Filing Details

Accession Number:
0001179110-12-017149
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-07 17:20:18
Reporting Period:
2010-11-05
Filing Date:
2012-12-07
Accepted Time:
2012-12-07 17:20:18
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
1335728 Kent David Stewart General Counsel'S Office
1098 Ameriprise Financial Center
Minneapolis MN 55474
Sr Vice Pres And Controller 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 2010-11-05 6,418 $20.82 21,534 No 4 M Direct
Common Stock Acquisiton 2010-11-05 9,627 $31.31 31,161 No 4 M Direct
Common Stock Acquisiton 2010-11-05 14,440 $32.59 45,601 No 4 M Direct
Common Stock Disposition 2010-11-05 25,814 $54.64 19,787 No 4 S Direct
Common Stock Acquisiton 2012-12-06 12,323 $43.66 32,110 No 4 M Direct
Common Stock Acquisiton 2012-12-06 28,257 $21.34 60,367 No 4 M Direct
Common Stock Disposition 2012-12-06 34,316 $61.29 26,051 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
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 2010-11-05 6,418 $0.00 6,418 $20.82
Common Stock Employee Stock Option (Right to Buy) Disposition 2010-11-05 9,627 $0.00 9,627 $31.31
Common Stock Employee Stock Option (Right to Buy) Disposition 2010-11-05 14,440 $0.00 14,440 $32.59
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-12-06 12,323 $0.00 12,323 $43.66
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-12-06 28,257 $0.00 28,257 $21.34
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-01-27 2013-01-26 No 4 M Direct
0 2008-01-26 2014-01-25 No 4 M Direct
0 2009-01-24 2015-01-23 No 4 M Direct
0 2009-01-26 2016-01-27 No 4 M Direct
0 2012-02-02 2019-02-02 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 323 Indirect By 401(k) Plan
Footnotes
  1. Reflects the weighted average price of 25,814 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 5, 2010 with sale prices ranging from $54.3610 to $54.7371 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. Reflects the weighted average price of 34,316 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 6, 2012 with sale prices ranging from $61.22 to $61.40 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.
  3. The balance reported on this Form 4 also reflects that the reporting person's Form 4 filed on February 1, 2011, and all subsequent Form 4s, understated the amount of securities owned by the reporting person by 4,671 shares of common stock.
  4. 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 December 5, 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