-----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, V3R7GoIgcvXHAAjgDKTZ6JC4crklbNAiXUpJd1jcKw0vNubFlmVaZ/KYLGFgI/zb KrJ5wo6WweILOTnpdLwDFQ== 0001179110-10-006062.txt : 20100325 0001179110-10-006062.hdr.sgml : 20100325 20100325190231 ACCESSION NUMBER: 0001179110-10-006062 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20100323 FILED AS OF DATE: 20100325 DATE AS OF CHANGE: 20100325 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sharan Kim Michelle CENTRAL INDEX KEY: 0001335741 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 10705620 MAIL ADDRESS: STREET 1: AMERIPRISE FINANCIAL, INC. STREET 2: 707 SECOND AVENUE SOUTH CITY: MINNEAPOLIS STATE: MN ZIP: 55474 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 - X0303 4 2010-03-23 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335741 Sharan Kim Michelle GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres-Fin Plan, Ret Svcs & CMO Common Stock 2010-03-23 4 M 0 12034 20.819 A 35508 D Common Stock 2010-03-23 4 M 0 21660 31.313 A 57168 D Common Stock 2010-03-23 4 S 0 30202 44.7292 D 26966 D Common Stock 2010-03-24 4 S 0 4176 44.70 D 22790 D Common Stock 239.6578 I By 401(k) Plan Employee Stock Option (Right to Buy) 20.819 2010-03-23 4 M 0 12034 0 D 2007-01-27 2013-01-26 Common Stock 12034 0 D Employee Stock Option (Right to Buy) 31.313 2010-03-23 4 M 0 21660 0 D 2008-01-28 2014-01-25 Common Stock 21660 0 D Reflects the weighted average price of 30,202 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on March 23, 2010 with sale prices ranging from $44.71 to 44.7298 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. 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 February 9, 2010. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock. /s/ Thomas R. Moore for Kim Michele Sharan 2010-03-25 EX-24 2 sharanpoa.txt POWER OF ATTORNEY POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of John C. Junek, Thomas R. Moore, David H. Weiser, William H. Rice and Susan M. Beltz, signing singly, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as a director of Ameriprise Financial, Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder, and any other forms or reports the undersigned may be required to file in connection with the undersigned's ownership, acquisition, or disposition of securities of the Company, including Form 144; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, or other form or report, including the completion, execution and filing for Form ID, and timely file such form or report with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in my best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned hereby acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, I have caused this Power of Attorney to be duly executed as of this 2nd day of February, 2010. /s/ Kim M. Sharan President, Financial Planning, Retirement & Wealth Strategies and Chief Marketing Officer of Ameriprise Financial, Inc. -----END PRIVACY-ENHANCED MESSAGE-----