0001179110-12-002142.txt : 20120208 0001179110-12-002142.hdr.sgml : 20120208 20120208195554 ACCESSION NUMBER: 0001179110-12-002142 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120206 FILED AS OF DATE: 20120208 DATE AS OF CHANGE: 20120208 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: 12583612 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 - X0304 4 2012-02-06 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 Fncl Plng & Wealth & CMO Common Stock 2012-02-06 4 A 0 3994 0.00 A 32430 D Common Stock 2012-02-07 4 F 0 521 54.92 D 31909 D Common Stock 2012-02-08 4 M 0 35898 35.035 A 67807 D Common Stock 2012-02-08 4 S 0 48358 54.377 D 19449 D Common Stock 246.15 I By 401(k) Plan Employee Stock Option (right to buy) 54.33 2012-02-06 4 A 0 24007 0.00 A 2022-02-07 Common Stock 24007 24007 D Employee Stock Option (right to buy) 35.035 2012-02-08 4 M 0 35898 0.00 D 2009-10-03 2015-10-02 Common Stock 35898 35000 D Restricted stock unit award grant, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 6, 2013, February 6, 2014 and February 6, 2015. Reflects the weighted average price of 48,358 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 8, 2012 with sale prices ranging from $54.28 to $54.45 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 6, 2012. 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 options vest after one year; one-third of the options vest after two years and the final options vest three years from February 6, 2012. /s/ Susan M. Beltz for Kim Michele Sharan 2012-02-08