0001179110-12-017632.txt : 20121214
0001179110-12-017632.hdr.sgml : 20121214
20121214165310
ACCESSION NUMBER: 0001179110-12-017632
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121212
FILED AS OF DATE: 20121214
DATE AS OF CHANGE: 20121214
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: McGraw Deirdre Davey
CENTRAL INDEX KEY: 0001389812
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 121266240
MAIL ADDRESS:
STREET 1: 1098 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
FORMER NAME:
FORMER CONFORMED NAME: Davey Deirdre N
DATE OF NAME CHANGE: 20070213
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
2012-12-12
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001389812
McGraw Deirdre Davey
1098 AMERIPRISE FINANCIAL CENTER
GENERAL COUNSEL'S OFFICE
MINNEAPOLIS
MN
55474
0
1
0
0
EVP Corp Comm/Cmnity Rltns
Common Stock
2012-12-12
4
M
0
3110
35.035
A
12924
D
Common Stock
2012-12-12
4
M
0
8000
21.34
A
20924
D
Common Stock
2012-12-12
4
S
0
8237
61.9645
D
12687
D
Common Stock
2983.36
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
35.035
2012-12-12
4
M
0
3110
0.00
D
2009-10-03
2015-10-02
Common Stock
3110
3119
D
Employee Stock Option (Right to Buy)
21.34
2012-12-12
4
M
0
8000
0.00
D
2019-02-03
Common Stock
8000
21951
D
Reflects the weighted average price of 8,237 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 12, 2012 with sale prices ranging from $61.932 to $62.401 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 December 11, 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 Deirdre Davey McGraw
2012-12-14