0001179110-13-002053.txt : 20130206
0001179110-13-002053.hdr.sgml : 20130206
20130206192152
ACCESSION NUMBER: 0001179110-13-002053
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130204
FILED AS OF DATE: 20130206
DATE AS OF CHANGE: 20130206
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRUSCOTT WILLIAM F
CENTRAL INDEX KEY: 0001282835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 13579686
MAIL ADDRESS:
STREET 1: AMERIPRISE FINANCIAL, INC.
STREET 2: 50591 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
4
1
edgar.xml
FORM 4 -
X0306
4
2013-02-04
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001282835
TRUSCOTT WILLIAM F
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
CEO, U.S. Asset Management
Common Stock
2013-02-04
4
M
0
200000
21.34
A
226434
D
Common Stock
2013-02-04
4
S
0
191516
65.5239
D
34918
D
Common Stock
2013-02-04
4
A
0
7845
0.00
A
42763
D
Common Stock
46644
I
By LLC
Common Stock
245.54
I
By 401(k) Plan
Employee Stock Option (right to buy)
21.34
2013-02-04
4
M
0
200000
0.00
D
2019-02-03
Common Stock
200000
127773
D
Employee Stock Option (right to buy)
65.31
2013-02-04
4
A
0
56688
0.00
A
2023-02-05
Common Stock
56688
56688
D
Reflects the weighted average price of 191,516 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 $65.87 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 William Fredrick Truscott
2013-02-06