0001179110-13-004752.txt : 20130308
0001179110-13-004752.hdr.sgml : 20130308
20130308180857
ACCESSION NUMBER: 0001179110-13-004752
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130306
FILED AS OF DATE: 20130308
DATE AS OF CHANGE: 20130308
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Froude Donald E
CENTRAL INDEX KEY: 0001444795
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 13678792
MAIL ADDRESS:
STREET 1: 1098 AMERIPRISE FINANCIAL CENTER
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: 612-671-3131
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
2013-03-06
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001444795
Froude Donald E
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres., Personal Advisors Group
Common Stock
2013-03-06
4
M
0
40000
21.34
A
87622
D
Common Stock
2013-03-06
4
S
0
36068
70.2476
D
51554
D
Common Stock
2013-03-07
4
G
0
360
0.00
D
51194
D
Common Stock
3704.97
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
21.34
2013-03-06
4
M
0
40000
0.00
D
2013-02-02
2019-02-03
Common Stock
40000
39979
D
Reflects the weighted average price of 36,068 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on March 6, 2013 with sale prices ranging from $70.18 to $70.4692 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.
The reporting person made an in-kind charitable gift of 360 shares of Ameriprise Financial, Inc. common stock to the College of the Holy Cross.
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 March 5, 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 Donald E. Froude
2013-03-07