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