0001179110-13-002292.txt : 20130208 0001179110-13-002292.hdr.sgml : 20130208 20130208173754 ACCESSION NUMBER: 0001179110-13-002292 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130206 FILED AS OF DATE: 20130208 DATE AS OF CHANGE: 20130208 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: 13587993 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 2013-02-06 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 2013-02-06 4 M 0 200000 35.035 A 483703 D Common Stock 2013-02-06 4 F 0 77249 66.30 D 406454 D Common Stock 2013-02-06 4 F 0 77249 66.48 D 329205 D Common Stock 2013-02-06 4 S 0 22752 66.3566 D 306453 D Common Stock 2013-02-06 4 F 0 5096 66.61 D 301357 D Common Stock 2013-02-07 4 M 0 200000 35.035 A 501357 D Common Stock 2013-02-07 4 F 0 154352 66.61 D 347005 D Common Stock 2013-02-07 4 F 0 5553 66.13 D 341452 D Common Stock 1370.5678 I By 401(k) Plan Employee Stock Option (right to buy) 35.035 2013-02-06 4 M 0 200000 0.00 D 2009-10-03 2015-10-02 Common Stock 200000 200000 D Employee Stock Option (right to buy) 35.035 2013-02-07 4 M 0 200000 0.00 D 2009-10-03 2015-10-02 Common Stock 200000 0 D Reflects the weighted average price of 22,752 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 6, 2013 with sale prices ranging from $66.30 to $66.48 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. /s/ Thomas R. Moore for James M. Cracchiolo 2013-02-08