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