0001179110-17-014704.txt : 20171129
0001179110-17-014704.hdr.sgml : 20171129
20171129184226
ACCESSION NUMBER: 0001179110-17-014704
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171127
FILED AS OF DATE: 20171129
DATE AS OF CHANGE: 20171129
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: 171229618
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
2017-11-27
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
2017-11-27
4
M
0
2228
128.76
A
20081
D
Common Stock
2017-11-27
4
M
0
1647
87.79
A
21728
D
Common Stock
2017-11-27
4
F
0
3272
159.56
D
18456
D
Common Stock
2017-11-27
4
S
0
603
160.716
D
17853
D
Common Stock
257.54
I
By 401(k) Plan
Employee Stock Option (right to buy)
128.76
2017-11-27
4
M
0
2228
0
D
2025-02-02
Common Stock
2228
1115
D
Employee Stock Option (righ to buy)
87.79
2017-11-27
4
M
0
1647
0
D
2026-02-01
Common Stock
1647
3296
D
Reflects the weighted average price of 603 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 27, 2017 with sale prices ranging from $160.61 to $160.94 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 November 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.
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 2, 2015.
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 David Kent Stewart
2017-11-29