0001179110-13-008376.txt : 20130514 0001179110-13-008376.hdr.sgml : 20130514 20130514173916 ACCESSION NUMBER: 0001179110-13-008376 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130510 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRACCHIOLO JAMES M CENTRAL INDEX KEY: 0001196484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 13842947 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 2013-05-10 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001196484 CRACCHIOLO JAMES M GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 1 0 0 Chairman and CEO Common Stock 2013-05-10 4 M 0 100000 43.655 A 470550 D Common Stock 2013-05-10 4 F 0 78799 78.00 D 391751 D Common Stock 2013-05-10 4 S 0 10600 78.00 D 381151 D Common Stock 2013-05-13 4 S 0 22075 79.10 D 359076 D Common Stock 2013-05-14 4 M 0 100000 43.655 A 459076 D Common Stock 2013-05-14 4 F 0 77856 80.80 D 381220 D Common Stock 2013-05-14 4 S 0 11072 80.80 D 370148 D Common Stock 1377.02 I By 401(k) Plan Employee Stock Option (Right to Buy) 43.655 2013-05-10 4 M 0 100000 0.00 D 2010-01-26 2016-01-27 Common Stock 100000 300000 D Employee Stock Option (Right to Buy) 43.655 2013-05-14 4 M 0 100000 0.00 D 2010-01-26 2016-01-27 Common Stock 100000 200000 D 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 May 6, 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 James M. Cracchiolo 2013-05-14