SEC Form 4 · accession 0001179110-15-001266

AMERIPRISE FINANCIAL INC · AMP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Exec VP and General Counsel

Period of report

Jan 23, 2015

Accepted (ET)

Jan 27, 2015 · 4:17 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000820027

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Jan 23, 2015	M	5,641	$52.86	A	27,528	D
Common Stock	Jan 23, 2015	F	3,441	$130.23	D	24,087	D
Common Stock	Jan 23, 2015	S	2,200	$130.23	D	21,887	D
Common Stock	Jan 26, 2015	M	5,641	$52.86	A	27,528	D
Common Stock	Jan 26, 2015	F	3,425	$129.48	D	24,103	D
Common Stock	Jan 26, 2015	S	2,216	$129.37	D	21,887	D
Common Stock	Jan 27, 2015	M	5,641	$52.86	A	27,528	D
Common Stock	Jan 27, 2015	F	3,755	$130.78	D	23,773	D
Common Stock	Jan 27, 2015	S	1,886	$128.15	D	21,887	D
Common Stock^F2	holding	—	—		—	36	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F3	$52.86	Jan 23, 2015	M	5,641	D	—	Jan 29, 2018	Common Stock	5,641	22,564	D
Employee Stock Option (right to buy)^F3	$52.86	Jan 26, 2015	M	5,641	D	—	Jan 29, 2018	Common Stock	5,641	16,923	D
Employee Stock Option (right to buy)^F3	$52.86	Jan 27, 2015	M	5,641	D	—	Jan 29, 2018	Common Stock	5,641	11,282	D

F1Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 23, 2014.
F2Estimate 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 January 27, 2015. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
F3Fully vested.