0001179110-15-002248.txt : 20150210 0001179110-15-002248.hdr.sgml : 20150210 20150210170505 ACCESSION NUMBER: 0001179110-15-002248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150206 FILED AS OF DATE: 20150210 DATE AS OF CHANGE: 20150210 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: TRUSCOTT WILLIAM F CENTRAL INDEX KEY: 0001282835 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 15594747 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 2015-02-06 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001282835 TRUSCOTT WILLIAM F GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 CEO, Global Asset Management Common Stock 2015-02-06 4 A 0 26836 0 A 45119 D Common Stock 2015-02-06 4 F 0 14366 134.79 D 14932 D Common Stock 2015-02-07 4 F 0 1043 134.79 D 12742 D Common Stock 2015-02-09 4 M 0 64313 37.23 A 77055 D Common Stock 2015-02-09 4 F 0 39915 134.79 D 12742 D Common Stock 2015-02-09 4 S 0 24398 133.913 D 59873 I By LLC Common Stock 253.870 I By 401(k) Plan Phantom Stock 2015-02-06 4 A 0 1371.7635 134.79 A Common Stock 1371.7635 7756.0067 D Employee Stock Option (right to buy) 37.23 2015-02-09 4 M 0 64313 0 D 2020-02-09 Common Stock 64313 0 D The balances reflect the transfer of the shares remaining following the option exercise and forfeiture of shares to satisfy tax withholding to the reporting person's indirect LLC holdings. Reflects the weighted average price of 24,398 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person's LLC in multiple transactions on February 9, 2015 with sale prices ranging from $133.59 to $134.30 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 February 7, 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. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. Fully vested. /s/ Thomas R. Moore for William Fredrick Truscott 2015-02-10