SEC Form 4 · accession 0001179110-15-005806

AMERIPRISE FINANCIAL INC · AMP

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

Reporting owner

Officer — Pres. Advice & Wealth Mgt, COO

Period of report

Mar 31, 2015

Accepted (ET)

Apr 2, 2015 · 4:44 pm EDT

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	Mar 31, 2015	M	5,986	$58.70	A	15,609	D
Common Stock	Mar 31, 2015	M	8,058	$54.33	A	23,667	D
Common Stock	Mar 31, 2015	F	10,209	$131.02	D	13,458	D
Common Stock^F1	Mar 31, 2015	S	3,835	$130.966	D	9,623	D
Common Stock^F2	holding	—	—		—	350	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	$58.70	Mar 31, 2015	M	5,986	D	—	Feb 8, 2021	Common Stock	5,986	0	D
Employee Stock Option (right to buy)^F3	$54.33	Mar 31, 2015	M	8,058	D	—	Feb 7, 2022	Common Stock	8,058	0	D

F1Reflects the weighted average price of 3,835 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on March 31, 2015 with sale prices ranging from $130.94 to $130.99 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.
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 March 31, 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.