0001179110-17-001975.txt : 20170208
0001179110-17-001975.hdr.sgml : 20170208
20170208165003
ACCESSION NUMBER: 0001179110-17-001975
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170206
FILED AS OF DATE: 20170208
DATE AS OF CHANGE: 20170208
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: 612-671-7449
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: Maglaque Charles Neal
CENTRAL INDEX KEY: 0001552029
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 17583168
MAIL ADDRESS:
STREET 1: GENERAL COUNSEL'S OFFICE
STREET 2: 1098 AMERIPRISE FINANCIAL CENTER
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55474
4
1
edgar.xml
FORM 4 -
X0306
4
2017-02-06
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001552029
Maglaque Charles Neal
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres. Advice & Wealth Mgt, COO
Common Stock
2017-02-06
4
A
0
1223
0
A
16049
D
Common Stock
2017-02-07
4
M
0
12390
65.31
A
28439
D
Common Stock
2017-02-07
4
F
0
9760
123.37
D
18679
D
Common Stock
2017-02-07
4
S
0
2630
123.71
D
16049
D
Common Stock
2017-02-07
4
S
0
1193
123.12
D
14856
D
Common Stock
2017-02-07
4
F
0
284
123.18
D
14572
D
Common Stock
367.12
I
By 401(k) Plan
Employee Stock Option (right to buy)
123.37
2017-02-06
4
A
0
10657
0
A
2027-02-07
Common Stock
10657
10657
D
Employee Stock Option (right to buy)
65.31
2017-02-07
4
M
0
12390
0
D
2023-02-05
Commmon Stock
12390
0
D
Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020.
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 7, 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.
One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 6, 2017.
Fully vested.
/s/ Thomas R. Moore for Charles Neal Maglaque
2017-02-08