SEC Form 4 · accession 0001179110-15-002248
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Truscott
Officer — CEO, Global Asset Management
Period of report
Feb 6, 2015
Accepted (ET)
Feb 10, 2015 · 5:05 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 | Feb 6, 2015 | A | 26,836 | $0.00 | A | 45,119 | D | |
| Common StockF1 | Feb 6, 2015 | F | 14,366 | $134.79 | D | 14,932 | D | |
| Common StockF1 | Feb 7, 2015 | F | 1,043 | $134.79 | D | 12,742 | D | |
| Common Stock | Feb 9, 2015 | M | 64,313 | $37.23 | A | 77,055 | D | |
| Common StockF1 | Feb 9, 2015 | F | 39,915 | $134.79 | D | 12,742 | D | |
| Common StockF2,F1 | Feb 9, 2015 | S | 24,398 | $133.913 | D | 59,873 | I | By LLC |
| Common StockF3 | holding | — | — | — | 254 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF4,F5 | — | Feb 6, 2015 | A | 1,372 | A | — | — | Common Stock | 1,372 | 7,756 | D |
| Employee Stock Option (right to buy)F6 | $37.23 | Feb 9, 2015 | M | 64,313 | D | — | Feb 9, 2020 | Common Stock | 64,313 | 0 | D |
Explanation of responses
- F1The balances reflect the transfer of the shares remaining following the option exercise and forfeiture of shares to satisfy tax withholding to the reporting person's indirect LLC holdings.
- F2Reflects the weighted average price of 24,398 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person's LLC in multiple transactions on February 9, 2015 with sale prices ranging from $133.59 to $134.30 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.
- F3Estimate 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 February 7, 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.
- F4Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F5Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.
- F6Fully vested.