0001179110-13-014289.txt : 20130917
0001179110-13-014289.hdr.sgml : 20130917
20130917172326
ACCESSION NUMBER: 0001179110-13-014289
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: Woerner John Robert
CENTRAL INDEX KEY: 0001336621
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 131102046
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
0001336621
Woerner John Robert
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres Ins & Chief Strat Officer
Common Stock
2013-09-13
4
M
0
20778
37.23
A
36582
D
Common Stock
2013-09-13
4
F
0
14449
90.39
D
22133
D
Common Stock
2013-09-13
4
S
0
3164
90.7311
D
18969
D
Common Stock
206.6
I
By 401(k) Plan
Employee Stock Option (right to buy)
37.23
2013-09-13
4
M
0
20778
0
D
2013-02-08
2020-02-09
Common Stock
20778
0
D
Reflects the weighted average price of 3,164 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 $90.72 to $90.752 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 John Robert Woerner
2013-09-17