0001179110-12-015740.txt : 20121106
0001179110-12-015740.hdr.sgml : 20121106
20121106165539
ACCESSION NUMBER: 0001179110-12-015740
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20121102
FILED AS OF DATE: 20121106
DATE AS OF CHANGE: 20121106
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sweeney Joseph Edward
CENTRAL INDEX KEY: 0001335749
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 121183867
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
2012-11-02
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335749
Sweeney Joseph Edward
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres-AWM Products & Services
Common Stock
2012-11-02
4
M
0
62000
35.035
A
79457
D
Common Stock
2012-11-02
4
M
0
53000
21.34
A
132457
D
Common Stock
2012-11-02
4
S
0
108799
60.00
D
23658
D
Common Stock
50
I
By Son
Common Stock
237.30
I
By 401(k) Plan
Employee Stock Option (right to buy)
35.035
2012-11-02
4
M
0
62000
0.00
D
2009-10-03
2015-10-02
Common Stock
62000
0
D
Employee Stock Option (Right to Buy)
21.34
2012-11-02
4
M
0
53000
0.00
D
2019-02-03
Common Stock
53000
57199
D
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 30, 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 vest after three years; and the final third vest four years from February 2, 2009.
/s/ Thomas R. Moore for Joseph Edward Sweeney
2012-11-06
EX-24.1
2
sweeneypoa.txt
POWER OF ATTORNEY
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes
and appoints each of John C. Junek, Thomas R. Moore, David H. Weiser,
William H. Rice and Susan M. Beltz, signing singly, the undersigned's
true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the
undersigned's capacity as a officer of Ameriprise Financial, Inc.
(the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a)
of the Securities Exchange Act of 1934 and the rules thereunder,
and any other forms or reports, including amended reports,
the undersigned may be required to file with the United States
Securities and Exchange Commission ("SEC") in connection with
the undersigned's ownership, acquisition, or disposition of
securities of the Company, including Form 144;
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and
execute any such Form 3, 4 or 5, or other form or report, including
the completion, execution and filing for Form ID, including
amendments thereto, and any other documents necessary or
appropriate to obtain codes and passwords enabling the undersigned
to make electronic filings with the SEC of reports required
by Section 16(a) of the Securities and Exchange Act of 1934 or
any rule or regulation of the SEC and time file such form or
report with the SEC and any stock exchange or similar authority; and
(3) take any other action of any type whatsoever in
connection with the foregoing which, in the opinion of such
attorney-in-fact, may be of benefit to, in the best interest of,
or legally required by, the undersigned, it being understood that
the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such
form and shall contain such terms and conditions as such
attorney-in-fact may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full
power and authority to do and perform any and every act and thing
whatsoever requisite, necessary, or proper to be done in the
exercise of any of the rights and powers herein granted, as fully
to all intents and purposes as the undersigned might or could do
if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or
such attorney-in-fact's substitute or substitutes, shall lawfully do
or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges
that the foregoing attorneys-in-fact, in serving in such capacity
at the request of the undersigned, are not assuming, nor is the
Company assuming, any of the undersigned's responsibilities
to comply with Section 16 of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect
until the undersigned is no longer required to file
Forms 3, 4 and 5 with respect to the undersigned's holdings of
and transactions in securities issued by the Company, unless
earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power
of Attorney to be executed as of this 5th day of June, 2012.
/s/ Joseph E. Sweeney
Name: Joseph E. Sweeney
Title: President, Advice and Wealth Management Products
and Services and Service Delivery of Ameriprise Financial, Inc.
(Title Effective as of June 18, 2012)