0001179110-17-004781.txt : 20170317 0001179110-17-004781.hdr.sgml : 20170317 20170317113614 ACCESSION NUMBER: 0001179110-17-004781 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151029 FILED AS OF DATE: 20170317 DATE AS OF CHANGE: 20170317 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: Sharpe Robert Francis JR CENTRAL INDEX KEY: 0001340573 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 17696964 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 2015-10-29 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001340573 Sharpe Robert Francis JR GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 0 0 0 Common Stock 2015-10-29 4 P 0 30 115.536 A 11030 D Common Stock 2016-03-08 4 P 0 80 89.698 A 11110 D Common Stock 2016-06-16 4 P 0 35 99.193 A 11145 D Common Stock 2016-10-06 4 P 0 35 100.561 A 11180 D The reporting person's purchase of Ameriprise common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 to the extent of 30 shares, with the reporting person's sale of shares of Ameriprise common stock at a price of $128.5833 per share on May 19, 2015. The reporting person has agreed to pay promptly to Ameriprise $391.42, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs, or such other amount as may be legally due. Reflects shares acquired through a discretionary brokerage account. The reporting person's Form 4 reports filed between the dates of these acquisitions and the date of this report understated his total holdings by the corresponding amount of shares. /s/ Thomas R. Moore for Robert F. Sharpe, Jr. 2017-03-17