SEC Form 4 · accession 0001179110-17-001896
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Edward Sweeney
Officer — Pres-AWM Products & Services
Period of report
Feb 3, 2017
Accepted (ET)
Feb 7, 2017 · 4:58 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 3, 2017 | A | 5,528 | $0.00 | A | 19,045 | D | |
| Common Stock | Feb 3, 2017 | F | 2,781 | $121.26 | D | 16,264 | D | |
| Common Stock | Feb 6, 2017 | M | 22,726 | $58.70 | A | 38,990 | D | |
| Common Stock | Feb 6, 2017 | F | 16,837 | $121.26 | D | 22,153 | D | |
| Common Stock | Feb 6, 2017 | S | 5,889 | $122.822 | D | 16,264 | D | |
| Common StockF1 | holding | — | — | — | 259 | 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 StockF2,F3 | — | Feb 3, 2017 | A | 412 | A | — | — | Common Stock | 412 | 2,587 | D |
| Employee Stock Option (right to buy)F4 | $58.70 | Feb 6, 2017 | M | 22,726 | D | — | Feb 8, 2021 | Common Stock | 22,726 | 0 | D |
Explanation of responses
- F1Estimate 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 February 3, 2017. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
- F2Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F3Shares 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.
- F4Fully vested.