0001179110-14-018756.txt : 20141229 0001179110-14-018756.hdr.sgml : 20141225 20141229173343 ACCESSION NUMBER: 0001179110-14-018756 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141223 FILED AS OF DATE: 20141229 DATE AS OF CHANGE: 20141229 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: Kupper Randy CENTRAL INDEX KEY: 0001552030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 141313624 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 2014-12-23 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001552030 Kupper Randy 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 EVP Technology and CIO Common Stock 2014-12-23 4 M 0 7857 58.70 A 40366 D Common Stock 2014-12-23 4 F 0 5382 134.80 D 34984 D Common Stock 2014-12-23 4 S 0 2475 136.206 D 32509 D Common Stock 45.05 I By 401(k) Plan Employee Stock Option (right to buy) 58.70 2014-12-23 4 M 0 7857 0 D 2021-02-08 Common Stock 7857 0 D Reflects the weighted average price of 7,857 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 23, 2014 with sale prices ranging from $136.198 to $136.26 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 December 23, 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 Randy Kupper 2014-12-29