Home > Insider Trading > Filing (0001179110-14-002530)

Filing Details

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
1335761	Stanley Walter Berman	General Counsel'S Office 1098 Ameriprise Financial Center Minneapolis MN 55474	Executive Vp And Cfo	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
Common Stock	Acquisiton	2014-02-07	6,570	$0.00	34,152	No	4	A	Direct
Common Stock	Acquisiton	2014-02-07	21,260	$0.00	55,412	No	4	A	Direct
Common Stock	Disposition	2014-02-07	12,616	$107.61	42,796	No	4	F	Direct
Common Stock	Disposition	2014-02-11	15,000	$106.43	27,796	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	A	Direct
No	4	F	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Phantom Stock	Acquisiton	2014-02-07	1,641	$107.61	1,641	$0.00
Common Stock	Employee Stock Option (right to buy)	Acquisiton	2014-02-07	54,910	$0.00	54,910	$107.61

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
34,617			No	4	A	Direct
54,910		2024-02-07	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	295	Indirect	By 401(k) Plan

Footnotes

Restricted stock unit award grant, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 7, 2015, February 7, 2016 and February 7, 2017.
Reflects the weighted average price of 15,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2014 with sale prices ranging from $106.36 to $106.54 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.
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 February 5, 2014. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.
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 February 7, 2014.