SEC Form 4 · accession 0001179110-15-005808
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Francis Sharpe Jr.
Director
Period of report
Mar 31, 2015
Accepted (ET)
Apr 2, 2015 · 4:50 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 | A | 2,724 | $130.84 | A | 17,724 | D | |
| Common Stock | holding | — | — | — | 19,150 | I | By the Robert F. Sharpe, Sr. Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock (Retainer Deferral)F2,F4,F1,F3 | — | Mar 31, 2015 | M | 2,725 | D | — | — | Common Stock | 2,724 | 3,747 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F2Settlement of phantom shares is in an equivalent number of whole shares and cash for each fractional share.
- F3Settlement of Ameriprise Financial, Inc. shares of phantom stock is made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.
- F4Amount shown includes additional shares of phantom stock received as the result of the deemed reinvestment of dividend equivalents.