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Filing Details

Accession Number:: 0001179110-20-001859
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-02-19 17:02:36
Reporting Period:: 2020-02-14

Accepted Time:: 2020-02-19 17:02:36
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
1335761	Stanley Walter Berman	General Counsel'S Office 1098 Ameriprise Financial Center Minneapolis MN 55474	Executive Vp And Cfo	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-02-14	20,912	$0.00	69,433	No	4	A	Direct
Common Stock	Disposition	2020-02-14	10,671	$178.82	58,762	No	4	F	Direct
Common Stock	Acquisiton	2020-02-18	54,910	$107.61	113,672	No	4	M	Direct
Common Stock	Disposition	2020-02-18	43,752	$178.82	69,920	No	4	F	Direct
Common Stock	Disposition	2020-02-18	11,158	$176.20	58,762	No	4	S	Direct
Common Stock	Disposition	2020-02-18	41,002	$177.77	17,760	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Phanton Stock	Acquisiton	2020-02-14	738	$178.82	738	$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
27,022			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	340	Indirect	By 401(k) Plan

Footnotes

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.
Reflects the weighted average price of 11,158 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 $175.88 to $176.6908 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.
Reflects the weighted average price of 41,002 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 $177.14 to $177.99per 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.
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.