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