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