0001179110-15-006338.txt : 20150415 0001179110-15-006338.hdr.sgml : 20150415 20150415181120 ACCESSION NUMBER: 0001179110-15-006338 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150413 FILED AS OF DATE: 20150415 DATE AS OF CHANGE: 20150415 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: 15772826 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 2015-04-13 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 2015-04-13 4 M 0 4782 37.23 A 28515 D Common Stock 2015-04-13 4 F 0 3043 125.00 D 25472 D Common Stock 2015-04-13 4 S 0 1739 125.00 D 23733 D Common Stock 2015-04-13 4 S 0 1340 124.32 D 22393 D Common Stock 2015-04-14 4 M 0 4782 37.23 A 27175 D Common Stock 2015-04-14 4 F 0 3015 130.00 D 24160 D Common Stock 2015-04-14 4 S 0 1767 130.00 D 22393 D Common Stock 2015-04-14 4 S 0 1340 126.50 D 21053 D Common Stock 2015-04-15 4 S 0 1341 129.95 D 19712 D Common Stock 32.2100 I By 401(k) Plan Employee Stock Option (right to buy) 37.23 2015-04-13 4 M 0 4782 0.00 D 2020-02-09 Common Stock 4782 19129 D Employee Stock Option (right to buy) 37.23 2015-04-14 4 M 0 4782 0.00 D 2020-02-09 Common Stock 4782 14347 D Option exercise and sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 23, 2014. Fully vested. /s/ Thomas R. Moore for John Carl Junek 2015-04-15