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