SEC Form 4 · accession 0001179110-16-018436
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Colin Moore
Officer — EVP & Global CIO
Period of report
Feb 1, 2016
Accepted (ET)
Feb 3, 2016 · 5:06 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 | A | 5,342 | $0.00 | A | 56,732 | D | |
| Common Stock | Feb 2, 2016 | F | 794 | $83.94 | D | 55,938 | D |
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 | $87.79 | Feb 1, 2016 | A | 55,130 | A | — | Feb 2, 2026 | Common Stock | 55,130 | 55,130 | D |
Explanation of responses
- F1Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 1, 2017, February 1, 2018 and February 1, 2019.
- F2One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 1, 2016.