0001179110-16-027600.txt : 20160711 0001179110-16-027600.hdr.sgml : 20160711 20160711162513 ACCESSION NUMBER: 0001179110-16-027600 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160707 FILED AS OF DATE: 20160711 DATE AS OF CHANGE: 20160711 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: 161762334 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 2016-07-07 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 2016-07-07 4 M 0 2084.8062 A 14737.8062 D Common Stock 2016-07-07 4 F 0 940.8062 88.08 D 12653 D Common Stock 47260 I By LLC Common Stock 265 I By 401(k) Plan Phantom Stock 2016-07-07 4 M 0 2084.8062 D Common Stock 2084.8062 4541.6189 D Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings. Estimate of the number of shares held in the reporting person's account in the July 8, 2016. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise 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 William Fredrick Truscott 2016-07-11