0001179110-18-001663.txt : 20180206 0001179110-18-001663.hdr.sgml : 20180206 20180206170512 ACCESSION NUMBER: 0001179110-18-001663 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180202 FILED AS OF DATE: 20180206 DATE AS OF CHANGE: 20180206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Woerner John Robert CENTRAL INDEX KEY: 0001336621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 18578356 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 2018-02-02 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001336621 Woerner John Robert GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Pres Ins & Chief Strat Officer Common Stock 2018-02-02 4 A 0 4284 0 A 27592 D Common Stock 2018-02-02 4 F 0 1954 167.50 D 25638 D Common Stock 2018-02-02 4 F 0 340 167.50 D 25298 D Common Stock 225.979 I By 401(k) Plan Phantom Stock 2018-02-02 4 A 0 489.5522 167.50 A Common Stock 489.5522 2175.3261 D 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 February 5, 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. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. 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. /s/ Thomas R. Moore for John Robert Woerner 2018-02-06