0001179110-12-012527.txt : 20120807
0001179110-12-012527.hdr.sgml : 20120807
20120807173324
ACCESSION NUMBER: 0001179110-12-012527
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120803
FILED AS OF DATE: 20120807
DATE AS OF CHANGE: 20120807
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Froude Donald E
CENTRAL INDEX KEY: 0001444795
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 121014477
MAIL ADDRESS:
STREET 1: 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
4
1
edgar.xml
FORM 4 -
X0306
4
2012-08-03
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001444795
Froude Donald E
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres., Personal Advisors Group
Common Stock
2012-08-03
4
M
0
50000
21.34
A
90742
D
Common Stock
2012-08-03
4
S
0
41766
52.5865
D
48976
D
Common Stock
2694.863
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
21.34
2012-08-03
4
M
0
50000
0.00
D
2019-02-02
Common Stock
50000
79979
D
Reflects the weighted average price of 41,766 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 3, 2012 with sale prices ranging from $52.51 to $52.75 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 August 2, 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 two years; one-third of the options vest after three years and the final options vest four years from February 2, 2009
/s/ Thomas R. Moore for Donald E. Froude
2012-08-07