0001179110-14-017208.txt : 20141126 0001179110-14-017208.hdr.sgml : 20141126 20141126162010 ACCESSION NUMBER: 0001179110-14-017208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141125 FILED AS OF DATE: 20141126 DATE AS OF CHANGE: 20141126 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: Maglaque Charles Neal CENTRAL INDEX KEY: 0001552029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 141253999 MAIL ADDRESS: STREET 1: GENERAL COUNSEL'S OFFICE STREET 2: 1098 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0306 4 2014-11-25 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001552029 Maglaque Charles Neal 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres. Advice & Wealth Mgt, COO Common Stock 2014-11-25 4 M 0 6286 52.86 A 21680 D Common Stock 2014-11-25 4 M 0 1342 37.23 A 23022 D Common Stock 2014-11-25 4 F 0 5365 132.17 D 17657 D Common Stock 2014-11-25 4 S 0 8263 131.588 D 9394 D Common Stock 348.73 I By 401(k) Plan Employee Stock Option (right to buy) 52.86 2014-11-25 4 M 0 6286 0 D 2018-01-29 Common Stock 6286 0 D Employee Stock Option (right to buy) 37.23 2014-11-25 4 M 0 1342 0 D 2020-02-09 Common Stock 1342 0 D The balance reflects a reduction of 106 shares as a correcting adjustment. Reflects the weighted average price of 8,263 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 25, 2014 with sale prices ranging from $131.38 to $132.12 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 November 25, 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 Charles Neal Maglaque 2014-11-26