Filing Details
- Accession Number:
- 0001179110-17-001975
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-08 16:50:03
- Reporting Period:
- 2017-02-06
- Filing Date:
- 2017-02-08
- Accepted Time:
- 2017-02-08 16:50:03
- 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 | 2017-02-06 | 1,223 | $0.00 | 16,049 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2017-02-07 | 12,390 | $65.31 | 28,439 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-07 | 9,760 | $123.37 | 18,679 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-02-07 | 2,630 | $123.71 | 16,049 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-07 | 1,193 | $123.12 | 14,856 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-07 | 284 | $123.18 | 14,572 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | 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) | Acquisiton | 2017-02-06 | 10,657 | $0.00 | 10,657 | $123.37 |
| Commmon Stock | Employee Stock Option (right to buy) | Disposition | 2017-02-07 | 12,390 | $0.00 | 12,390 | $65.31 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,657 | 2027-02-07 | No | 4 | A | Direct | |
| 0 | 2023-02-05 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 367 | Indirect | By 401(k) Plan |
Footnotes
- Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020.
- 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 7, 2017. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
- 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 6, 2017.
- Fully vested.
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