-----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, Aupe/gI7760NEyv/Cr6Zpx6x014eEK4Fv2EqGOl2RKZPWJqcAPiI88IurG/pmaBB +r/Scsi8boku7YtV6mxlSQ== 0001179110-10-017439.txt : 20101213 0001179110-10-017439.hdr.sgml : 20101213 20101213174817 ACCESSION NUMBER: 0001179110-10-017439 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101210 FILED AS OF DATE: 20101213 DATE AS OF CHANGE: 20101213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sweeney Joseph Edward CENTRAL INDEX KEY: 0001335749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 101248912 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 2010-12-10 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335749 Sweeney Joseph Edward GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres-AWM Products & Services Common Stock 2010-12-10 4 M 0 48134 32.587 A 71056 D Common Stock 2010-12-10 4 M 0 67182 35.035 A 138238 D Common Stock 2010-12-10 4 S 0 108044 55.6298 D 30194 D Common Stock 229.67 I By 401(k) Plan Employee Stock Option (Right to Buy) 32.587 2010-12-10 4 M 0 48134 0 D 2009-01-24 2015-01-23 Common Stock 48134 0 D Employee Stock Option (Right to Buy) 35.035 2010-12-10 4 M 0 67182 0 D 2009-10-03 2015-10-02 Common Stock 67182 62000 D Reflects the weighted average price of 108,044 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 10, 2010 with sale prices ranging from $55.50 to $55.763 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 December 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/ Susan M. Beltz for Joseph Edward Sweeney 2010-12-13 -----END PRIVACY-ENHANCED MESSAGE-----