0001179110-12-016588.txt : 20121128
0001179110-12-016588.hdr.sgml : 20121128
20121128175655
ACCESSION NUMBER: 0001179110-12-016588
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121126
FILED AS OF DATE: 20121128
DATE AS OF CHANGE: 20121128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRACCHIOLO JAMES M
CENTRAL INDEX KEY: 0001196484
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 121229943
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
2012-11-26
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001196484
CRACCHIOLO JAMES M
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
1
1
0
0
Chairman and CEO
Common Stock
2012-11-26
4
M
0
138672
35.035
A
367549
D
Common Stock
2012-11-26
4
S
0
123065
60.5049
D
244484
D
Common Stock
2012-11-27
4
M
0
61328
35.035
A
305812
D
Common Stock
2012-11-27
4
S
0
105632
60.6643
D
200180
D
Common Stock
2012-11-28
4
M
0
78186
35.035
A
278366
D
Common Stock
2012-11-28
4
S
0
69498
60.5081
D
208868
D
Common Stock
1372.27
I
By 401(k) Plan
Employee Stock Option (right to buy)
35.035
2012-11-26
4
M
0
138672
0.00
D
2009-10-03
2015-10-02
Common Stock
138672
539514
D
Employee Stock Option (right to buy)
35.035
2012-11-27
4
M
0
61328
0.00
D
2009-10-03
2015-10-02
Common Stock
61328
478186
D
Employee Stock Option (right to buy)
35.035
2012-11-28
4
M
0
78186
0.00
D
2009-10-03
2015-10-02
Common Stock
78186
400000
D
Reflects the weighted average price of 123,065 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 26, 2012 with sale prices ranging from $60.50 to $60.58 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 105,632 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 27, 2012 with sale prices ranging from $60.50 to $60.9198 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 69,498 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 28, 2012 with sale prices ranging from $60.50 to $60.579 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 November 23, 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/ Thomas R. Moore for James M. Cracchiolo
2012-11-28