0001179110-13-006809.txt : 20130415 0001179110-13-006809.hdr.sgml : 20130415 20130415171412 ACCESSION NUMBER: 0001179110-13-006809 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130411 FILED AS OF DATE: 20130415 DATE AS OF CHANGE: 20130415 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: 13762004 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 2013-04-11 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 2013-04-11 4 M 0 13823 43.655 A 46912 D Common Stock 2013-04-11 4 S 0 20512 74.6005 D 26400 D Common Stock 2013-04-12 4 M 0 13823 43.655 A 40223 D Common Stock 2013-04-12 4 S 0 12324 74.8716 D 27899 D Common Stock 35.76 I By 401(k) Plan Employee Stock Option (Right to Buy) 43.655 2013-04-11 4 M 0 13823 0.00 D 2010-01-26 2016-01-27 Common Stock 13823 27647 D Employee Stock Option (Right to Buy) 43.655 2013-04-12 4 M 0 13823 0.00 D 2010-01-26 2016-01-27 Common Stock 13823 13824 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 20,512 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on April 11, 2013 with sale prices ranging from $74.59 to $74.61 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 12,324 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on April 12, 2013 with sale prices ranging from $74.78 to $75.08 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 2013-04-15