0001179110-12-012628.txt : 20120809
0001179110-12-012628.hdr.sgml : 20120809
20120809163202
ACCESSION NUMBER: 0001179110-12-012628
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20060126
FILED AS OF DATE: 20120809
DATE AS OF CHANGE: 20120809
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Stewart David Kent
CENTRAL INDEX KEY: 0001335728
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 121020771
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 -
X0306
4
2006-01-26
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335728
Stewart David Kent
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Sr Vice Pres and Controller
Common Stock
2012-08-07
4
M
0
23069
35.035
A
34868
D
Common Stock
2012-08-07
4
M
0
9400
43.655
A
44268
D
Common Stock
2012-08-07
4
S
0
29152
54.00
D
15116
D
Common Stock
229.25
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
35.035
2012-08-07
4
M
0
23069
0.00
D
2009-10-03
2015-10-02
Common Stock
23069
0
D
Employee Stock Option (Right to Buy)
43.655
2006-01-26
4
A
0
21723
0.00
A
2016-01-27
Common Stock
21723
21723
D
Employee Stock Option (Right to Buy)
43.655
2012-08-07
4
M
0
9400
0.00
D
2010-01-26
2016-01-27
Common Stock
9400
12323
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 August 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.
The January 26, 2006 stock option award was not previously reported on behalf of the reporting person and, therefore, is being reported on this Form 4.
Options became exercisable in four equal installments beginning January 26, 2007.
/s/ Thomas R. Moore for David Kent Stewart
2012-08-09