-----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, VfqfsYGTyy5tCytaNTrjqOEsy7qM9lP08UHeULEf0+Rk6SiOzebXk7NWD++jnSvN CVGZb7xxFiwvmBZCsy6leg== 0001179110-07-002953.txt : 20070206 0001179110-07-002953.hdr.sgml : 20070206 20070206175721 ACCESSION NUMBER: 0001179110-07-002953 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060202 FILED AS OF DATE: 20070206 DATE AS OF CHANGE: 20070206 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: TRUSCOTT WILLIAM F CENTRAL INDEX KEY: 0001282835 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 07585650 BUSINESS ADDRESS: STREET 1: DECHERT LLP STREET 2: 1775 I ST NW 9TH FL CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 612-671-4471 MAIL ADDRESS: STREET 1: AMERIPRISE FINANCIAL, INC. STREET 2: 50591 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0202 4 2006-02-02 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001282835 TRUSCOTT WILLIAM F GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres - U.S. Asset Mgmt, CIO Common Stock 2007-02-02 4 M 0 48134 20.819 A 87738 D Common Stock 2007-02-02 4 S 0 2263 59.43 D 85475 D Common Stock 2007-02-02 4 S 0 200 59.44 D 85275 D Common Stock 2007-02-02 4 S 0 200 59.45 D 85075 D Common Stock 2007-02-02 4 S 0 10876 59.46 D 74199 D Common Stock 2007-02-02 4 S 0 1270 59.47 D 72929 D Common Stock 2007-02-02 4 S 0 1700 59.48 D 71229 D Common Stock 2007-02-02 4 S 0 201 59.49 D 71028 D Common Stock 2007-02-02 4 S 0 2700 59.50 D 68328 D Common Stock 2007-02-02 4 S 0 9847 59.51 D 58481 D Common Stock 2007-02-02 4 S 0 708 59.52 D 57773 D Common Stock 2007-02-02 4 S 0 600 59.53 D 57173 D Common Stock 2007-02-02 4 S 0 900 59.55 D 56273 D Common Stock 2007-02-02 4 S 0 7100 59.57 D 49173 D Common Stock 2007-02-02 4 S 0 406 59.58 D 48767 D Common Stock 57 I By 401(k) Plan Employee Stock Option (right to buy) 20.819 2007-02-02 4 M 0 48134 0 A 2013-01-26 Common Stock 48134 0 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. The stock option became exercisable as to 50% of the shares on each of January 27, 2006 and January 27, 2007. /s/ David H. Weiser for William Fredrick Truscott 2007-02-06 -----END PRIVACY-ENHANCED MESSAGE-----