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