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