0001179110-14-003246.txt : 20140220
0001179110-14-003246.hdr.sgml : 20140220
20140220173240
ACCESSION NUMBER: 0001179110-14-003246
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140219
FILED AS OF DATE: 20140220
DATE AS OF CHANGE: 20140220
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: 14630784
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
2014-02-19
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
2014-02-11
5
G
0
E
2400
0
D
75181
I
By LLC
Common Stock
2014-02-19
4
M
0
70124
58.73
A
99940
D
Common Stock
2014-02-19
4
F
0
53402
107.99
D
29816
D
Common Stock
2014-02-19
4
S
0
48361
108.634
D
43542
I
By LLC
Common Stock
250.380
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
58.73
2014-02-19
4
M
0
70124
0
D
2017-01-30
Common Stock
70124
0
D
The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc. to The William and Kathleen Charitable Fund.
Reflects the weighted average price of 48,361 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 19, 2014 with sale prices ranging from $108.22 to $109.145 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.
This amount reflects the transfer of 16,722 net shares acquired from the exercise of stock options from the person's direct holdings to his LLC.
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 William Fredrick Truscott
2014-02-20