0001179110-14-002410.txt : 20140210
0001179110-14-002410.hdr.sgml : 20140210
20140210164345
ACCESSION NUMBER: 0001179110-14-002410
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20100630
FILED AS OF DATE: 20140210
DATE AS OF CHANGE: 20140210
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: TRUSCOTT WILLIAM F
CENTRAL INDEX KEY: 0001282835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 14589671
MAIL ADDRESS:
STREET 1: AMERIPRISE FINANCIAL, INC.
STREET 2: 50591 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
4
1
edgar.xml
FORM 4 -
X0306
4
2010-06-30
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001282835
TRUSCOTT WILLIAM F
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
CEO, Global Asset Management
Common Stock
2014-02-06
4
F
0
1599
105.64
D
12409
D
Common Stock
2010-06-30
4
M
0
8466
36.13
A
63377
I
By LLC
Common Stock
2010-06-30
4
F
0
3425
36.13
D
65952
I
By LLC
Common Stock
2011-06-30
4
M
0
19692
57.68
A
85644
I
By LLC
Common Stock
2011-06-30
4
F
0
8063
57.68
D
77581
I
By LLC
Common Stock
250.380
I
By 401(k) Plan
Phantom Stock
2010-06-30
4
M
0
8466
D
Common Stock
8466
0
D
Phantom Stock
2011-06-30
4
M
0
19692
D
Common Stock
19692
0
D
This amount reflects the transfer of 1,750 shares on February 6, 2014 from the reporting person's direct holdings to his LLC.
Reflects additional shares from the reinvestment of dividends on phantom stock.
Total does not tie to last Form 4 due to cumulative corrections.
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 February 5, 2014. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Shares of phantom stock are payable in shares of Ameriprise common stock at a specified date in accordance with the Ameriprise Financial Deferred Compensation Plan.
/s/ Thomas R. Moore for William Fredrick Truscott
2014-02-10