0001179110-17-010824.txt : 20170731 0001179110-17-010824.hdr.sgml : 20170731 20170731171230 ACCESSION NUMBER: 0001179110-17-010824 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170727 FILED AS OF DATE: 20170731 DATE AS OF CHANGE: 20170731 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stewart David Kent CENTRAL INDEX KEY: 0001335728 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 17993744 MAIL ADDRESS: STREET 1: AMERIPRISE FINANCIAL, INC. STREET 2: 707 SECOND AVENUE SOUTH CITY: MINNEAPOLIS STATE: MN ZIP: 55474 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: 612-671-8001 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 4 1 edgar.xml FORM 4 - X0306 4 2017-07-27 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335728 Stewart David Kent GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Sr Vice Pres and Controller Common Stock 2017-07-27 4 M 0 4116 58.70 A 21969 D Common Stock 2017-07-27 4 M 0 4857 54.33 A 26826 D Common Stock 2017-07-27 4 M 0 4426 65.31 A 31252 D Common Stock 2017-07-27 4 M 0 2072 107.61 A 33324 D Common Stock 2017-07-27 4 F 0 10526 144.65 D 22798 D Common Stock 2017-07-27 4 S 0 4945 144.211 D 17853 D Common Stock 255.29 I By 401(k) Plan Employee Stock Option (right to buy) 58.70 2017-07-27 4 M 0 4116 0 D 2021-02-08 Common Stock 4116 0 D Employee Stock Option (right to buy) 54.33 2017-07-27 4 M 0 4857 0 D 2022-02-07 Common Stock 4857 0 D Employee Stock Option (right to buy) 65.31 2017-07-27 4 M 0 4426 0 D 2023-02-05 Common Stock 4426 0 D Employee Stock Option (right to buy) 107.61 2017-07-27 4 M 0 2072 0 D 2024-02-07 Common Stock 2072 1035 D 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 July 27, 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. Fully vested. /s/ Thomas R. Moore for David Kent Stewart 2017-07-31