0001415889-22-011519.txt : 20221117 0001415889-22-011519.hdr.sgml : 20221117 20221117172236 ACCESSION NUMBER: 0001415889-22-011519 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221115 FILED AS OF DATE: 20221117 DATE AS OF CHANGE: 20221117 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: 221399594 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 form4-11172022_101123.xml X0306 4 2022-11-15 0000820027 AMERIPRISE FINANCIAL INC AMP 0001823254 Smyth Gerard P. 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 false true false false EVP TECHNOLOGY AND CIO Common Stock 2022-11-15 4 M 0 3812 123.37 A 11273 D Common Stock 2022-11-15 4 M 0 2000 126.89 A 13273 D Common Stock 2022-11-15 4 F 0 3872 322.71 D 9401 D Common Stock 2022-11-15 4 S 0 1940 322.0195 D 7461 D Common Stock 2022-11-15 4 S 0 2189 327.006 D 5272 D Employee Stock Option (right to buy) 123.37 2022-11-15 4 M 0 3812 0 D 2027-02-06 Common Stock 3812 0 D Employee Stock Option (right to buy) 126.89 2022-11-15 4 M 0 2000 0 D 2029-02-01 Common Stock 2000 3433 D Reflects the weighted average price of 1,940 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $321.89 to $322.12 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 2,189 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $326.95 to $327.092 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/ Wendy B. Mahling for Gerard P. Smyth 2022-11-17