Filing Details
- Accession Number:
- 0001179110-15-006338
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-15 18:11:20
- Reporting Period:
- 2015-04-13
- Filing Date:
- 2015-04-15
- Accepted Time:
- 2015-04-15 18:11:20
- 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 |
|---|---|---|---|---|---|---|---|
| 1335388 | Carl John Junek | General Counsel'S Office 1098 Ameriprise Financial Center Minneapolis MN 55474 | Exec Vp And General Counsel | 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 | 2015-04-13 | 4,782 | $37.23 | 28,515 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-13 | 3,043 | $125.00 | 25,472 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2015-04-13 | 1,739 | $125.00 | 23,733 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-04-13 | 1,340 | $124.32 | 22,393 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-04-14 | 4,782 | $37.23 | 27,175 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-04-14 | 3,015 | $130.00 | 24,160 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2015-04-14 | 1,767 | $130.00 | 22,393 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-04-14 | 1,340 | $126.50 | 21,053 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-04-15 | 1,341 | $129.95 | 19,712 | 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 | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2015-04-13 | 4,782 | $0.00 | 4,782 | $37.23 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-04-14 | 4,782 | $0.00 | 4,782 | $37.23 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 19,129 | 2020-02-09 | No | 4 | M | Direct | |
| 14,347 | 2020-02-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 32 | Indirect | By 401(k) Plan |
Footnotes
- Option exercise and sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 23, 2014.
- Fully vested.
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