0001179110-14-010471.txt : 20140624
0001179110-14-010471.hdr.sgml : 20140624
20140616174512
ACCESSION NUMBER: 0001179110-14-010471
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140612
FILED AS OF DATE: 20140616
DATE AS OF CHANGE: 20140616
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: Maglaque Charles Neal
CENTRAL INDEX KEY: 0001552029
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 14923741
MAIL ADDRESS:
STREET 1: GENERAL COUNSEL'S OFFICE
STREET 2: 1098 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
4
1
edgar.xml
FORM 4 -
X0306
4
2014-06-12
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001552029
Maglaque Charles Neal
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres. Advice & Wealth Mgt, COO
Common Stock
2014-06-12
4
M
0
8000
52.86
A
26004
D
Common Stock
2014-06-12
4
F
0
5907
116.78
D
20097
D
Common Stock
2014-06-12
4
S
0
4597
115.680
D
15500
D
Common Stock
346.42
I
By 401(k) Plan
Employee stock option (right to buy)
52.86
2014-06-12
4
M
0
8000
0
D
2018-01-29
Common Stock
8000
6286
D
Reflects a net decrease of 2,860 shares from the reporting person's Form 4s filed on February 10 and 11, 2014 due to the inadvertent reporting of transactions dated June 30, 2010 and June 30, 2011 on the February 10, 2014 Form 4, which transactions occurred prior to the reporting person becoming subject to the reporting requirements of Section 16 and, therefore, not requiring additional reporting as the net effect of the transactions was reflected in the reporting person's initial holdings on his Form 3.
Reflects the weighted average price of 4,597 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on June 12, 2014 with sale prices ranging from $115.601 to $115.742 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 June 12, 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 Charles Neal Maglaque
2014-06-16