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
- 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
- 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.
- 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.
- 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