0001179110-17-010826.txt : 20170731 0001179110-17-010826.hdr.sgml : 20170731 20170731171334 ACCESSION NUMBER: 0001179110-17-010826 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170706 FILED AS OF DATE: 20170731 DATE AS OF CHANGE: 20170731 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sweeney Joseph Edward CENTRAL INDEX KEY: 0001335749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 17993756 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 2017-07-06 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335749 Sweeney Joseph Edward GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres-AWM Products & Services Common Stock 2017-07-06 4 M 0 806.762 A 16120.762 D Common Stock 2017-07-06 4 F 0 387.762 129.15 D 15733 D Common Stock 2017-07-27 4 M 0 22848 54.33 A 38581 D Common Stock 2017-07-27 4 F 0 15758 144.65 D 22823 D Common Stock 2017-07-27 4 S 0 7090 143.961 D 15733 D Common Stock 261.32 I By 401(k) Plan Phantom Stock 2017-07-06 4 M 0 806.762 D Common Stock 806.762 1780.6525 D Employee Stock Option (right to buy) 54.33 2017-07-27 4 M 0 22848 0 D 2022-02-07 Common Stock 22848 0 D Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. 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. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. Fully vested. /s/ Thomas R. Moore for Joseph Edward Sweeney 2017-07-31