0001179110-20-001013.txt : 20200204 0001179110-20-001013.hdr.sgml : 20200204 20200204164802 ACCESSION NUMBER: 0001179110-20-001013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200131 FILED AS OF DATE: 20200204 DATE AS OF CHANGE: 20200204 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: 20574499 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 2020-01-31 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 2020-01-31 4 M 0 25535 87.79 A 52356 D Common Stock 2020-01-31 4 F 0 17937 170.51 D 34419 D Common Stock 2020-01-31 4 S 0 7598 166.152 D 26821 D Common Stock 2020-01-31 4 A 0 3445 0 A 30266 D Common Stock 2020-02-01 4 F 0 761 165.41 D 29505 D Common Stock 237.499 I By 401(k) Plan Employee Stock Option (right to buy) 87.79 2020-01-31 4 M 0 25535 0 D 2025-02-02 Common Stock 25535 0 D Employee Stock Option (right to buy) 165.41 2020-01-31 4 A 0 15478 0 A 2030-01-31 Common Stock 15478 15478 D Reflects the weighted average price of 7,598 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 31, 2020 with sale prices ranging from $166.0857 to $166.335 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 31, 2020. 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 31, 2020. /s/ Thomas R. Moore for John Robert Woerner 2020-02-04