0001179110-12-017984.txt : 20121219 0001179110-12-017984.hdr.sgml : 20121219 20121219171211 ACCESSION NUMBER: 0001179110-12-017984 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121217 FILED AS OF DATE: 20121219 DATE AS OF CHANGE: 20121219 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: 121275117 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 2012-12-17 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 2012-12-17 4 M 0 100000 21.34 A 326457 D Common Stock 2012-12-17 4 S 0 83499 62.2544 D 242958 D Common Stock 2012-12-18 4 M 0 100000 21.34 A 342958 D Common Stock 2012-12-18 4 S 0 82363 62.9854 D 260595 D Common Stock 1372.16 I By 401(k) Plan Employee Stock Option (Right to Buy) 21.34 2012-12-17 4 M 0 100000 0.00 D 2019-02-03 Common Stock 100000 828531 D Employee Stock Option (Right to Buy) 21.34 2012-12-18 4 M 0 100000 0.00 D 2019-02-03 Common Stock 100000 728531 D Reflects the weighted average price of 83,499 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 17, 2012 with sale prices ranging from $62.25 to $62.28 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 82,363 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 18, 2012 with sale prices ranging from $62.90 to $63.18 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 14, 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 9, 2009. /s/ Thomas R. Moore for James M. Cracchiolo 2012-12-19