0001179110-20-009591.txt : 20200904
0001179110-20-009591.hdr.sgml : 20200904
20200904164018
ACCESSION NUMBER: 0001179110-20-009591
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200901
FILED AS OF DATE: 20200904
DATE AS OF CHANGE: 20200904
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Smyth Gerard P.
CENTRAL INDEX KEY: 0001823254
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 201162195
MAIL ADDRESS:
STREET 1: 1099 AMERIPRISE FINANCIAL
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
3
1
edgar.xml
FORM 3 -
X0206
3
2020-09-01
0
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001823254
Smyth Gerard P.
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
0
1
0
0
EVP Technology and CIO
Common Stock
7461
D
Common Stock
217.04
I
By 401(k) Plan
Phantom Stock
Common Stock
478.1135
D
Employee Stock Option (right to buy)
107.61
2024-02-07
Common Stock
2936
D
Employee Stock Option (right to buy)
128.76
2025-02-02
Common Stock
3582
D
Employee Stock Option (right to buy)
87.79
2026-02-01
Common Stock
3923
D
Employee Stock Option (right to buy)
123.37
2027-02-06
Common Stock
3812
D
Employee Stock Option (right to buy)
179.84
2028-01-26
Common Stock
3199
D
Employee Stock Option (right to buy)
126.89
2029-02-01
Common Stock
5433
D
Employee Stock Option (right to buy)
165.41
2030-01-31
Common Stock
2221
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 September 1, 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.
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.
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common 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 26, 2018.
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 February 1, 2019.
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 Gerard P. Smyth
2020-09-04
EX-24
2
smythpoa.txt
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Karen Wilson Thissen, Thomas R. Moore,James DeBuse,
Susan M. Beltz, and Mary St. Marie, signing singly, the
undersigned's true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer of Ameriprise Financial,
Inc. (the "Company"), Forms 3, 4, and 5 in accordance with
Section 16(a) of the Securities Exchange Act of 1934 and the
rules thereunder, and any other forms or reports, including
amended reports, the undersigned may be required to file with
the United States Securities and Exchange Commission ("SEC") in
connection with the undersigned's ownership, acquisition, or
disposition of securities of the Company, including Form 144;
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and
execute any such Form 3, 4, or 5, or other form or report,
including the completion, execution and filing of Form ID,
including amendments thereto, and any other documents necessary
or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports
required by Section 16(a) of the Securities Exchange Act of 1934
or any rule or regulation of the SEC and timely file such form
or report with the SEC and any stock exchange or similar
authority; and
(3) take any other action of any type whatsoever
in connection with the foregoing which, in the opinion of such
attorney-in-fact, may be of benefit to, in the best interest of,
or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney
shall be in such form and shall contain such terms and
conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the
rights and powers herein granted, as fully to all intents and purposes as
the undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes,
shall lawfully do or cause to be done by virtue of this power of attorney
and the rights and powers herein granted. The undersigned acknowledges that
the foregoing attorneys-in-fact, in serving in such capacity at the request
of the undersigned, are not assuming, nor is the Company assuming, any of
the undersigned's responsibilities to comply with Section 16 of the
Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to
the undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 31st day of August 2020.
/s/ Gerard P. Smyth