0001179110-14-004975.txt : 20140311
0001179110-14-004975.hdr.sgml : 20140311
20140311170221
ACCESSION NUMBER: 0001179110-14-004975
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140307
FILED AS OF DATE: 20140311
DATE AS OF CHANGE: 20140311
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: Berman Walter Stanley
CENTRAL INDEX KEY: 0001335761
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 14684943
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
2014-03-07
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335761
Berman Walter Stanley
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Executive VP and CFO
Common Stock
2014-03-07
4
M
0
30000
52.86
A
57796
D
Common Stock
2014-03-07
4
M
0
70124
58.73
A
127920
D
Common Stock
2014-03-07
4
F
0
76301
112
D
51619
D
Common Stock
2014-03-07
4
S
0
11911
112.661
D
39708
D
Common Stock
296.1578
I
By 401(k) Plan
Employee stock option (right to buy)
52.86
2014-03-07
4
M
0
30000
0
D
2018-01-29
Common Stock
30000
93214
D
Employee Stock Option (right to buy)
58.73
2014-03-07
4
M
0
70124
0
D
2017-01-30
Common Stock
70124
0
D
Reflects the weighted average price of 11,911 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on March 7, 2014 with sale prices ranging from $112.65 to $112.69 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 March 7, 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 Walter Stanley Berman
2014-03-11