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