0001179110-14-016655.txt : 20141114 0001179110-14-016655.hdr.sgml : 20141114 20141114174116 ACCESSION NUMBER: 0001179110-14-016655 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141112 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 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: Sharpe Robert Francis JR CENTRAL INDEX KEY: 0001340573 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 141225723 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 2014-11-12 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001340573 Sharpe Robert Francis JR GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 0 0 0 Common Stock 2014-11-12 4 S 0 3147 129.7162 D 15000 D Common Stock 19150 I By the Robert F. Sharpe, Sr. Revocable Trust The balance includes 3,147 shares received upon distribution of phantom stock received in connection with prior retainer deferrals. The phantom stock could be settled only in the form of one share of Ameriprise Financial, Inc. common stock per share of phantom stock. /s/ Thomas R. Moore for Robert F. Sharpe, Jr. 2014-11-14