0001179110-14-002413.txt : 20140210
0001179110-14-002413.hdr.sgml : 20140210
20140210164539
ACCESSION NUMBER: 0001179110-14-002413
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: Woerner John Robert
CENTRAL INDEX KEY: 0001336621
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 14589698
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
2010-06-30
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
2014-02-06
4
F
0
507
105.64
D
18018
D
Common Stock
2010-06-30
4
M
0
2115
36.13
A
20133
D
Common Stock
2010-06-30
4
F
0
792
36.13
D
19341
D
Common Stock
2011-06-30
4
M
0
4682
57.68
A
23953
D
Common Stock
2011-06-30
4
F
0
1903
57.68
D
22050
D
Common Stock
2012-07-02
4
M
0
3901
51.99
A
25951
D
Common Stock
2012-07-02
4
F
0
1487
51.99
D
24464
D
Common Stock
207.370
I
By 401(k) Plan
Phantom Stock
2010-06-30
4
M
0
2115
D
Common Stock
2115
0
D
Phantom Stock
2011-06-30
4
M
0
4612
D
Common Stock
4612
0
D
Phantom Stock
2012-07-02
4
M
0
3901
D
Common Stock
3901
0
D
Reflects additional shares from the reinvestment of dividends on phantom stock.
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 John Robert Woerner
2014-02-10