0001415889-23-001690.txt : 20230131
0001415889-23-001690.hdr.sgml : 20230131
20230131195516
ACCESSION NUMBER: 0001415889-23-001690
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: Brockman Dawn M.
CENTRAL INDEX KEY: 0001937010
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 23574338
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
4
1
form4-02012023_120207.xml
X0306
4
2023-01-27
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001937010
Brockman Dawn M.
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
false
true
false
false
SVP AND CONTROLLER
Common Stock
2023-01-27
4
A
0
175
0
A
1050
D
Common Stock
2023-01-28
4
F
0
21
344.45
D
1029
D
Common Stock
2023-01-29
4
F
0
32
344.45
D
997
D
Common Stock
140.21
I
By 401(k) Plan
Employee Stock Option (right to buy)
344.45
2023-01-27
4
A
0
301
0
A
2033-01-28
Common Stock
301
301
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 January 27, 2023. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
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 Dawn M. Brockman
2023-01-31