0001179110-17-010976.txt : 20170802
0001179110-17-010976.hdr.sgml : 20170802
20170802164055
ACCESSION NUMBER: 0001179110-17-010976
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170731
FILED AS OF DATE: 20170802
DATE AS OF CHANGE: 20170802
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CRACCHIOLO JAMES M
CENTRAL INDEX KEY: 0001196484
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 171000478
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
2017-07-31
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001196484
CRACCHIOLO JAMES M
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
1
1
0
0
Chairman and CEO
Common Stock
2017-07-31
4
M
0
176830
54.33
A
474139
D
Common Stock
2017-07-31
4
F
0
123706
144.45
D
350433
D
Common Stock
2017-07-31
4
S
0
50000
144.0358
D
300433
D
Common Stock
2017-07-31
4
S
0
3124
144.74
D
297309
D
Common Stock
2017-08-02
4
M
0
166967
65.31
A
464276
D
Common Stock
2017-08-02
4
F
0
122546
145.92
D
341730
D
Common Stock
2017-08-02
4
S
0
44421
145.3855
D
297309
D
Common Stock
1509.62
I
By 401(k) Plan
Employee Stock Option (right to buy)
54.33
2017-07-31
4
M
0
176830
0
D
2022-02-07
Common Stock
176830
0
D
Employee Stock Option (right to buy)
65.31
2017-08-02
4
M
0
166967
0
D
2023-02-05
Common Stock
166967
0
D
Reflects the weighted average price of 50,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 31, 2017 with sale prices ranging from $143.71 to $144.30 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Reflects the weighted average price of 44,421 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 2, 2017 with sale prices ranging from $145.22 to $145.63 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
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 August 2, 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 James M. Cracchiolo
2017-08-02