0001179110-13-012652.txt : 20130805 0001179110-13-012652.hdr.sgml : 20130805 20130805170119 ACCESSION NUMBER: 0001179110-13-012652 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130801 FILED AS OF DATE: 20130805 DATE AS OF CHANGE: 20130805 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: Kupper Randy CENTRAL INDEX KEY: 0001552030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 131010870 MAIL ADDRESS: STREET 1: GENERAL COUNSEL'S OFFICE STREET 2: 1098 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0306 4 2013-08-01 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001552030 Kupper Randy 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 EVP Technology and CIO Common Stock 2013-08-01 4 M 0 13193 37.23 A 46098 D Common Stock 2013-08-01 4 S 0 10866 91.00 D 35232 D Common Stock 44.170 I By 401(k) Plan Employee Stock Option (Right to Buy) 37.23 2013-08-01 4 M 0 13193 0 A 2020-02-09 Common Stock 13193 0 D The option vests in three equal installments beginning on February 8, 2011. 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 July 26, 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 Randy Kupper 2013-08-05