0001179110-13-002554.txt : 20130212 0001179110-13-002554.hdr.sgml : 20130212 20130212192144 ACCESSION NUMBER: 0001179110-13-002554 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130208 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sharan Kim Michelle CENTRAL INDEX KEY: 0001335741 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 13599050 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 2013-02-08 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335741 Sharan Kim Michelle GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres Fncl Plng & Wealth & CMO Common Stock 2013-02-08 4 M 0 40124 21.34 A 73516 D Common Stock 2013-02-09 4 S 0 33539 66.4388 D 39977 D Common Stock 2013-02-08 4 F 0 1665 66.49 D 38312 D Common Stock 251.9502 I By 401(k) Plan Employee Stock Option (Right to Buy) 21.34 2013-02-08 4 M 0 40124 0.00 D 2019-02-02 Common Stock 40124 0 D Phantom Stock 2013-02-08 4 A 0 815.9122 66.49 A Common Stock 815.9122 11143.516 D Reflects the weighted average price of 33,539 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 8, 2013 with sale prices ranging from $66.40 to $66.50 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. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. Includes 48.6679 phantom shares credited to the reporting person's account as a result of the deemed reinvestment of dividends allocated since phantom shares were last reported. /s/ Thomas R. Moore for Kim Michele Sharan 2013-02-12