SEC Form 4 · accession 0001179110-16-029496
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Carl Junek
Officer — Exec VP and General Counsel
Period of report
Sep 7, 2016
Accepted (ET)
Sep 9, 2016 · 4:21 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 Stock | Sep 7, 2016 | M | 14,347 | $37.23 | A | 37,766 | D | |
| Common Stock | Sep 7, 2016 | F | 9,664 | $100.66 | D | 28,102 | D | |
| Common StockF1 | Sep 7, 2016 | S | 4,683 | $100.295 | D | 23,419 | D | |
| Common StockF2 | holding | — | — | — | 34 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $37.23 | Sep 7, 2016 | M | 14,347 | D | — | Feb 9, 2020 | Common Stock | 14,347 | 0 | D |
Explanation of responses
- F1Reflects the weighted average price of 4,683 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 7, 2016 with sale prices ranging from $100.29 to $100.314 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 sold at each separate price.
- F2Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of September 7, 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.
- F3Fully vested.