0001179110-13-014281.txt : 20130917
0001179110-13-014281.hdr.sgml : 20130917
20130917165634
ACCESSION NUMBER: 0001179110-13-014281
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130913
FILED AS OF DATE: 20130917
DATE AS OF CHANGE: 20130917
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: Sharan Kim Michelle
CENTRAL INDEX KEY: 0001335741
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 131101829
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
2013-09-13
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335741
Sharan Kim Michelle
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres Fncl Plng & Wealth & CMO
Common Stock
2013-09-13
4
M
0
24901
37.23
A
50841
D
Common Stock
2013-09-13
4
F
0
17809
90.39
D
33032
D
Common Stock
2013-09-13
4
S
0
3546
90.7088
D
29486
D
Common Stock
255.86
I
By 401(k) Plan
Employee Stock Option (right to buy)
37.23
2013-09-13
4
M
0
24901
0
D
2013-02-08
2020-02-09
Common Stock
24901
0
D
Reflects the weighted average price of 3,546 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 13, 2013 with sale prices ranging from $90.70 to $90.73 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 12, 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/ Thomas R. Moore for Kim Michele Sharan
2013-09-17