Filing Details
- Accession Number:
- 0001179110-12-015826
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-08 17:04:12
- Reporting Period:
- 2012-11-06
- Filing Date:
- 2012-11-08
- Accepted Time:
- 2012-11-08 17:04:12
- 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
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-11-06 | 7,000 | $21.34 | 54,339 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-11-06 | 5,700 | $61.00 | 48,639 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | 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 | 2012-11-06 | 7,000 | $0.00 | 7,000 | $21.34 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
85,025 | 2019-02-03 | 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.
- 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.