0001179110-12-014166.txt : 20120917 0001179110-12-014166.hdr.sgml : 20120917 20120917183114 ACCESSION NUMBER: 0001179110-12-014166 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120914 FILED AS OF DATE: 20120917 DATE AS OF CHANGE: 20120917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maglaque Charles Neal CENTRAL INDEX KEY: 0001552029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 121095822 MAIL ADDRESS: STREET 1: GENERAL COUNSEL'S OFFICE STREET 2: 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 2012-09-14 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001552029 Maglaque Charles Neal 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres. Advice & Wealth Mgt, COO Common Stock 2012-09-14 4 M 0 6800 35.035 A 17313 D Common Stock 2012-09-14 4 M 0 30380 21.34 A 47693 D Common Stock 2012-09-14 4 S 0 34065 60.05 D 13628 D Common Stock 335.30 I By 401(k) Plan Employee Stock Option (right to buy) 35.035 2012-09-14 4 M 0 6800 0.00 D 2009-10-03 2015-10-02 Common Stock 6800 0 D Employee Stock Option (right to buy) 21.34 2012-09-14 4 M 0 30380 0.00 D 2012-02-02 2019-02-03 Common Stock 30380 6354 D Reflects the weighted average price of 34,065 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 14, 2012 with sale prices ranging from $59.90 to $60.251 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 September 13, 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/ Susan M. Beltz for Charles Neal Maglaque 2012-09-17