0001179110-21-001230.txt : 20210203 0001179110-21-001230.hdr.sgml : 20210203 20210203170506 ACCESSION NUMBER: 0001179110-21-001230 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210201 FILED AS OF DATE: 20210203 DATE AS OF CHANGE: 20210203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MOORE COLIN CENTRAL INDEX KEY: 0001205983 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 21587089 MAIL ADDRESS: STREET 1: C/O PUTNAM LLC STREET 2: ONE POST OFFICE SQ CITY: BOSTON STATE: MA ZIP: 02109 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 2021-02-01 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001205983 MOORE COLIN 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 0 1 0 0 EVP & Global CIO Common Stock 2021-02-01 4 F 0 986 200.84 D 57775 D Common Stock 2021-02-03 4 M 0 51958 107.61 A 109733 D Common Stock 2021-02-03 4 M 0 54655 128.76 A 164388 D Common Stock 2021-02-03 4 M 0 36754 87.79 A 201142 D Common Stock 2021-02-03 4 M 0 32641 123.37 A 233783 D Common Stock 2021-02-03 4 F 0 131940 205.09 D 101843 D Common Stock 2021-02-03 4 S 0 8900 201.3222 D 92943 D Common Stock 2021-02-03 4 S 0 26000 202.6117 D 66943 D Common Stock 2021-02-03 4 S 0 9168 203.7923 D 57775 D Employee Stock Option (right to buy) 107.61 2021-02-03 4 M 0 51958 0 D 2024-02-07 Common Stock 51958 0 D Employee Stock Option (right to buy) 128.76 2021-02-03 4 M 0 54655 0 D 2025-02-02 Common Stock 54655 0 D Employee Stock Option (right to buy) 87.79 2021-02-03 4 M 0 36754 0 D 2026-02-01 Common Stock 36754 0 D Employee Stock Option (right to buy) 123.37 2021-02-03 4 M 0 32641 0 D 2027-02-06 Common Stock 32461 0 D Reflects the weighted average price of 8,900 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 3, 2021 with sale prices ranging from $201.14 to $201.61 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 26,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 3, 2021 with sale prices ranging from $202.07 to $203.05 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 9,168 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 3, 2021 with sale prices ranging from $203.46 to $204.15 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. Fully vested. /s/ Thomas R. Moore for Colin Moore 2021-02-03