0001415889-23-001688.txt : 20230131 0001415889-23-001688.hdr.sgml : 20230131 20230131194646 ACCESSION NUMBER: 0001415889-23-001688 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230127 FILED AS OF DATE: 20230131 DATE AS OF CHANGE: 20230131 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: 23574323 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 form4-02012023_120238.xml X0306 4 2023-01-27 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 2023-01-27 4 A 0 1019 0 A 6291 D Common Stock 2023-01-28 4 F 0 86 344.45 D 6205 D Common Stock 2023-01-29 4 F 0 70 344.45 D 6135 D Employee Stock Option (right to buy) 344.45 2023-01-27 4 A 0 2994 0 A 2033-01-28 Common Stock 2994 2994 D 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 27, 2023. /s/ Wendy B. Mahling for Gerard P. Smyth 2023-01-31