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