0001179110-14-002528.txt : 20140211
0001179110-14-002528.hdr.sgml : 20140211
20140211182502
ACCESSION NUMBER: 0001179110-14-002528
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: TRUSCOTT WILLIAM F
CENTRAL INDEX KEY: 0001282835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 14595803
MAIL ADDRESS:
STREET 1: AMERIPRISE FINANCIAL, INC.
STREET 2: 50591 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
4
1
edgar.xml
FORM 4 -
X0306
4
2014-02-07
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001282835
TRUSCOTT WILLIAM F
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
CEO, Global Asset Management
Common Stock
2014-02-07
4
A
0
6570
0
A
18979
D
Common Stock
2014-02-07
4
A
0
24224
0
A
43203
D
Common Stock
2014-02-07
4
F
0
13387
107.61
D
29816
D
Common Stock
77581
I
By LLC
Common Stock
250.380
I
By 401(k) Plan
Phantom Stock
2014-02-07
4
A
0
1641.1114
107.61
A
Common Stock
1641.1114
6263.7554
D
Employee Stock Option (right to buy)
107.61
2014-02-07
4
A
0
54910
0
A
2024-02-07
Common Stock
54910
54910
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.
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.
/s/ Thomas R. Moore for William Fredrick Truscott
2014-02-10