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