0001179110-18-001253.txt : 20180130
0001179110-18-001253.hdr.sgml : 20180130
20180130162330
ACCESSION NUMBER: 0001179110-18-001253
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180126
FILED AS OF DATE: 20180130
DATE AS OF CHANGE: 20180130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRUSCOTT WILLIAM F
CENTRAL INDEX KEY: 0001282835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 18559369
MAIL ADDRESS:
STREET 1: AMERIPRISE FINANCIAL, INC.
STREET 2: 50591 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
2018-01-26
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001282835
TRUSCOTT WILLIAM F
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
CEO, Global Asset Management
Common Stock
2018-01-26
4
M
0
56688
65.31
A
67058
D
Common Stock
2018-01-26
4
F
0
36380
173.13
D
10370
D
Common Stock
2018-01-26
4
A
0
6027
0
A
16397
D
Common Stock
2018-01-26
4
S
0
31379
173.6418
D
29856
I
By LLC
Common Stock
271.559
I
By 401(k) Plan
Employee Stock Option (right to buy)
65.31
2018-01-26
4
M
0
56688
0
D
2023-02-05
Common Stock
56688
0
D
Employee Stock Option (right to buy)
179.84
2018-01-26
4
A
0
30958
0
A
2028-01-26
Common Stock
30958
30958
D
The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon exercise to the reporting person's indirect LLC holdings.
Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on January 26, 2019, January 26, 2020, and January 26, 2021.
Reflects the weighted average price of 31,379 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 26, 2018 with sale prices ranging from $173.315 to $174.10 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 January 26, 2018. 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 January 26, 2018.
/s/ Thomas R. Moore for William Fredrick Truscott
2018-01-30
EX-24
2
truscottpoa.txt
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Karen Wilson Thissen, Thomas R. Moore, David H. Weiser,
James DeBuse and Susan M. Beltz, signing singly, the undersigned's true and
lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer of Ameriprise Financial,
Inc. (the "Company"), Forms 3, 4, and 5 in accordance with
Section 16(a) of the Securities Exchange Act of 1934 and the
rules thereunder, and any other forms or reports, including
amended reports, the undersigned may be required to file with
the United States Securities and Exchange Commission ("SEC") in
connection with the undersigned's ownership, acquisition, or
disposition of securities of the Company, including Form 144;
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and
execute any such Form 3, 4, or 5, or other form or report,
including the completion, execution and filing of Form ID,
including amendments thereto, and any other documents necessary
or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports
required by Section 16(a) of the Securities Exchange Act of 1934
or any rule or regulation of the SEC and timely file such form
or report with the SEC and any stock exchange or similar
authority; and
(3) take any other action of any type whatsoever
in connection with the foregoing which, in the opinion of such
attorney-in-fact, may be of benefit to, in the best interest of,
or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney
shall be in such form and shall contain such terms and
conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the
rights and powers herein granted, as fully to all intents and purposes as
the undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes,
shall lawfully do or cause to be done by virtue of this power of attorney
and the rights and powers herein granted. The undersigned acknowledges that
the foregoing attorneys-in-fact, in serving in such capacity at the request
of the undersigned, are not assuming, nor is the Company assuming, any of
the undersigned's responsibilities to comply with Section 16 of the
Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to
the undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 5th day of December 2017.
/s/ William F. Truscott