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.