SEC Form 4 · accession 0001179110-15-009831
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Cracchiolo
Officer — Chairman and CEO · Director
Period of report
Jun 11, 2015
Accepted (ET)
Jun 15, 2015 · 5:02 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 | Jun 11, 2015 | M | 100,000 | $37.23 | A | 311,188 | D | |
| Common Stock | Jun 11, 2015 | F | 65,608 | $130.25 | D | 245,580 | D | |
| Common Stock | Jun 11, 2015 | S | 700 | $130.25 | D | 244,880 | D | |
| Common StockF1 | holding | — | — | — | 1,430 | 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 | Jun 11, 2015 | M | 100,000 | D | — | Feb 9, 2020 | Common Stock | 100,000 | 0 | 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 June 11, 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.