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