SEC Form 4 · accession 0001179110-16-023458
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
H Jay Sarles
Director
Period of report
Apr 27, 2016
Accepted (ET)
Apr 29, 2016 · 5:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000820027
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock (Annual)F1,F2 | — | Apr 27, 2016 | A | 1,237 | A | — | — | Common Stock | 1,237 | 25,673 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F2Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.