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