0001179110-13-013097.txt : 20130813 0001179110-13-013097.hdr.sgml : 20130813 20130813173210 ACCESSION NUMBER: 0001179110-13-013097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130809 FILED AS OF DATE: 20130813 DATE AS OF CHANGE: 20130813 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: 131034114 MAIL ADDRESS: STREET 1: 1098 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0306 4 2013-08-09 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 2013-08-09 4 S 0 10000 90.25 D 38799 D Common Stock 2013-08-13 4 M 0 20000 21.34 A 58799 D Common Stock 2013-08-13 4 F 0 12411 89.31 D 46388 D Common Stock 2013-08-13 4 S 0 3794 90.30 D 42594 D Common Stock 3714.94 I By 401(k) Plan Employee Stock Option (Right to Buy) 21.34 2013-08-13 4 M 0 20000 0 D 2013-02-02 2019-02-03 Common Stock 20000 19979 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 August 9, 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. Reflects the weighted average price of 3,794 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 13, 2013 with sale prices ranging from $90.281 to $90.3250 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. /s/ Thomas R. Moore for Donald E. Froude 2013-08-13