0001179110-12-005988.txt : 20120330 0001179110-12-005988.hdr.sgml : 20120330 20120330164846 ACCESSION NUMBER: 0001179110-12-005988 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120328 FILED AS OF DATE: 20120330 DATE AS OF CHANGE: 20120330 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Junek John Carl CENTRAL INDEX KEY: 0001335388 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 12729914 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 - X0305 4 2012-03-28 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335388 Junek John Carl GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Exec VP and General Counsel Common Stock 2012-03-28 4 S 0 377 57.55 D 35747 D Common Stock 2012-03-29 4 M 0 21661 32.587 A 57408 D Common Stock 2012-03-29 4 M 0 39982 35.035 A 97390 D Common Stock 2012-03-29 4 S 0 61324 56.6951 D 36066 D Common Stock 2012-03-30 4 M 0 6154 35.035 A 42220 D Common Stock 2012-03-30 4 S 0 4770 57.008 D 37450 D Common Stock 548.88 I By 401(k) Plan Employee Stock Option (right to buy) 32.587 2012-03-29 4 M 0 21661 0.00 D 2009-01-24 2015-01-23 Common Stock 21661 0 D Employee Stock Option (right to buy) 35.035 2012-03-29 4 M 0 39982 0.00 D 2009-10-03 2015-10-02 Common Stock 39982 98427 D Employee Stock Option (right to buy) 35.035 2012-03-30 4 M 0 6154 0.00 D 2009-10-03 2015-10-02 Common Stock 6154 92273 D Sales and option exercises effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 24, 2012. Reflects the weighted average price of 61,324 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on March 29, 2012 with sale prices ranging from $56.48 to $57.00 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. /s/ Thomas R. Moore for John Carl Junek 2012-03-30