0001179110-14-002514.txt : 20140211 0001179110-14-002514.hdr.sgml : 20140211 20140211181129 ACCESSION NUMBER: 0001179110-14-002514 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: Woerner John Robert CENTRAL INDEX KEY: 0001336621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 14595665 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 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 2014-02-07 4 A 0 2462 0 A 26926 D Common Stock 2014-02-07 4 A 0 7154 0 A 34080 D Common Stock 2014-02-07 4 F 0 4002 107.61 D 30078 D Common Stock 2014-02-11 4 M 0 24107 52.86 A 54185 D Common Stock 2014-02-11 4 F 0 17866 105.90 D 36319 D Common Stock 2014-02-11 4 S 0 10744 106.3871 D 25575 D Common Stock 207.370 I By 401(k) Plan Phantom Stock 2014-02-07 4 A 0 615.6491 107.61 A Common Stock 615.6491 2139.2021 D Employee Stock Option (rght to buy) 107.61 2014-02-07 4 A 0 20581 0 A 2024-02-07 Common Stock 20581 20581 D Employee Stock Option (right to buy) 52.86 2014-02-11 4 M 0 24107 0 D 2018-01-29 Common Stock 24107 0 D Restricted stock award grant, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 7, 2015, February 7, 2016 and February 7, 2017. Reflects the weighted average price of 10,744 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 $106.226 to $106.516 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. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 7, 2014. Fully vested. /s/ Thomas R. Moore for John Robert Woerner 2014-02-10