0001179110-12-017149.txt : 20121207 0001179110-12-017149.hdr.sgml : 20121207 20121207172018 ACCESSION NUMBER: 0001179110-12-017149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20101105 FILED AS OF DATE: 20121207 DATE AS OF CHANGE: 20121207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stewart David Kent CENTRAL INDEX KEY: 0001335728 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 121250977 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 2010-11-05 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335728 Stewart David Kent GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Sr Vice Pres and Controller Common Stock 2010-11-05 4 M 0 6418 20.819 A 21534 D Common Stock 2010-11-05 4 M 0 9627 31.313 A 31161 D Common Stock 2010-11-05 4 M 0 14440 32.587 A 45601 D Common Stock 2010-11-05 4 S 0 25814 54.6395 D 19787 D Common Stock 2012-12-06 4 M 0 12323 43.655 A 32110 D Common Stock 2012-12-06 4 M 0 28257 21.34 A 60367 D Common Stock 2012-12-06 4 S 0 34316 61.2930 D 26051 D Common Stock 323.080 I By 401(k) Plan Employee Stock Option (Right to Buy) 20.819 2010-11-05 4 M 0 6418 0.00 D 2007-01-27 2013-01-26 Common Stock 6418 0 D Employee Stock Option (Right to Buy) 31.313 2010-11-05 4 M 0 9627 0.00 D 2008-01-26 2014-01-25 Common Stock 9627 0 D Employee Stock Option (Right to Buy) 32.587 2010-11-05 4 M 0 14440 0.00 D 2009-01-24 2015-01-23 Common Stock 14440 0 D Employee Stock Option (Right to Buy) 43.655 2012-12-06 4 M 0 12323 0.00 D 2009-01-26 2016-01-27 Common Stock 12323 0 D Employee Stock Option (Right to Buy) 21.34 2012-12-06 4 M 0 28257 0.00 D 2012-02-02 2019-02-02 Common Stock 28257 0 D Reflects the weighted average price of 25,814 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 5, 2010 with sale prices ranging from $54.3610 to $54.7371 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 34,316 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 6, 2012 with sale prices ranging from $61.22 to $61.40 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. The balance reported on this Form 4 also reflects that the reporting person's Form 4 filed on February 1, 2011, and all subsequent Form 4s, understated the amount of securities owned by the reporting person by 4,671 shares of common stock. 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 December 5, 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 David Kent Stewart 2012-12-07 EX-24.1 2 stewartpoa.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 an 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 the undersigned may be required to file 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 of Form ID, and timely file such form or report with the United States Securities and Exchange Commission 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 7th day of June, 2011. /s/ David K. Stewart Name: David K. Stewart Title: Senior Vice President and Controller of Ameriprise Financial, Inc.