0001179110-17-011456.txt : 20170814
0001179110-17-011456.hdr.sgml : 20170814
20170814164401
ACCESSION NUMBER: 0001179110-17-011456
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170810
FILED AS OF DATE: 20170814
DATE AS OF CHANGE: 20170814
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Berman Walter Stanley
CENTRAL INDEX KEY: 0001335761
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 171030946
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
2017-08-10
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335761
Berman Walter Stanley
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Executive VP and CFO
Common Stock
2017-08-10
4
S
0
17600
145.175
D
30698
D
Common Stock
2017-08-10
4
S
0
15900
146.117
D
14798
D
Common Stock
2017-08-10
4
S
0
4417
147.141
D
10381
D
Common Stock
318.68
I
By 401(k) Plan
Reflects the weighted average price of 17,600 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 10, 2017 with sale prices ranging from $144.75 to $145.70 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 15,900 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 10, 2017 with sale prices ranging from $145.91 to $146.55 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 4,417 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 10, 2017 with sale prices ranging from $147.06 to $147.30 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.
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 10, 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.
/s/ Thomas R. Moore for Walter Stanley Berman
2017-08-14