0001179110-13-002052.txt : 20130206 0001179110-13-002052.hdr.sgml : 20130206 20130206192034 ACCESSION NUMBER: 0001179110-13-002052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130204 FILED AS OF DATE: 20130206 DATE AS OF CHANGE: 20130206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sweeney Joseph Edward CENTRAL INDEX KEY: 0001335749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 13579685 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 2013-02-04 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335749 Sweeney Joseph Edward GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres-AWM Products & Services Common Stock 2013-02-04 4 M 0 57199 21.34 A 80857 D Common Stock 2013-02-04 4 S 0 46435 65.4229 D 34422 D Common Stock 2013-02-04 4 A 0 3344 0.00 A 37766 D Common Stock 50 I By Son Common Stock 238.58 I By 401(k) Plan Employee Stock Option (right to buy) 21.34 2013-02-04 4 M 0 57199 0.00 D 2019-02-03 Common Stock 57199 0 D Employee Stock Option (right to buy) 65.31 2013-02-04 4 A 0 24162 0.00 A 2023-02-05 Common Stock 24162 24162 D Reflects the weighted average price of 46,435 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 4, 2013 with sale prices ranging from $65.23 to $65.65 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 February 4, 2013. 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. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 4, 2013. /s/ Thomas R. Moore for Joseph Edward Sweeney 2013-02-06