0001179110-14-002512.txt : 20140211
0001179110-14-002512.hdr.sgml : 20140211
20140211180951
ACCESSION NUMBER: 0001179110-14-002512
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140207
FILED AS OF DATE: 20140211
DATE AS OF CHANGE: 20140211
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: 14595652
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
2014-02-07
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
2014-02-07
4
A
0
9130
0
A
45793
D
Common Stock
2014-02-07
4
F
0
5420
107.61
D
40373
D
Common Stock
2014-02-11
4
M
0
10540
58.73
A
50913
D
Common Stock
2014-02-11
4
M
0
14601
52.86
A
65514
D
Common Stock
2014-02-07
4
F
0
19351
105.50
D
46163
D
Common Stock
2014-02-11
4
S
0
15948
105.8507
D
30215
D
Common Stock
256.810
I
By 401(k) Plan
Phantom Stock
2014-02-07
4
A
0
743.4253
107.61
A
Common Stock
743.4253
2634.1403
D
Common Stock
58.73
2014-02-11
4
M
0
10540
0
D
2017-01-30
Common Stock
10540
0
D
Common Stock
52.86
2014-02-11
4
M
0
14601
0
D
2018-01-29
Common Stock
14601
34952
D
Reflects the weighted average price of 15,948 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2014 with sale prices ranging from $105.59 to $106.01 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 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 following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.
Fully vested.
/s/ Thomas R. Moore for Kim Michele Sharan
2014-02-10