SEC Form 4 · accession 0001179110-16-027600
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Truscott
Officer — CEO, Global Asset Management
Period of report
Jul 7, 2016
Accepted (ET)
Jul 11, 2016 · 4:25 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 StockF1 | Jul 7, 2016 | M | 2,085 | — | A | 14,738 | D | |
| Common StockF2 | Jul 7, 2016 | F | 941 | $88.08 | D | 12,653 | D | |
| Common Stock | holding | — | — | — | 47,260 | I | By LLC | |
| Common StockF3 | holding | — | — | — | 265 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F4 | — | Jul 7, 2016 | M | 2,085 | D | — | — | Common Stock | 2,085 | 4,542 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F2The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings.
- F3Estimate of the number of shares held in the reporting person's account in the July 8, 2016. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
- F4Shares 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.