Filing Details

Accession Number:
0001179110-14-015284
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-08 17:13:49
Reporting Period:
2014-10-06
Filing Date:
2014-10-08
Accepted Time:
2014-10-08 17:13:49
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
1335388 Carl John Junek General Counsel'S Office
1098 Ameriprise Financial Center
Minneapolis MN 55474
Exec Vp And General Counsel 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 2014-10-06 9,000 $52.86 33,283 No 4 M Direct
Common Stock Disposition 2014-10-06 8,680 $122.29 24,603 No 4 S Direct
Common Stock Acquisiton 2014-10-07 9,000 $52.86 33,603 No 4 M Direct
Common Stock Disposition 2014-10-07 8,680 $120.34 24,923 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Options (right to buy) Disposition 2014-10-06 9,000 $0.00 9,000 $52.86
Commmon Stock Employee Stock Options (right to buy) Disposition 2014-10-07 9,000 $0.00 9,000 $52.86
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
37,205 2018-01-29 No 4 M Direct
28,205 2018-01-29 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 36 Indirect By 401(k) Plan
Footnotes
  1. Transaction effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 5, 2014.
  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 October 6, 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. Fully vested.