-----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, A5QG6ozm4LOdIXoojcV/G1hixIJ79G/c02wFuWXgMdiT5a6hU2mMdjwSwlEeLQEC IW/I6bOr9ymrH6NgALGVlA== 0001179110-07-020802.txt : 20071102 0001179110-07-020802.hdr.sgml : 20071102 20071102161304 ACCESSION NUMBER: 0001179110-07-020802 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071031 FILED AS OF DATE: 20071102 DATE AS OF CHANGE: 20071102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARSHALL SIRI S CENTRAL INDEX KEY: 0001206689 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 071210800 MAIL ADDRESS: STREET 1: NUMBER ONE GENERAL MILLS BLVD CITY: MINNEAPOLIS STATE: MN ZIP: 55426 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] 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 4 1 edgar.xml FORM 4 - X0202 4 2007-10-31 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001206689 MARSHALL SIRI S GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 0 0 0 Phantom Stock (Annual) 2007-10-31 4 A 0 295.415 0 A Common Stock 295.415 5412.844 D Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Phantom shares acquired represent prorated increase in annual award. Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs. /s/ Thomas R. Moore for Siri S. Marshall 2007-11-02 -----END PRIVACY-ENHANCED MESSAGE-----