0001179110-12-013000.txt : 20120816 0001179110-12-013000.hdr.sgml : 20120816 20120816164753 ACCESSION NUMBER: 0001179110-12-013000 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120814 FILED AS OF DATE: 20120816 DATE AS OF CHANGE: 20120816 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRACCHIOLO JAMES M CENTRAL INDEX KEY: 0001196484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 121040509 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 2012-08-14 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001196484 CRACCHIOLO JAMES M GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 1 0 0 Chairman and CEO Common Stock 2012-08-14 4 M 0 54466 32.5871 A 283214 D Common Stock 2012-08-14 4 S 0 48625 54.4545 D 234589 D Common Stock 2012-08-15 4 M 0 45534 32.5871 A 280123 D Common Stock 2012-08-15 4 S 0 40654 54.4162 D 239469 D Common Stock 2012-08-16 4 M 0 32000 32.5871 A 271469 D Common Stock 2012-08-16 4 S 0 28560 54.5347 D 242909 D Common Stock 1339.02 I By 401(k) Plan Employee Stock Option (right to buy) 32.5871 2012-08-14 4 M 0 54466 0 D 2005-09-30 2015-01-23 Common Stock 54466 178182 D Employee Stock Option (right to buy) 32.5871 2012-08-15 4 M 0 45534 0 D 2005-09-30 2015-01-23 Common Stock 45534 132648 D Employee Stock Option (right to buy) 32.5871 2012-08-16 4 M 0 32000 0 D 2009-09-30 2015-01-23 Common Stock 32000 100648 D Reflects the weighted average price of 48,625 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 14, 2012 with sale prices ranging from $54.40 to $54.52 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. Reflects the weighted average price of 40,654 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 15, 2012 with sale prices ranging from $54.40 to $54.46 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. Reflects the weighted average price of 28,560 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 16, 2012 with sale prices ranging from $54.50 to $54.72 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 February 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. /s/ Thomas R. Moore for James M. Cracchiolo 2012-08-16