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
- 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.
- 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.
- 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.
- 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.
- Fully vested.