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Filing Details

Accession Number:: 0001179110-12-015647
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-11-02 17:20:58
Reporting Period:: 2012-10-31

Filing Date:: 2012-11-02
Accepted Time:: 2012-11-02 17:20:58
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2012-10-31	46,139	$35.04	84,246	No	4	M	Direct
Common Stock	Acquisiton	2012-10-31	21,000	$21.34	105,246	No	4	M	Direct
Common Stock	Disposition	2012-10-31	38,604	$57.35	66,642	No	4	S	Direct
Common Stock	Disposition	2012-10-31	19,303	$58.35	47,339	No	4	S	Direct
Common Stock	Disposition	2012-10-31	356	$58.91	0	No	4	S	Indirect	By IRA

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Indirect	By IRA

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2012-10-31	46,139	$0.00	46,139	$35.04
Common Stock	Employee Stock Option (right to buy)	Disposition	2012-10-31	21,000	$0.00	21,000	$21.34

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2009-10-03	2015-10-02	No	4	M	Direct
92,025		2019-02-02	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	164	Indirect	By Roth IRA
Common Stock	35	Indirect	By 401(k) Plan

Footnotes

Transaction effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 28, 2012.
Reflects the weighted average price of 38,604 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 31, 2012 with sale prices ranging from $56.7771 to $57.5114 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 19,303 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 31, 2012 with sale prices ranging from $58.08 to $59.00 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.
On September 27, 2012, the reporting person executed an in-service distribution of 356 shares of common stock of Ameriprise Financial, Inc. to his IRA account. On previous Section 16 reports, the reporting person reported these shares of common stock as indirectly held in his 401(k) account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan.
On September 20, 2012, the reporting person executed an in-service distribution of 164 shares of common stock of Ameriprise Financial, Inc. to his Roth IRA account. On previous Section 16 reports, the reporting person reported these shares of common stock as indirectly held in his 401(k) account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan.
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 31, 2012. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
One-third of the options vest after two years; one-third of the options vest after three years and the final third vest four years from February 2, 2009.