SEC Form 4 · accession 0001179110-15-006338
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Carl Junek
Officer — Exec VP and General Counsel
Period of report
Apr 13, 2015
Accepted (ET)
Apr 15, 2015 · 6:11 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 | Apr 13, 2015 | M | 4,782 | $37.23 | A | 28,515 | D | |
| Common Stock | Apr 13, 2015 | F | 3,043 | $125.00 | D | 25,472 | D | |
| Common Stock | Apr 13, 2015 | S | 1,739 | $125.00 | D | 23,733 | D | |
| Common Stock | Apr 13, 2015 | S | 1,340 | $124.32 | D | 22,393 | D | |
| Common Stock | Apr 14, 2015 | M | 4,782 | $37.23 | A | 27,175 | D | |
| Common Stock | Apr 14, 2015 | F | 3,015 | $130.00 | D | 24,160 | D | |
| Common Stock | Apr 14, 2015 | S | 1,767 | $130.00 | D | 22,393 | D | |
| Common Stock | Apr 14, 2015 | S | 1,340 | $126.50 | D | 21,053 | D | |
| Common Stock | Apr 15, 2015 | S | 1,341 | $129.95 | D | 19,712 | D | |
| Common Stock | holding | — | — | — | 32 | 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 | $37.23 | Apr 13, 2015 | M | 4,782 | D | — | Feb 9, 2020 | Common Stock | 4,782 | 19,129 | D |
| Employee Stock Option (right to buy)F2 | $37.23 | Apr 14, 2015 | M | 4,782 | D | — | Feb 9, 2020 | Common Stock | 4,782 | 14,347 | D |
Explanation of responses
- F1Option exercise and sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 23, 2014.
- F2Fully vested.