0001179110-12-010830.txt : 20120627
0001179110-12-010830.hdr.sgml : 20120627
20120627185022
ACCESSION NUMBER: 0001179110-12-010830
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20120618
FILED AS OF DATE: 20120627
DATE AS OF CHANGE: 20120627
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Maglaque Charles Neal
CENTRAL INDEX KEY: 0001552029
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 12930605
MAIL ADDRESS:
STREET 1: GENERAL COUNSEL'S OFFICE
STREET 2: 1098 AMERIPRISE FINANCIAL CENTER
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
3
1
edgar.xml
FORM 3 -
X0205
3
2012-06-18
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001552029
Maglaque Charles Neal
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres. Advice & Wealth Mgt, COO
Common Stock
10513
D
Common Stock
333.68
I
By 401(k) Plan
Phantom Stock
Common Stock
3045.4430
D
Employee Stock Option (right to buy)
35.035
2015-10-02
Common Stock
6800
D
Employee Stock Option (right to buy)
43.655
2016-01-27
Common Stock
14317
D
Employee Stock Option (right to buy)
58.73
2017-01-30
Common Stock
5753
D
Employee Stock Option (right to buy)
52.86
2018-01-29
Common Stock
14286
D
Employee Stock Option (right to buy)
21.34
2019-02-03
Common Stock
36734
D
Employee Stock Option (right to buy)
36.97
2019-10-02
Common Stock
4766
D
Employee Stock Option (right to buy)
37.23
2020-02-09
Common Stock
14842
D
Employee Stock Option (right to buy)
58.70
2021-02-08
Common Stock
5986
D
Employee Stock Option (right to buy)
54.33
2022-02-07
Common Stock
8058
D
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 June 18, 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.
Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
The option vested 100% on October 3, 2009.
The option vested 100% on January 26, 2010.
The option vested 100% on January 30, 2010.
The option vested 100% on January 29, 2011.
The option vested 100% on February 2, 2012.
The option vests in three equal installments beginning on October 1, 2010.
The option vests in three equal installments beginning on February 8, 2011.
The option vests in three equal installments beginning on February 7, 2012.
The option vests in three equal installments beginning on February 6, 2013.
/s/ Thomas R. Moore for Charles Neal Maglaque
2012-06-27
EX-24.1
2
poamaglaque.txt
POWER OF ATTORNEY
POWER OF ATTORNEY
Know all by these presents, that the undersigned
hereby constitutes and appoints each of John C. Junek,
Thomas R. Moore, David H. Weiser, William H. Rice and
Susan M. Beltz, signing singly, the undersigned's
true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in
the undersigned's capacity as an officer of Ameriprise
Financial, Inc. (the "Company"), Forms 3, 4, and 5 in
accordance with Section 16(a) of the Securities Exchange
Act of 1934 and the rules thereunder, and any other
forms or reports, including amended reports, the
undersigned may be required to file with the United
States Securities and Exchange Commission ("SEC")
in connection with the undersigned's ownership,
acquisition, or disposition of securities of the
Company, including Form 144;
(2) do and perform any and all acts for and on behalf
of the undersigned which may be necessary or desirable
to complete and execute any such Form 3, 4, or 5, or
other form or report, including the completion,
execution and filing of Form ID, including amendments
thereto, and any other documents necessary or appropriate
to obtain codes and passwords enabling the undersigned
to make electronic filings with the SEC of reports
required by Section 16(a) of the Securities Exchange Act
of 1934 or any rule or regulation of the SEC and and
timely file such form or report with the SEC and any
stock exchange or similar authority; and
(3) take any other action of any type whatsoever in
connection with the foregoing which, in the opinion of
such attorney-in-fact, may be of benefit to, in the
best interest of, or legally required by, the
undersigned, it being understood that the documents
executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall
be in such form and shall contain such terms and
conditions as such attorney-in-fact may approve in
such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-
in-fact full power and authority to do and perform any
and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any
of the rights and powers herein granted, as fully to
all intents and purposes as the undersigned might or
could do if personally present, with full power of
substitution or revocation, hereby ratifying and
confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power
of attorney and the rights and powers herein granted.
The undersigned acknowledges that the foregoing
attorneys-in-fact, in serving in such capacity at the
request of the undersigned, are not assuming, nor is
the Company assuming, any of the undersigned's
responsibilities to comply with Section 16
of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to
file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in
securities issued by the Company, unless earlier
revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this
Power of Attorney to be executed as of this 9th day
of May, 2012.
/s/ Charles Neal Maglaque
Name: Charles Neal Maglaqe
Title: President, Advice and Wealth Management
Business Development and Chief Operating Officer of
Ameriprise Financial, Inc.
(Title Effective as of June 18, 2012)