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