0001415889-22-002741.txt : 20220308 0001415889-22-002741.hdr.sgml : 20220308 20220308161746 ACCESSION NUMBER: 0001415889-22-002741 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220224 FILED AS OF DATE: 20220308 DATE AS OF CHANGE: 20220308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alvero Gumer CENTRAL INDEX KEY: 0001915877 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 22721979 MAIL ADDRESS: STREET 1: GENERAL COUNSEL'S OFFICE STREET 2: 1098 AMERIPRISE FINANCIAL CENTER 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 form3-03082022_010336.xml X0206 3 2022-02-24 0 0000820027 AMERIPRISE FINANCIAL INC AMP 0001915877 Alvero Gumer GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 false true false false President-Insurance&Annuities Common Stock 7717 D Common Stock 1017.96 I By 401(k) Plan Employee Stock Option (right to buy) 87.79 2026-02-01 Common Stock 5061 D Employee Stock Option (right to buy) 123.37 2027-02-06 Common Stock 4235 D Employee Stock Option (right to buy) 179.84 2028-01-26 Common Stock 3428 D Employee Stock Option (right to buy) 126.89 2029-02-01 Common Stock 4865 D Employee Stock Option (right to buy) 165.41 2030-01-31 Common Stock 1904 D Employee Stock Option (right to buy) 197.87 2031-01-29 Common Stock 1362 D Employee Stock Option (right to buy) 298.09 2032-01-28 Common Stock 994 D Phantom Stock Common Stock 3308.7785 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 March 2, 2022. 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. Two-thirds of the options are fully vested; the remaining one-third options vest on January 31, 2023. One-third of the options are fully vested; one-third of the options vest on each of January 29, 2023 and January 29, 2024. 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 28, 2022. 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. /s/ Wendy B. Mahling for Gumer Alvero 2022-03-08 EX-24 2 ex24-03082022_010336.htm ex24-03082022_010336.htm

POWER OF ATTORNEY

EX-24


Know all by these presents, that the undersigned hereby constitutes and appoints each of Karen Wilson Thissen, Wendy B. Mahling, James R. 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 7th day of March, 2022.


/s/ Gumer Alvero

Title: President, Insurance & Annuities of Ameriprise Financial, Inc.