0001179110-15-001860.txt : 20150204
0001179110-15-001860.hdr.sgml : 20150204
20150204180551
ACCESSION NUMBER: 0001179110-15-001860
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150202
FILED AS OF DATE: 20150204
DATE AS OF CHANGE: 20150204
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: 15576747
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
2015-02-02
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
2015-02-02
4
A
0
2283
0
A
21304
D
Common Stock
2015-02-03
4
M
0
5641
52.86
A
26945
D
Common Stock
2015-02-03
4
F
0
3890
132
D
23055
D
Common Stock
2015-02-03
4
S
0
1751
132
D
21304
D
Common Stock
36.14
I
By 401(k) Plan
Employee Stock Option (right to buy)
128.76
2015-02-02
4
A
0
23446
0
A
2025-02-03
Common Stock
23446
23446
D
Employee Stock Option (right to buy)
52.86
2015-02-03
4
M
0
5641
0
D
2018-01-29
Common Stock
5641
5641
D
Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 2, 2016, February 2, 2017 and February 2, 2018.
Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 23, 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 February 2, 2015. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 2, 2015.
Fully vested.
/s/ Susan M. Beltz for John Carl Junek
2015-02-04