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
  1. 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.
  2. 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.