-----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, GUwpNnnm4De8/HizLPI1vvrwTUyIGscXDVbxEaOiHJAr/Ury7k8oqQKX1lF0DwFr Fo2z6yJeaokcvCD3xu/EMA== 0001179110-07-002523.txt : 20070201 0001179110-07-002523.hdr.sgml : 20070201 20070201185933 ACCESSION NUMBER: 0001179110-07-002523 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070130 FILED AS OF DATE: 20070201 DATE AS OF CHANGE: 20070201 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: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-2018 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Woerner John Robert CENTRAL INDEX KEY: 0001336621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 07573217 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 edgar.xml FORM 4 - X0202 4 2007-01-30 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001336621 Woerner John Robert GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Senior VP - Str Plan, Bus Dev Common Stock 2007-01-30 4 A 0 1702 0 A 6340 D Common Stock 32 I By 401(k) Plan Employee Stock Option (Right to Buy) 58.73 2007-01-30 4 A 0 21913 0 A 2017-01-30 Common Stock 21913 21913 D 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 December 31, 2006. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock. Options are exercisable in three equal annual installments beginning January 30, 2008. /s/ Thomas R. Moore for John Robert Woerner 2007-02-01 -----END PRIVACY-ENHANCED MESSAGE-----