0001179110-17-013605.txt : 20171031
0001179110-17-013605.hdr.sgml : 20171031
20171031172439
ACCESSION NUMBER: 0001179110-17-013605
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171027
FILED AS OF DATE: 20171031
DATE AS OF CHANGE: 20171031
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Maglaque Charles Neal
CENTRAL INDEX KEY: 0001552029
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 171166663
MAIL ADDRESS:
STREET 1: GENERAL COUNSEL'S OFFICE
STREET 2: 1098 AMERIPRISE FINANCIAL CENTER
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
2017-10-27
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001552029
Maglaque Charles Neal
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
Pres. Advice & Wealth Mgt, COO
Common Stock
2017-10-27
4
M
0
3366
107.61
A
14697
D
Common Stock
2017-10-27
4
M
0
5491
87.79
A
20188
D
Common Stock
2017-10-27
4
F
0
7103
162.80
D
13085
D
Common Stock
2017-10-27
4
S
0
1754
161.01
D
11331
D
Common Stock
372.05
I
By 401(k) Plan
Employee Stock Option (right to buy)
107.61
2017-10-27
4
M
0
3366
0
D
2024-02-07
Common Stock
3366
10070
D
Employee Stock Option (right to buy)
87.79
2017-10-27
4
M
0
5491
0
D
2026-02-01
Common Stock
5491
10983
D
Reflects the weighted average price of 1,754 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 27, 2017, with sale prices ranging from $160.94 to $161.06 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 October 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.
One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 1, 2016.
/s/ Thomas R. Moore for Charles Neal Maglaque
2017-10-31