Filing Details

Accession Number:
0001179110-14-002512
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-11 18:09:51
Reporting Period:
2014-02-07
Filing Date:
2014-02-11
Accepted Time:
2014-02-11 18:09:51
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 2014-02-07 9,130 $0.00 45,793 No 4 A Direct
Common Stock Disposition 2014-02-07 5,420 $107.61 40,373 No 4 F Direct
Common Stock Acquisiton 2014-02-11 10,540 $58.73 50,913 No 4 M Direct
Common Stock Acquisiton 2014-02-11 14,601 $52.86 65,514 No 4 M Direct
Common Stock Disposition 2014-02-07 19,351 $105.50 46,163 No 4 F Direct
Common Stock Disposition 2014-02-11 15,948 $105.85 30,215 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 M Direct
No 4 M Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Phantom Stock Acquisiton 2014-02-07 743 $107.61 743 $0.00
Common Stock Common Stock Disposition 2014-02-11 10,540 $0.00 10,540 $58.73
Common Stock Common Stock Disposition 2014-02-11 14,601 $0.00 14,601 $52.86
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,634 No 4 A Direct
0 2017-01-30 No 4 M Direct
34,952 2018-01-29 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 257 Indirect By 401(k) Plan
Footnotes
  1. Reflects the weighted average price of 15,948 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2014 with sale prices ranging from $105.59 to $106.01 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 5, 2014. 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. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
  4. 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.
  5. Fully vested.