SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Maglaque Charles Neal

(Last) (First) (Middle)
1098 AMERIPRISE FINANCIAL CENTER

(Street)
MINNEAPOLIS MN 55474

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/18/2012
3. Issuer Name and Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC [ AMP ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Pres. Advice & Wealth Mgt, COO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 10,513 D
Common Stock 333.68 I By 401(k) Plan(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Phantom Stock (2) (2) Common Stock 3,045.443 (3) D
Employee Stock Option (right to buy) (4) 10/02/2015 Common Stock 6,800 $35.035 D
Employee Stock Option (right to buy) (5) 01/27/2016 Common Stock 14,317 $43.655 D
Employee Stock Option (right to buy) (6) 01/30/2017 Common Stock 5,753 $58.73 D
Employee Stock Option (right to buy) (7) 01/29/2018 Common Stock 14,286 $52.86 D
Employee Stock Option (right to buy) (8) 02/03/2019 Common Stock 36,734 $21.34 D
Employee Stock Option (right to buy) (9) 10/02/2019 Common Stock 4,766 $36.97 D
Employee Stock Option (right to buy) (10) 02/09/2020 Common Stock 14,842 $37.23 D
Employee Stock Option (right to buy) (11) 02/08/2021 Common Stock 5,986 $58.7 D
Employee Stock Option (right to buy) (12) 02/07/2022 Common Stock 8,058 $54.33 D
Explanation of Responses:
1. 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.
2. 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.
3. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
4. The option vested 100% on October 3, 2009.
5. The option vested 100% on January 26, 2010.
6. The option vested 100% on January 30, 2010.
7. The option vested 100% on January 29, 2011.
8. The option vested 100% on February 2, 2012.
9. The option vests in three equal installments beginning on October 1, 2010.
10. The option vests in three equal installments beginning on February 8, 2011.
11. The option vests in three equal installments beginning on February 7, 2012.
12. The option vests in three equal installments beginning on February 6, 2013.
/s/ Thomas R. Moore for Charles Neal Maglaque 06/27/2012
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.