Filing Details
- Accession Number:
- 0001179110-17-013605
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-10-31 17:24:39
- Reporting Period:
- 2017-10-27
- Accepted Time:
- 2017-10-31 17:24:39
- 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 | 2017-10-27 | 3,366 | $107.61 | 14,697 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-10-27 | 5,491 | $87.79 | 20,188 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-10-27 | 7,103 | $162.80 | 13,085 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2017-10-27 | 1,754 | $161.01 | 11,331 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2017-10-27 | 3,366 | $0.00 | 3,366 | $107.61 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-10-27 | 5,491 | $0.00 | 5,491 | $87.79 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,070 | 2024-02-07 | No | 4 | M | Direct | |
| 10,983 | 2026-02-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 372 | Indirect | By 401(k) Plan |
Footnotes
- Reflects the weighted average price of 1,754 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 27, 2017, with sale prices ranging from $160.94 to $161.06 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 October 27, 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
- Fully vested.
- 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 1, 2016.
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