0001179110-14-018777.txt : 20141230 0001179110-14-018777.hdr.sgml : 20141230 20141230160215 ACCESSION NUMBER: 0001179110-14-018777 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141224 FILED AS OF DATE: 20141230 DATE AS OF CHANGE: 20141230 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: Froude Donald E CENTRAL INDEX KEY: 0001444795 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 141316122 MAIL ADDRESS: STREET 1: 1098 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 4 1 edgar.xml FORM 4 - X0306 4 2014-12-24 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001444795 Froude Donald E 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres., Personal Advisors Group Common Stock 2014-12-24 4 M 0 33000 38.83 A 53645 D Common Stock 2014-12-24 4 F 0 21086 136.76 D 32559 D Common Stock 2014-12-24 4 S 0 11914 136.185 D 20645 D Common Stock 4135.84 I By 401(k) Plan Employee Stock Option (right to buy) 38.83 2014-12-24 4 M 0 33000 0 D 2018-10-02 Common Stock 33000 4941 D Reflects the weighted average price of 11,914 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 24, 2014 with sale prices ranging from $136.00 to $136.32 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 24, 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 Donald E. Froude 2014-12-30