 2015-01-23 Common Stock 41716 41716 D Employee Stock Option (Right to Buy) 35.035 2005-10-03 4 A 0 276817 0 A 2015-10-02 Common Stock 276817 276817 D Restricted stock unit 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 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 employee stock option, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will become exercisable vest in four equal installments on October 3, 2006, 2007, 2008 and 2009. /s/ Julie E. Ramacher for Walter S. Berman 2005-10-04 -----END PRIVACY-ENHANCED MESSAGE-----