0001179110-13-011784.txt : 20130715 0001179110-13-011784.hdr.sgml : 20130715 20130715171657 ACCESSION NUMBER: 0001179110-13-011784 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130702 FILED AS OF DATE: 20130715 DATE AS OF CHANGE: 20130715 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Froude Donald E CENTRAL INDEX KEY: 0001444795 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 13968863 MAIL ADDRESS: STREET 1: 1098 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0306 4 2013-07-02 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001444795 Froude Donald E 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres., Personal Advisors Group Common Stock 2013-07-02 5 G 0 E 900 0.00 D 43294 D Common Stock 2013-07-11 4 M 0 10544.5376 A 53838.5376 D Common Stock 2013-07-11 4 F 0 5039.5376 86.46 D 48799 D Common Stock 3701.990 I By 401(k) Plan Phantom Stock 2013-07-11 4 M 0 10544.5376 D Common Stock 10544.5376 33276.6452 D The reporting person made an in-kind charitable gift of 900 shares of Ameriprise Financial, Inc. common stock to the College of the Holy Cross. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. 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 7, 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. Shares of phantom stock can be settled only in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. /s/ Thomas R. Moore for Donald E. Froude 2013-07-15