0001179110-13-012653.txt : 20130805
0001179110-13-012653.hdr.sgml : 20130805
20130805170342
ACCESSION NUMBER: 0001179110-13-012653
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: CRACCHIOLO JAMES M
CENTRAL INDEX KEY: 0001196484
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 131010892
4
1
edgar.xml
FORM 4 -
X0306
4
2013-08-01
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
2013-08-01
4
M
0
45886
21.34
A
438728
D
Common Stock
2013-08-01
4
F
0
28960
91.10
D
409768
D
Common Stock
2013-08-01
4
S
0
8463
91.1008
D
401305
D
Common Stock
2013-08-02
4
M
0
54114
21.34
A
455419
D
Common Stock
2013-08-02
4
F
0
34162
91.10
D
421257
D
Common Stock
2013-08-02
4
S
0
9976
91.1005
D
411281
D
Common Stock
2013-08-05
4
M
0
100000
21.34
A
511281
D
Common Stock
2013-08-05
4
F
0
63108
91.21
D
448173
D
Common Stock
1384.10
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
21.34
2013-08-01
4
M
0
45886
0
D
2019-02-03
Common Stock
45886
254114
D
Employee Stock Option (Right to Buy)
21.34
2013-08-02
4
M
0
54114
0
D
2019-02-03
Common Stock
54114
200000
D
Employee Stock Option (Right to Buy)
21.34
2013-08-05
4
M
0
100000
0
D
2019-02-03
Common Stock
100000
100000
D
One-third of the options vest after two years, one-third vest after three years; and the final third vest four years from February 2, 2009.
Reflects the weighted average price of 8,463 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 1, 2013 with sale prices ranging from $91.10 to $91.1050 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 9,976 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 2, 2013 with sale prices ranging from $91.10 to $91.11 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 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 James M. Cracchiolo
2013-08-05