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