-----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, F/EBN45qN0E5PrVPkx50rJvliKheLc0w33P678jeIdMtPVblG8BR71S4Z2vAxr5T qaTAR8Fo/UQ4Ch2ljnWPbA== 0001179110-10-017085.txt : 20101207 0001179110-10-017085.hdr.sgml : 20101207 20101207170659 ACCESSION NUMBER: 0001179110-10-017085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101203 FILED AS OF DATE: 20101207 DATE AS OF CHANGE: 20101207 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 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: 101237881 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 - X0303 4 2010-12-03 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 CEO, U.S. Asset Management Common Stock 2010-12-03 4 M 0 210000 35.035 A 277407 D Common Stock 2010-12-03 4 S 0 189018 53.7882 D 88389 D Common Stock 2010-12-06 5 G 0 E 1291 0 D 87098 D Common Stock 2010-12-07 5 G 0 E 18525 0 D 68573 D Common Stock 236.550 I By 401(k) Plan Employee Stock Option (Right to Buy) 35.035 2010-12-03 4 M 0 210000 0 D 2009-10-03 2015-10-02 Common Stock 210000 66817 D Reflects the weighted average price of 189,018 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 3, 2010 with sale prices ranging from $53.75 to $53.8482 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. The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc. to a private charitable foundation established by the reporting person and his spouse. The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc. to Middlebury College. 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 1, 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 William Fredrick Truscott 2010-12-07 -----END PRIVACY-ENHANCED MESSAGE-----