Filing Details
- Accession Number:
- 0001179110-20-001857
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-19 17:02:04
- Reporting Period:
- 2020-02-14
- Accepted Time:
- 2020-02-19 17:02:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1282835 | F William Truscott | General Counsel'S Office 1098 Ameriprise Financial Center Minneapolis MN 55474 | Ceo, Global Asset Management | 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 | 2020-02-14 | 20,426 | $0.00 | 36,224 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2020-02-14 | 11,219 | $178.82 | 15,798 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2020-02-18 | 54,910 | $107.61 | 70,708 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-18 | 42,912 | $178.82 | 15,798 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2020-02-18 | 11,998 | $177.88 | 59,401 | No | 4 | S | Indirect | By LLC |
| 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 | Indirect | By LLC |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Phantom Stock | Acquisiton | 2020-02-14 | 587 | $178.82 | 587 | $0.00 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2020-02-18 | 54,910 | $0.00 | 54,910 | $107.61 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,171 | No | 4 | A | Direct | ||
| 0 | 2024-02-07 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 287 | Indirect | By 401(k) Plan |
Footnotes
- The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting and/or exercise to the reporting person's indirect LLC holdings.
- Reflects the weighted average price of 11,998 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 18, 2020 with sale prices ranging from $177.7508 to $177.9455 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 February 18, 2020. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
- Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- 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.
- Fully vested.
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