0001179110-14-012429.txt : 20140805
0001179110-14-012429.hdr.sgml : 20140805
20140805170515
ACCESSION NUMBER: 0001179110-14-012429
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140801
FILED AS OF DATE: 20140805
DATE AS OF CHANGE: 20140805
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: 141016943
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
2014-08-01
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
2014-08-01
4
M
0
77600
52.86
A
92751
D
Common Stock
2014-08-01
4
F
0
54944
119.60
D
15151
D
Common Stock
2014-08-01
4
S
0
22328
119.161
D
41535
I
By LLC
Common Stock
252.34
I
By 401(k) Plan
Employee Stock Option (right to buy)
52.86
2014-08-01
4
M
0
77600
0
D
2018-01-29
Common Stock
77600
77757
D
The balances reflect the transfer of 14,665 shares from the reporting person's direct holdings to his indirect LLC holdings, which transfer pre-dated the reporting person's Form 4 filed on May 22, 2014. Accordingly, the May 22, 2014 Form 4 overstated the reporting person's direct holdings by 14,665 shares and understated his indirect LLC holdings by the same amount.
The balances reflect the transfer of the shares remaining following the option exercise and forfeiture of shares to satisfy tax withholding to the reporting person's indirect LLC holdings.
Reflects the weighted average price of 22,328 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 1, 2014 with sale prices ranging from $118.82 to $119.80 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 August 1, 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/ Susan M. Beltz for William Fredrick Truscott
2014-08-05