0001179110-14-013849.txt : 20140909 0001179110-14-013849.hdr.sgml : 20140909 20140909164725 ACCESSION NUMBER: 0001179110-14-013849 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140908 FILED AS OF DATE: 20140909 DATE AS OF CHANGE: 20140909 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: Sweeney Joseph Edward CENTRAL INDEX KEY: 0001335749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 141093818 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 2014-09-08 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335749 Sweeney Joseph Edward GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres-AWM Products & Services Common Stock 2014-09-08 4 M 0 875 52.86 A 21626 D Common Stock 2014-09-08 4 F 0 622 126.41 D 21004 D Common Stock 2014-09-08 4 M 0 23911 37.23 A 44915 D Common Stock 2014-09-08 4 F 0 15506 126.41 D 29409 D Common Stock 2014-09-08 4 S 0 4329 126.6816 D 25080 D Common Stock 246.11 I By 401(k) Plan Employee Stock Option (right to buy) 52.86 2014-09-08 4 M 0 875 0 D 2018-01-29 Common Stock 875 0 D Employee Stock Option (right to buy) 37.23 2014-09-08 4 M 0 23911 0 D 2020-02-09 Common Stock 23911 0 D Reflects the weighted average price of 4,329 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 8, 2014 with sale prices ranging from $126.64 to $126.72 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 September 8, 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 Joseph Edward Sweeney 2014-09-09