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