Filing Details
- Accession Number:
- 0001179110-11-013432
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-20 17:31:28
- Reporting Period:
- 2011-09-19
- Filing Date:
- 2011-09-20
- Accepted Time:
- 2011-09-20 17:31:28
- 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 |
---|---|---|---|---|---|---|---|
1335749 | Edward Joseph Sweeney | General Counsel'S Office 1098 Ameriprise Financial Center Minneapolis MN 55474 | Pres-Awm Products & Services | 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 | 2011-09-19 | 50 | $43.16 | 32,465 | No | 4 | P | Direct | |
Common Stock | Disposition | 2011-09-19 | 50 | $0.00 | 32,415 | No | 4 | G | Direct | |
Common Stock | Acquisiton | 2011-09-19 | 50 | $0.00 | 50 | No | 4 | G | Indirect | By Son |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | G | Direct | |
No | 4 | G | Indirect | By Son |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 233 | Indirect | By 401(k) Plan |
Footnotes
- This transaction involved a gift of securities by the reporting person to his son, who shares reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his son's shares for purposes of Section 16 or for any other purpose.
- 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 September 19, 2011. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.