Filing Details

Accession Number:
0001179110-14-012429
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-05 17:05:15
Reporting Period:
2014-08-01
Filing Date:
2014-08-05
Accepted Time:
2014-08-05 17:05:15
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
1282835 F William Truscott General Counsel'S Office
1098 Ameriprise Financial Center
Minneapolis MN 55474
Ceo, Global Asset Management 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 2014-08-01 77,600 $52.86 92,751 No 4 M Direct
Common Stock Disposition 2014-08-01 54,944 $119.60 15,151 No 4 F Direct
Common Stock Disposition 2014-08-01 22,328 $119.16 41,535 No 4 S Indirect By LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 S Indirect By LLC
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 2014-08-01 77,600 $0.00 77,600 $52.86
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
77,757 2018-01-29 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 252 Indirect By 401(k) Plan
Footnotes
  1. The balances reflect the transfer of 14,665 shares from the reporting person's direct holdings to his indirect LLC holdings, which transfer pre-dated the reporting person's Form 4 filed on May 22, 2014. Accordingly, the May 22, 2014 Form 4 overstated the reporting person's direct holdings by 14,665 shares and understated his indirect LLC holdings by the same amount.
  2. The balances reflect the transfer of the shares remaining following the option exercise and forfeiture of shares to satisfy tax withholding to the reporting person's indirect LLC holdings.
  3. Reflects the weighted average price of 22,328 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 1, 2014 with sale prices ranging from $118.82 to $119.80 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.
  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 August 1, 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.
  5. Fully vested.