0001179110-17-006261.txt : 20170428
0001179110-17-006261.hdr.sgml : 20170428
20170428161844
ACCESSION NUMBER: 0001179110-17-006261
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170426
FILED AS OF DATE: 20170428
DATE AS OF CHANGE: 20170428
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: SARLES H JAY
CENTRAL INDEX KEY: 0001195078
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 17795811
MAIL ADDRESS:
STREET 1: FLEETBOSTON FINANCIAL CORP
STREET 2: 100 FEDERAL STREET
CITY: BOSTON
STATE: MA
ZIP: 02110
4
1
edgar.xml
FORM 4 -
X0306
4
2017-04-26
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001195078
SARLES H JAY
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
1
0
0
0
Phantom Stock (Annual)
2017-04-26
4
A
0
1162.7907
0
A
Common Stock
1162.7907
27555.8831
D
Phantom Stock (Retainer Deferral)
2017-04-27
4
A
0
141.0945
128.46
A
Common Stock
141.0945
981.0461
D
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.
Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.
/s/ David H. Weiser for H. Jay Sarles
2017-04-28
EX-24
2
sarlespoa.txt
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Karen Wilson Thissen, Thomas R. Moore, David H. Weiser,
James DeBuse and Susan M. Beltz, signing singly, the undersigned's true and
lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the
undersigned's capacity as a director of Ameriprise Financial,
Inc. (the "Company'), Forms 3, 4, and 5 in accordance with
Section 16(a) of the Securities Exchange Act of 1934 and the
rules thereunder, and any other forms or reports the undersigned
may be required to file in connection with the undersigned's
ownership, acquisition, or disposition of securities of the
Company, including Form 144;
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and
execute any such Form 3, 4, or 5, or other form or report,
including the completion, execution and filing of Form ID, and
timely file such form or report with the United States Securities
and Exchange Commission and any stock exchange or similar
authority; and
(3) take any other action of any type whatsoever in connection with
the foregoing which, in the opinion of such attorney-in-fact, may
be of benefit to, in the best interest of, or legally required
by, the undersigned, it being understood that the documents
executed by such attorney-in-fact on behalf of the undersigned
pursuant to this Power of Attorney shall be in such form and
shall contain such terms and conditions as such attorney-in-fact
may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the
rights and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of
the undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to
the undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of this 26th day of January, 2017.
/s/ H. Jay Sarles
Title: Director of Ameriprise Financial, Inc.