SEC Form 4 · accession 0001179110-16-018737
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Kent Stewart
Officer — Sr Vice Pres and Controller
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 4:26 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 Stock | Feb 4, 2016 | F | 96 | $85.47 | D | 16,861 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | — | Feb 5, 2016 | A | 138 | A | — | — | Common Stock | 138 | 11,639 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F2Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.