SEC Form 4 · accession 0001179110-16-018393
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
H Jay Sarles
Director
Period of report
Feb 1, 2016
Accepted (ET)
Feb 3, 2016 · 4:25 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 StockF1 | Feb 1, 2016 | P | 2,000 | $89.517 | A | 12,609 | I | By 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,F3 | — | Feb 1, 2016 | A | 178 | A | — | — | Common Stock | 178 | 178 | D |
Explanation of responses
- F1Reflects the weighted average price of 2,000 shares of common stock of Ameriprise Financial, Inc. purchased by the reporting person in multiple transactions on February 1, 2016 with purchase prices ranging from $89.36 to $89.79 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 purchased at each separate price.
- F2Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F3Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.