Filing Details

Accession Number:
0001179110-13-002554
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-02-12 19:21:44
Reporting Period:
2013-02-08
Filing Date:
2013-02-12
Accepted Time:
2013-02-12 19:21:44
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
820027 Ameriprise Financial Inc AMP Investment Advice (6282) 133180631
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1335741 Michelle Kim Sharan General Counsel'S Office
1098 Ameriprise Financial Center
Minneapolis MN 55474
Pres Fncl Plng & Wealth & Cmo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-02-08 40,124 $21.34 73,516 No 4 M Direct
Common Stock Disposition 2013-02-09 33,539 $66.44 39,977 No 4 S Direct
Common Stock Disposition 2013-02-08 1,665 $66.49 38,312 No 4 F Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 F Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2013-02-08 40,124 $0.00 40,124 $21.34
Common Stock Phantom Stock Acquisiton 2013-02-08 816 $66.49 816 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-02-02 No 4 M Direct
11,144 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 252 Indirect By 401(k) Plan
Footnotes
  1. Reflects the weighted average price of 33,539 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 8, 2013 with sale prices ranging from $66.40 to $66.50 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.
  2. 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 February 4, 2013. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
  3. One-third of the options vest after two years; one-third vest after three years and the final third vest four years from February 2, 2009.
  4. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
  5. 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.
  6. Includes 48.6679 phantom shares credited to the reporting person's account as a result of the deemed reinvestment of dividends allocated since phantom shares were last reported.