-----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, KXK93aSv6fsfh9QKcD+uDYZ8DB8PriuXwvsUkYE/18W9QtS8zUi1akK6g7DfIoV/ h3qowp+M5Hin4ACM9i9ZSQ== 0001179110-11-002294.txt : 20110209 0001179110-11-002294.hdr.sgml : 20110209 20110209183531 ACCESSION NUMBER: 0001179110-11-002294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110207 FILED AS OF DATE: 20110209 DATE AS OF CHANGE: 20110209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Berman Walter Stanley CENTRAL INDEX KEY: 0001335761 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 11588652 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 2011-02-07 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335761 Berman Walter Stanley GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Executive VP and CFO Common Stock 2011-02-07 4 A 0 10068 0 A 37362 D Common Stock 2011-02-08 4 F 0 3307 60.14 D 34055 D Common Stock 278.19 I By 401(k) Plan Employee Stock Option (right to buy) 58.70 2011-02-07 4 A 0 55273 0 A 2021-02-07 Common Stock 55273 55273 D Restricted stock unit award grant, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 7, 2012, February 7, 2013 and February 7, 2014. 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 8, 2011. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock. One-third of the shares vest after one year; one-third of the shares vest after two years and the final shares vest three years from February 7, 2011. /s/ Thomas R. Moore for Walter Stanley Berman 2011-02-09 -----END PRIVACY-ENHANCED MESSAGE-----