0001179110-12-015647.txt : 20121102
0001179110-12-015647.hdr.sgml : 20121102
20121102172058
ACCESSION NUMBER: 0001179110-12-015647
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121031
FILED AS OF DATE: 20121102
DATE AS OF CHANGE: 20121102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Junek John Carl
CENTRAL INDEX KEY: 0001335388
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 121177761
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
2012-10-31
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335388
Junek John Carl
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Exec VP and General Counsel
Common Stock
2012-10-31
4
M
0
46139
35.035
A
84246
D
Common Stock
2012-10-31
4
M
0
21000
21.34
A
105246
D
Common Stock
2012-10-31
4
S
0
38604
57.3486
D
66642
D
Common Stock
2012-10-31
4
S
0
19303
58.3526
D
47339
D
Common Stock
2012-10-31
4
S
0
356
58.91
D
0
I
By IRA
Common Stock
164
I
By Roth IRA
Common Stock
35.37
I
By 401(k) Plan
Employee Stock Option (right to buy)
35.035
2012-10-31
4
M
0
46139
0.00
D
2009-10-03
2015-10-02
Common Stock
46139
0
D
Employee Stock Option (right to buy)
21.34
2012-10-31
4
M
0
21000
0.00
D
2019-02-02
Common Stock
21000
92025
D
Transaction effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 28, 2012.
Reflects the weighted average price of 38,604 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 31, 2012 with sale prices ranging from $56.7771 to $57.5114 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 19,303 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 31, 2012 with sale prices ranging from $58.08 to $59.00 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.
On September 27, 2012, the reporting person executed an in-service distribution of 356 shares of common stock of Ameriprise Financial, Inc. to his IRA account. On previous Section 16 reports, the reporting person reported these shares of common stock as indirectly held in his 401(k) account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan.
On September 20, 2012, the reporting person executed an in-service distribution of 164 shares of common stock of Ameriprise Financial, Inc. to his Roth IRA account. On previous Section 16 reports, the reporting person reported these shares of common stock as indirectly held in his 401(k) account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan.
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 October 31, 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.
One-third of the options vest after two years; one-third of the options vest after three years and the final third vest four years from February 2, 2009.
/s/ Thomas R. Moore for John Carl Junek
2012-11-02