0001179110-14-014709.txt : 20141001 0001179110-14-014709.hdr.sgml : 20141001 20141001164410 ACCESSION NUMBER: 0001179110-14-014709 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140929 FILED AS OF DATE: 20141001 DATE AS OF CHANGE: 20141001 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: HUNTER KELLI A CENTRAL INDEX KEY: 0001184353 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 141133636 4 1 edgar.xml FORM 4 - X0306 4 2014-09-29 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001184353 HUNTER KELLI A GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Exec VP of Human Resources Common Stock 2014-09-29 4 M 0 1732 52.86 A 33400 D Common Stock 2014-09-29 4 F 0 1196 123 D 32204 D Common Stock 2014-09-29 4 M 0 13852 37.23 A 46056 D Common Stock 2014-09-29 4 F 0 8606 123 D 37450 D Common Stock 2014-09-29 4 S 0 5073 123.719 D 32377 D Common Stock 204.95 I By 401(k) Plan Employee Stock Option (right to buy) 52.86 2014-09-29 4 M 0 1732 0 D 2018-01-29 Common Stock 1732 0 D Employee Stock Option (right to buy) 37.23 2014-09-29 4 M 0 13852 0 D 2020-02-09 Common Stock 13852 0 D Reflects the weighted average price of 5,073 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 29, 2014 with sale prices ranging from $123.658 to $123.800 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 29, 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 Kelli Ann Hunter 2014-10-01