0001179110-13-016191.txt : 20131105 0001179110-13-016191.hdr.sgml : 20131105 20131105170519 ACCESSION NUMBER: 0001179110-13-016191 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131101 FILED AS OF DATE: 20131105 DATE AS OF CHANGE: 20131105 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: HUNTER KELLI A CENTRAL INDEX KEY: 0001184353 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 131193459 4 1 edgar.xml FORM 4 - X0306 4 2013-11-01 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001184353 HUNTER KELLI A GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Exec VP of Human Resources Common Stock 2013-11-01 4 M 0 1103 43.655 A 35898 D Common Stock 2013-11-01 4 M 0 26296 58.73 A 62194 D Common Stock 2013-11-01 4 F 0 21086 100.54 D 41108 D Common Stock 2013-11-01 4 S 0 3156 100.67 D 37952 D Common Stock 2013-11-04 4 S 0 9149 101.328 D 28803 D Common Stock 201.61 I By 401(k) Plan Employee Stock Option 43.655 2013-11-01 4 M 0 1103 0.00 D 2016-01-27 Common Stock 1103 0 D Employee Stock Option 58.73 2013-11-01 4 M 0 26296 0.00 D 2017-01-30 Common Stock 26296 0 D Fully vested. Reflects the weighted average price of 9,149 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 4, 2013 with sale prices ranging from $101.141 to $101.456 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 November 4, 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 Kelli Ann Hunter 2013-11-05