0001179110-14-002534.txt : 20140211 0001179110-14-002534.hdr.sgml : 20140211 20140211183157 ACCESSION NUMBER: 0001179110-14-002534 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: McGraw Deirdre Davey CENTRAL INDEX KEY: 0001389812 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 14595835 MAIL ADDRESS: STREET 1: 1098 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER NAME: FORMER CONFORMED NAME: Davey Deirdre N DATE OF NAME CHANGE: 20070213 4 1 edgar.xml FORM 4 - X0306 4 2014-02-07 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001389812 McGraw Deirdre Davey 1098 AMERIPRISE FINANCIAL CENTER GENERAL COUNSEL'S OFFICE MINNEAPOLIS MN 55474 0 1 0 0 EVP Corp Comm/Cmnity Rltns Common Stock 2014-02-07 4 A 0 1161 0 A 24537 D Common Stock 2014-02-07 4 A 0 3338 0 A 27875 D Common Stock 2014-02-07 4 F 0 1489 107.61 D 26386 D Common Stock 2014-02-10 4 M 0 4602 58.73 A 30988 D Common Stock 2014-02-10 4 M 0 8321 52.86 A 39309 D Common Stock 2014-02-10 4 F 0 9710 107.61 D 29599 D Common Stock 393.510 I By 401(k) Plan Phantom Stock 2014-02-07 4 A 0 85.7262 107.61 A Common Stock 85.7262 259.5293 D Employee Stock Option (right to buy) 107.61 2014-02-07 4 A 0 9708 0 A 2024-02-07 Common Stock 9708 9708 D Employee Stock Option (right to buy) 58.73 2014-02-10 4 M 0 4602 0 D 2017-01-30 Common Stock 4602 0 D Employee Stock Option (right to buy) 52.86 2014-02-10 4 M 0 8321 0 D 2018-01-29 Common Stock 8321 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. 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 Deirdre Davey McGraw 2014-02-11