0001179110-20-010862.txt : 20201106 0001179110-20-010862.hdr.sgml : 20201106 20201106161832 ACCESSION NUMBER: 0001179110-20-010862 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201104 FILED AS OF DATE: 20201106 DATE AS OF CHANGE: 20201106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CRACCHIOLO JAMES M CENTRAL INDEX KEY: 0001196484 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 201294659 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 2020-11-04 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001196484 CRACCHIOLO JAMES M GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 1 1 0 0 Chairman and CEO Common Stock 2020-11-04 4 M 0 191808 87.79 A 425372 D Common Stock 2020-11-04 4 F 0 145774 172.58 D 279598 D Common Stock 2020-11-04 4 S 0 28534 171.7874 D 251064 D Common Stock 2020-11-05 4 S 0 16500 171.6144 D 234564 D Common Stock 2020-11-05 4 S 0 25800 172.8396 D 208764 D Common Stock 2020-11-05 4 S 0 3705 173.5872 D 205059 D Common Stock 1614.353 I By 401(k) Plan Employee Stock Option (right to buy) 87.79 2020-11-04 4 M 0 191808 0 D 2026-02-01 Common Stock 191808 0 D Reflects the weighted average price of 28,534 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 4, 2020 with sale prices ranging from $170.00 to $172.73 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 16,500 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 5, 2020 with sale prices ranging from $171.10 to $172.00 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 25,800 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 5, 2020 with sale prices ranging from $172.30 to $173.10 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 3,705 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 5, 2020 with sale prices ranging from $173.50 to $173.70 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 November 4, 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. /s/ Thomas R. Moore for James M. Cracchiolo 2020-11-06