0001179110-14-015284.txt : 20141008
0001179110-14-015284.hdr.sgml : 20141008
20141008171349
ACCESSION NUMBER: 0001179110-14-015284
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141006
FILED AS OF DATE: 20141008
DATE AS OF CHANGE: 20141008
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: Junek John Carl
CENTRAL INDEX KEY: 0001335388
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 141148562
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
2014-10-06
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335388
Junek John Carl
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Exec VP and General Counsel
Common Stock
2014-10-06
4
M
0
9000
52.86
A
33283
D
Common Stock
2014-10-06
4
S
0
8680
122.29
D
24603
D
Common Stock
2014-10-07
4
M
0
9000
52.86
A
33603
D
Common Stock
2014-10-07
4
S
0
8680
120.34
D
24923
D
Common Stock
36.040
I
By 401(k) Plan
Employee Stock Options (right to buy)
52.86
2014-10-06
4
M
0
9000
0
D
2018-01-29
Common Stock
9000
37205
D
Employee Stock Options (right to buy)
52.86
2014-10-07
4
M
0
9000
0
D
2018-01-29
Commmon Stock
9000
28205
D
Transaction effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 5, 2014.
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 October 6, 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 John Carl Junek
2014-10-08