SEC Form 4 · accession 0001179110-17-001980

AMERIPRISE FINANCIAL INC · AMP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CEO, Global Asset Management

Period of report

Feb 6, 2017

Accepted (ET)

Feb 8, 2017 · 4:51 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^F1	Feb 6, 2017	A	3,534	$0.00	A	12,560	D
Common Stock^F2	Feb 7, 2017	F	989	$123.18	D	10,370	D
Common Stock	holding	—	—		—	47,852	I	By LLC
Common Stock^F3	holding	—	—		—	267	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4	$123.37	Feb 6, 2017	A	30,841	A	—	Feb 7, 2027	Common Stock	30,841	30,841	D

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.
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 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.
F4One-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.