0001179110-20-001859.txt : 20200219 0001179110-20-001859.hdr.sgml : 20200219 20200219170236 ACCESSION NUMBER: 0001179110-20-001859 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200214 FILED AS OF DATE: 20200219 DATE AS OF CHANGE: 20200219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Berman Walter Stanley CENTRAL INDEX KEY: 0001335761 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 20630876 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 2020-02-14 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001335761 Berman Walter Stanley GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 Executive VP and CFO Common Stock 2020-02-14 4 A 0 20912 0 A 69433 D Common Stock 2020-02-14 4 F 0 10671 178.82 D 58762 D Common Stock 2020-02-18 4 M 0 54910 107.61 A 113672 D Common Stock 2020-02-18 4 F 0 43752 178.82 D 69920 D Common Stock 2020-02-18 4 S 0 11158 176.1997 D 58762 D Common Stock 2020-02-18 4 S 0 41002 177.7703 D 17760 D Common Stock 339.50 I By 401(k) Plan Phanton Stock 2020-02-14 4 A 0 738.4521 178.82 A Common Stock 738.4521 27022.3102 D Employee Stock Option (right to buy) 107.61 2020-02-18 4 M 0 54910 0 D 2024-02-07 Common Stock 54910 0 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 18, 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. Reflects the weighted average price of 11,158 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 18, 2020 with sale prices ranging from $175.88 to $176.6908 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. Reflects the weighted average price of 41,002 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 18, 2020 with sale prices ranging from $177.14 to $177.99per 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. 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. Fully vested. /s/ Susan M. Beltz for Walter Stanley Berman 2020-02-19