0001179110-13-006658.txt : 20130410 0001179110-13-006658.hdr.sgml : 20130410 20130410175641 ACCESSION NUMBER: 0001179110-13-006658 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130408 FILED AS OF DATE: 20130410 DATE AS OF CHANGE: 20130410 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Junek John Carl CENTRAL INDEX KEY: 0001335388 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 13754584 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: 612-671-3131 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 2013-04-08 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335388 Junek John Carl GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Exec VP and General Counsel Common Stock 2013-04-08 4 M 0 19025 21.34 A 65648 D Common Stock 2013-04-08 4 S 0 23461 71.2997 D 42187 D Common Stock 2013-04-09 4 M 0 19000 21.34 A 61187 D Common Stock 2013-04-09 4 S 0 22794 72.4122 D 38393 D Common Stock 2013-04-10 4 M 0 19000 21.34 A 57393 D Common Stock 2013-04-10 4 S 0 24304 72.865 D 33089 D Common Stock 35.76 I By 401(k) Plan Employee Stock Option (Right to Buy) 21.34 2013-04-08 4 M 0 19025 0.00 D 2013-02-02 2019-02-03 Common Stock 19025 38000 D Employee Stock Option (Right to Buy) 21.34 2013-04-09 4 M 0 19000 0.00 D 2013-02-02 2019-02-03 Common Stock 19000 19000 D Employee Stock Option (Right to Buy) 21.34 2013-04-10 4 M 0 19000 0.00 D 2013-02-02 2019-02-03 Common Stock 19000 0 D Transaction effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 8, 2013. Reflects the weighted average price of 23,461 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on April 8, 2013 with sale prices ranging from $71.29 to $71.35 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. Reflects the weighted average price of 22,794 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on April 9, 2013 with sale prices ranging from $72.27 to $72.53 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. Reflects the weighted average price of 24,304 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on April 10, 2013 with sale prices ranging from $72.79 to $73.10 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 April 8, 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 John Carl Junek 2013-04-10