0001179110-13-014182.txt : 20130913 0001179110-13-014182.hdr.sgml : 20130913 20130913163533 ACCESSION NUMBER: 0001179110-13-014182 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130911 FILED AS OF DATE: 20130913 DATE AS OF CHANGE: 20130913 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: Berman Walter Stanley CENTRAL INDEX KEY: 0001335761 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 131096679 MAIL ADDRESS: STREET 1: AMERIPRISE FINANCIAL, INC. STREET 2: 707 SECOND AVENUE SOUTH CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0306 4 2013-09-11 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335761 Berman Walter Stanley GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Executive VP and CFO Common Stock 2013-09-11 4 M 0 32563 21.34 A 83085 D Common Stock 2013-09-11 4 M 0 71091 43.655 A 154176 D Common Stock 2013-09-11 4 F 0 73804 90.40 D 80372 D Common Stock 2013-09-11 4 S 0 14925 90.4718 D 65447 D Common Stock 2013-09-12 4 S 0 15000 90.9169 D 50447 D Common Stock 293.94 I By 401(k) Plan Employee Stock Option (right to buy) 21.34 2013-09-11 4 M 0 32563 0 D 2013-02-02 2019-02-03 Common Stock 32563 0 D Employee Stock Option (right to buy) 43.655 2013-09-11 4 M 0 71091 0 D 2010-01-26 2016-01-27 Common Stock 71091 0 D Reflects the weighted average price of 14,925 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 11, 2013 with sale prices ranging from $90.41 to $90.53 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 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. Reflects the weighted average price of 15,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 12, 2013 with sale prices ranging from $90.88 to $91.00 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/ Susan M. Beltz for Walter Stanley Berman 2013-09-13