0001179110-20-011348.txt : 20201124 0001179110-20-011348.hdr.sgml : 20201124 20201124174032 ACCESSION NUMBER: 0001179110-20-011348 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201120 FILED AS OF DATE: 20201124 DATE AS OF CHANGE: 20201124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smyth Gerard P. CENTRAL INDEX KEY: 0001823254 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 201345624 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 4 1 edgar.xml FORM 4 - X0306 4 2020-11-20 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 2020-11-20 4 M 0 2936 107.61 A 10397 D Common Stock 2020-11-20 4 F 0 2093 183.63 D 8304 D Common Stock 217.758 I By 401(k) Plan Employee Stock Option (right to buy) 107.61 2020-11-20 4 M 0 2936 0 D 2024-02-07 Common Stock 2936 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 November 20, 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 Gerard P. Smyth 2020-11-24