SEC Form 4 · accession 0001179110-17-001975
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Neal Maglaque
Officer — Pres. Advice & Wealth Mgt, COO
Period of report
Feb 6, 2017
Accepted (ET)
Feb 8, 2017 · 4:50 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 StockF1 | Feb 6, 2017 | A | 1,223 | $0.00 | A | 16,049 | D | |
| Common Stock | Feb 7, 2017 | M | 12,390 | $65.31 | A | 28,439 | D | |
| Common Stock | Feb 7, 2017 | F | 9,760 | $123.37 | D | 18,679 | D | |
| Common Stock | Feb 7, 2017 | S | 2,630 | $123.71 | D | 16,049 | D | |
| Common Stock | Feb 7, 2017 | S | 1,193 | $123.12 | D | 14,856 | D | |
| Common Stock | Feb 7, 2017 | F | 284 | $123.18 | D | 14,572 | D | |
| Common StockF2 | holding | — | — | — | 367 | 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 | $123.37 | Feb 6, 2017 | A | 10,657 | A | — | Feb 7, 2027 | Common Stock | 10,657 | 10,657 | D |
| Employee Stock Option (right to buy)F4 | $65.31 | Feb 7, 2017 | M | 12,390 | D | — | Feb 5, 2023 | Commmon Stock | 12,390 | 0 | D |
Explanation of responses
- F1Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020.
- 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 February 7, 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.
- F3One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 6, 2017.
- F4Fully vested.