Filing Details

Accession Number:
0001179110-17-001896
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-07 16:58:10
Reporting Period:
2017-02-03
Filing Date:
2017-02-07
Accepted Time:
2017-02-07 16:58:10
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
1335749 Edward Joseph Sweeney General Counsel'S Office
1098 Ameriprise Financial Center
Minneapolis MN 55474
Pres-Awm Products & Services 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 2017-02-03 5,528 $0.00 19,045 No 4 A Direct
Common Stock Disposition 2017-02-03 2,781 $121.26 16,264 No 4 F Direct
Common Stock Acquisiton 2017-02-06 22,726 $58.70 38,990 No 4 M Direct
Common Stock Disposition 2017-02-06 16,837 $121.26 22,153 No 4 F Direct
Common Stock Disposition 2017-02-06 5,889 $122.82 16,264 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 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 2017-02-03 412 $121.26 412 $0.00
Common Stock Employee Stock Option (right to buy) Disposition 2017-02-06 22,726 $0.00 22,726 $58.70
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,587 No 4 A Direct
0 2021-02-08 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 259 Indirect By 401(k) Plan
Footnotes
  1. 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 3, 2017. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
  2. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
  3. 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.
  4. Fully vested.