0001179110-14-002525.txt : 20140211 0001179110-14-002525.hdr.sgml : 20140211 20140211182119 ACCESSION NUMBER: 0001179110-14-002525 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: MOORE COLIN CENTRAL INDEX KEY: 0001205983 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 14595776 MAIL ADDRESS: STREET 1: C/O PUTNAM LLC STREET 2: ONE POST OFFICE SQ CITY: BOSTON STATE: MA ZIP: 02109 4 1 edgar.xml FORM 4 - X0306 4 2014-02-07 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001205983 MOORE COLIN 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 EVP & Global CIO Common Stock 2014-02-07 4 A 0 6216 0 A 38663 D Common Stock 2014-02-07 4 F 0 1283 107.61 D 37380 D Employee Stock Option (right to buy) 107.61 2014-02-07 4 A 0 51958 0 A 2024-02-07 Common Stock 51958 51958 D Restricted stock unit 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. 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. /s/ Thomas R. Moore for Colin Moore 2014-02-10