0001179110-15-002544.txt : 20150213 0001179110-15-002544.hdr.sgml : 20150213 20150213175241 ACCESSION NUMBER: 0001179110-15-002544 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150211 FILED AS OF DATE: 20150213 DATE AS OF CHANGE: 20150213 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: CRACCHIOLO JAMES M CENTRAL INDEX KEY: 0001196484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 15616704 4 1 edgar.xml FORM 4 - X0306 4 2015-02-11 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001196484 CRACCHIOLO JAMES M GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 1 0 0 Chairman and CEO Common Stock 2015-02-11 4 S 0 25000 136.010 D 307941 D Common Stock 2015-02-12 4 M 0 50000 37.23 A 357941 D Common Stock 2015-02-12 4 F 0 32452 137.33 D 325489 D Common Stock 2015-02-12 4 S 0 42682 137.1973 D 282807 D Common Stock 2015-02-13 4 S 0 3903 137.9213 D 278904 D Common Stock 1416.50 I By 401(k) Plan Employee Stock Option (right to buy) 37.23 2015-02-12 4 M 0 50000 0 D 2020-02-09 Common Stock 50000 137994 D Reflects the weighted average price of 25,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2015 with sale prices ranging from $136.00 to $136.03 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. Reflects the weighted average price of 42,682 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 12, 2015 with sale prices ranging from $137.00 to $137.53 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. Reflects the weighted average price of 3,903 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 13, 2015 with sale prices ranging from $137.91 to $137.96 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 11, 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. /s/ Thomas R. Moore for James M. Cracchiolo 2015-02-13