0001179110-17-001981.txt : 20170208
0001179110-17-001981.hdr.sgml : 20170208
20170208165202
ACCESSION NUMBER: 0001179110-17-001981
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: MOORE COLIN
CENTRAL INDEX KEY: 0001205983
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 17583185
MAIL ADDRESS:
STREET 1: C/O PUTNAM LLC
STREET 2: ONE POST OFFICE SQ
CITY: BOSTON
STATE: MA
ZIP: 02109
4
1
edgar.xml
FORM 4 -
X0306
4
2017-02-06
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001205983
MOORE COLIN
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
EVP & Global CIO
Common Stock
2017-02-06
4
A
0
3752
0
A
62237
D
Common Stock
2017-02-07
4
M
0
13195
47.50
A
75432
D
Common Stock
2017-02-07
4
M
0
12239
54.33
A
87671
D
Common Stock
2017-02-07
4
M
0
25428
65.31
A
113099
D
Common Stock
2017-02-07
4
F
0
36624
123.37
D
76475
D
Common Stock
2017-02-07
4
F
0
928
123.18
D
75547
D
Employee Stock Option (right to buy)
123.37
2017-02-06
4
A
0
32641
0
A
2027-02-07
Common Stock
32641
32641
D
Employee Stock Option (right to buy)
47.50
2017-02-07
4
M
0
13195
0
D
2020-05-04
Common Stock
13195
0
D
Employee Stock Option (right to buy)
54.33
2017-02-07
4
M
0
12239
0
D
2022-02-07
Common Stock
12239
24474
D
Employee Stock Option (right to buy)
65.31
2017-02-07
4
M
0
25428
0
D
2023-02-05
Common Stock
25428
12713
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.
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 Colin Moore
2017-02-08