SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person* O'CONNELL PATRICK H. (Last) (First) (Middle) GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER (Street) MINNEAPOLIS MN 55474 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 11/29/2017	3. Issuer Name and Ticker or Trading Symbol AMERIPRISE FINANCIAL INC [ AMP ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) EVP, AMP Advisor Group	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	5,419	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	(1)	02/05/2023	Common Stock	5,975	$65.31	D
Employee Stock Option (right to buy)	(1)	02/07/2024	Common Stock	5,049	$107.61	D
Employee Stock Option (right to buy)	(2)	02/02/2025	Common Stock	6,369	$128.76	D
Employee Stock Option (right to buy)	(3)	02/01/2026	Common Stock	17,180	$87.79	D
Employee Stock Option (right to buy)	(4)	02/06/2027	Common Stock	10,939	$123.37	D
Phantom Stock	(5)	(5)	Common Stock	12,292.5106	(6)	D

Explanation of Responses:

1. Fully vested.

2. 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.

3. 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.

4. 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 6, 2017.

5. 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.

6. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

	/s/ Thomas R. Moore for Patrick H. O'Connell	12/11/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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