Filing Details
- Accession Number:
- 0001179110-14-010471
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-16 18:45:12
- Reporting Period:
- 2014-06-12
- Filing Date:
- 2014-06-16
- Accepted Time:
- 2014-06-16 17:45:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1552029 | Neal Charles Maglaque | 1098 Ameriprise Financial Center Minneapolis MN 55474 | Pres. Advice & Wealth Mgt, Coo | 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 | 2014-06-12 | 8,000 | $52.86 | 26,004 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-06-12 | 5,907 | $116.78 | 20,097 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2014-06-12 | 4,597 | $115.68 | 15,500 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | Employee stock option (right to buy) | Disposition | 2014-06-12 | 8,000 | $0.00 | 8,000 | $52.86 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,286 | 2018-01-29 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 346 | Indirect | By 401(k) Plan |
Footnotes
- Reflects a net decrease of 2,860 shares from the reporting person's Form 4s filed on February 10 and 11, 2014 due to the inadvertent reporting of transactions dated June 30, 2010 and June 30, 2011 on the February 10, 2014 Form 4, which transactions occurred prior to the reporting person becoming subject to the reporting requirements of Section 16 and, therefore, not requiring additional reporting as the net effect of the transactions was reflected in the reporting person's initial holdings on his Form 3.
- Reflects the weighted average price of 4,597 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on June 12, 2014 with sale prices ranging from $115.601 to $115.742 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 June 12, 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.
- Fully vested.
Billionaire Hedge Funds
