0001179110-17-001207.txt : 20170124
0001179110-17-001207.hdr.sgml : 20170124
20170124182047
ACCESSION NUMBER: 0001179110-17-001207
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170120
FILED AS OF DATE: 20170124
DATE AS OF CHANGE: 20170124
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: THISSEN KAREN WILSON
CENTRAL INDEX KEY: 0001695293
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 17544732
MAIL ADDRESS:
STREET 1: 1098 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
3
1
edgar.xml
FORM 3 -
X0206
3
2017-01-20
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001695293
THISSEN KAREN WILSON
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Executive VP and GC
Common Stock
3153
D
Common Stock
227.44
I
By 401(k) Plan
Phantom Stock
Common Stock
413.2867
D
Employee Stock Option (right to buy)
54.33
2022-02-07
Common Stock
5520
D
Employee Stock Option (right to buy)
65.31
2023-02-05
Common Stock
5532
D
Employee Stock Option (right to buy)
107.61
2024-02-07
Common Stock
3884
D
Employee Stock Option (right to buy)
128.76
2025-02-02
Common Stock
4299
D
Employee Stock Option (right to buy)
87.79
2026-02-01
Common Stock
6120
D
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 January 13, 2017. 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.
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Fully vested.
One-third of the options vested on February 7, 2015; one-third of the options vested on February 7, 2016 and the final options vest on February 7, 2017.
One-third of the options vested on February 2, 2016; one-third of the options vest on February 2, 2017 and the final options vest on February 2, 2018.
Options scheduled to vest in three equal installments on each of February 1, 2017, 2018, and 2019.
/s/ Thomas R. Moore for Karen Wilson Thissen
2017-01-24
EX-24
2
wilsonpoa.txt
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Karen Wilson Thissen, Thomas R. Moore, David H. Weiser, James
DeBuse and Susan M. Beltz, signing singly, the undersigned's true and lawful
attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer of Ameriprise Financial, Inc. (the
"Company"), Forms 3, 4, and 5 in accordance with Section 16(a) of
the Securities Exchange Act of 1934 and the rules thereunder, and
any other forms or reports, including amended reports, the
undersigned may be required to file with the United States
Securities and Exchange Commission ("SEC") in connection with the
undersigned's ownership, acquisition, or disposition of securities
of the Company, including Form 144;
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and
execute any such Form 3, 4, or 5, or other form or report,
including the completion, execution and filing of Form ID,
including amendments thereto, and any other documents necessary or
"appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports
required by Section 16(a) of the Securities Exchange Act of 1934
or any rule or regulation of the SEC and timely file such form or
report with the SEC and any stock exchange or similar authority;
and
(3) take any other action of any type whatsoever in connection with
the foregoing which, in the opinion of such attorney-in-fact, may
be of benefit to, in the best interest of, or legally required by,
the undersigned, it being understood that the documents executed
by such attorney-in-fact on behalf of the undersigned pursuant to
this Power of Attorney shall be in such form and shall contain
such terms and conditions as such attorney-in-fact may approve in
such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the
rights and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to
the undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 12th day of January, 2017.
/s/ Karen Wilson Thissen
__________________________________________
Name: Karen Wilson Thissen
Title: Executive Vice President and General
Counsel of Ameriprise Financial, Inc.