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