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