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