Filing Details

Accession Number:
0001415889-23-001691
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-01-31 19:56:45
Reporting Period:
2023-01-27
Accepted Time:
2023-01-31 19:56:45
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 No 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 2023-01-27 16,938 $123.37 27,394 No 4 M Direct
Common Stock Disposition 2023-01-27 11,075 $348.74 16,319 No 4 F Direct
Common Stock Disposition 2023-01-27 5,863 $348.79 10,456 No 4 S Direct
Common Stock Acquisiton 2023-01-27 1,959 $0.00 12,415 No 4 A Direct
Common Stock Disposition 2023-01-28 315 $344.45 12,100 No 4 F Direct
Common Stock Disposition 2023-01-29 516 $344.45 11,584 No 4 F Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S Direct
No 4 A Direct
No 4 F Direct
No 4 F Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Disposition 2023-01-27 16,938 $0.00 16,938 $123.37
Common Stock Employee Stock Option (right to buy) Acquisiton 2023-01-27 5,758 $0.00 5,758 $344.45
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2027-02-06 No 4 M Direct
5,758 2033-01-28 No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 286 Indirect By 401(k) Plan
Footnotes
  1. Reflects the weighted average price of 5,863 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 27, 2023 with sale prices ranging from $348.38 to $349.00 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 January 27, 2023. 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.
  4. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 27, 2023.