0001179110-16-031051.txt : 20161101 0001179110-16-031051.hdr.sgml : 20161101 20161101180651 ACCESSION NUMBER: 0001179110-16-031051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161028 FILED AS OF DATE: 20161101 DATE AS OF CHANGE: 20161101 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: WILLIAMS CHRISTOPHER J CENTRAL INDEX KEY: 0001269949 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 161965866 MAIL ADDRESS: STREET 1: 650 FIFTH AVE STREET 2: 10TH FL CITY: NEW YORK STATE: NY ZIP: 10019 4 1 edgar.xml FORM 4 - X0306 4 2016-10-28 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001269949 WILLIAMS CHRISTOPHER J GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 0 0 0 Phantom Stock (Annual) 2016-10-28 4 A 0 890.4186 0 A Common Stock 890.4186 890.4186 D The grant is a pro rata annual equity grant made as a result of the reporting person becoming a director effective as of September 6, 2016. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs. /s/ Thomas R. Moore for Christopher J. Williams 2016-11-01