SEC Form 4 · accession 0001179110-15-002538
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deirdre Davey McGraw
Officer — EVP Corp Comm/Cmnity Rltns
Period of report
Feb 12, 2015
Accepted (ET)
Feb 13, 2015 · 5:51 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 12, 2015 | M | 2,963 | $54.33 | A | 19,244 | D | |
| Common Stock | Feb 12, 2015 | M | 3,097 | $65.31 | A | 22,341 | D | |
| Common Stock | Feb 12, 2015 | F | 4,561 | $136.24 | D | 17,780 | D | |
| Common StockF1 | holding | — | — | — | 424 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $54.33 | Feb 12, 2015 | M | 2,963 | D | — | Feb 7, 2022 | Common Stock | 2,963 | 0 | D |
| Employee Stock Option (right to buy)F3 | $65.31 | Feb 12, 2015 | M | 3,097 | D | — | Feb 5, 2023 | Common Stock | 3,097 | 3,099 | D |
Explanation of responses
- F1Estimate 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 12, 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.
- F2Fully vested.
- F3One-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 4, 2013.