Filing Details
- Accession Number:
- 0001179110-17-004781
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-17 11:36:14
- Reporting Period:
- 2015-10-29
- Filing Date:
- 2017-03-17
- Accepted Time:
- 2017-03-17 11:36:14
- 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 |
---|---|---|---|---|---|---|---|
1340573 | Jr Francis Robert Sharpe | General Counsel'S Office 1098 Ameriprise Financial Center Minneapolis MN 55474 | Yes | No | 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 | 2015-10-29 | 30 | $115.54 | 11,030 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2016-03-08 | 80 | $89.70 | 11,110 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2016-06-16 | 35 | $99.19 | 11,145 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2016-10-06 | 35 | $100.56 | 11,180 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Footnotes
- The reporting person's purchase of Ameriprise common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 to the extent of 30 shares, with the reporting person's sale of shares of Ameriprise common stock at a price of $128.5833 per share on May 19, 2015. The reporting person has agreed to pay promptly to Ameriprise $391.42, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs, or such other amount as may be legally due.
- Reflects shares acquired through a discretionary brokerage account. The reporting person's Form 4 reports filed between the dates of these acquisitions and the date of this report understated his total holdings by the corresponding amount of shares.