0001179110-15-002249.txt : 20150210
0001179110-15-002249.hdr.sgml : 20150210
20150210170514
ACCESSION NUMBER: 0001179110-15-002249
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: Junek John Carl
CENTRAL INDEX KEY: 0001335388
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 15594748
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
2015-02-06
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
2015-02-06
4
M
0
5641
52.86
A
25941
D
Common Stock
2015-02-06
4
F
0
3855
136
D
22086
D
Common Stock
2015-02-06
4
S
0
1786
136
D
20300
D
Common Stock
2015-02-06
4
A
0
9718
0
A
30018
D
Common Stock
2015-02-06
4
F
0
5240
134.79
D
24778
D
Common Stock
2015-02-07
4
F
0
391
134.79
D
24387
D
Common Stock
2015-02-09
4
S
0
654
133.98
D
23733
D
Common Stock
36.120
I
By 401(k) Plan
Employee Stock Option (right to buy)
52.86
2015-02-06
4
M
0
5641
0
D
2018-01-29
Common Stock
5641
0
D
Phantom Stock
2015-02-06
4
A
0
546.4055
134.79
A
Common Stock
546.4055
13551.2001
D
Option exercise and 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 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.
Fully vested.
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.
/s/ Thomas R. Moore for John Carl Junek
2015-02-10