0001179110-13-014125.txt : 20130912 0001179110-13-014125.hdr.sgml : 20130912 20130912171135 ACCESSION NUMBER: 0001179110-13-014125 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130910 FILED AS OF DATE: 20130912 DATE AS OF CHANGE: 20130912 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: Maglaque Charles Neal CENTRAL INDEX KEY: 0001552029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 131094746 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 2013-09-10 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001552029 Maglaque Charles Neal 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres. Advice & Wealth Mgt, COO Common Stock 2013-09-10 4 M 0 4766 36.97 A 19499 D Common Stock 2013-09-10 4 M 0 13500 37.23 A 32999 D Common Stock 2013-09-10 4 F 0 13183 88.90 D 19816 D Common Stock 2013-09-10 4 S 0 2541 90.6615 D 17275 D Common Stock 342.39 I By 401(k) Plan Employee Stock Option (right to buy) 36.97 2013-09-10 4 M 0 4766 0 D 2012-10-01 2019-10-02 Common Stock 4766 0 D Employee Stock Option (right to buy) 37.23 2013-09-10 4 M 0 13500 0 D 2013-02-08 2020-02-09 Common Stock 13500 1342 D Reflects the weighted average price of 2,541 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 10, 2013 with sale prices ranging from $90.64 to $90.711 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 September 3, 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/ Susan M. Beltz for Charles Neal Maglaque 2013-09-12