0001415889-23-001691.txt : 20230131
0001415889-23-001691.hdr.sgml : 20230131
20230131195645
ACCESSION NUMBER: 0001415889-23-001691
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: Sweeney Joseph Edward
CENTRAL INDEX KEY: 0001335749
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32525
FILM NUMBER: 23574349
MAIL ADDRESS:
STREET 1: AMERIPRISE FINANCIAL, INC.
STREET 2: 707 SECOND AVENUE SOUTH
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_120233.xml
X0306
4
2023-01-27
0000820027
AMERIPRISE FINANCIAL INC
AMP
0001335749
Sweeney Joseph Edward
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN
55474
false
true
false
false
PRES-AWM PRODUCTS & SERVICES
Common Stock
2023-01-27
4
M
0
16938
123.37
A
27394
D
Common Stock
2023-01-27
4
F
0
11075
348.74
D
16319
D
Common Stock
2023-01-27
4
S
0
5863
348.7901
D
10456
D
Common Stock
2023-01-27
4
A
0
1959
0
A
12415
D
Common Stock
2023-01-28
4
F
0
315
344.45
D
12100
D
Common Stock
2023-01-29
4
F
0
516
344.45
D
11584
D
Common Stock
286.34
I
By 401(k) Plan
Employee Stock Option (right to buy)
123.37
2023-01-27
4
M
0
16938
0
D
2027-02-06
Common Stock
16938
0
D
Employee Stock Option (right to buy)
344.45
2023-01-27
4
A
0
5758
0
A
2033-01-28
Common Stock
5758
5758
D
Reflects the weighted average price of 5,863 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 27, 2023 with sale prices ranging from $348.38 to $349.00 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.
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.
Fully vested.
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 Joseph Edward Sweeney
2023-01-31