0001179110-17-001980.txt : 20170208 0001179110-17-001980.hdr.sgml : 20170208 20170208165141 ACCESSION NUMBER: 0001179110-17-001980 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: TRUSCOTT WILLIAM F CENTRAL INDEX KEY: 0001282835 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 17583182 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 2017-02-06 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 2017-02-06 4 A 0 3534 0 A 12560 D Common Stock 2017-02-07 4 F 0 989 123.18 D 10370 D Common Stock 47852 I By LLC Common Stock 267.43 I By 401(k) Plan Employee Stock Option (right to buy) 123.37 2017-02-06 4 A 0 30841 0 A 2027-02-07 Common Stock 30841 30841 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. 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 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. /s/ Thomas R. Moore for William Fredrick Truscott 2017-02-08