0001179110-14-002885.txt : 20140214
0001179110-14-002885.hdr.sgml : 20140214
20140214165734
ACCESSION NUMBER: 0001179110-14-002885
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140213
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
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: Sweeney Joseph Edward
CENTRAL INDEX KEY: 0001335749
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 14618142
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
2014-02-13
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335749
Sweeney Joseph Edward
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres-AWM Products & Services
Common Stock
2014-02-13
4
M
0
39444
58.73
A
68896
D
Common Stock
2014-02-13
4
F
0
30629
106.50
D
38267
D
Common Stock
2014-02-13
4
S
0
19745
106.671
D
18522
D
Common Stock
243.280
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
58.73
2014-02-13
4
M
0
39444
0.00
D
2017-01-30
Common Stock
39444
0
D
Reflects the weighted average price of 19,745 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 13, 2014 with sale prices ranging from $106.50 to $106.831 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.
Fully vested.
/s/ Thomas R. Moore for Joseph Edward Sweeney
2014-02-14