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