SEC Form 4 · accession 0001179110-17-001981

AMERIPRISE FINANCIAL INC · AMP

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

Reporting owner

Officer — EVP & Global CIO

Period of report

Feb 6, 2017

Accepted (ET)

Feb 8, 2017 · 4:52 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
Common Stock^F1	Feb 6, 2017	A	3,752	$0.00	A	62,237	D
Common Stock	Feb 7, 2017	M	13,195	$47.50	A	75,432	D
Common Stock	Feb 7, 2017	M	12,239	$54.33	A	87,671	D
Common Stock	Feb 7, 2017	M	25,428	$65.31	A	113,099	D
Common Stock	Feb 7, 2017	F	36,624	$123.37	D	76,475	D
Common Stock	Feb 7, 2017	F	928	$123.18	D	75,547	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F2	$123.37	Feb 6, 2017	A	32,641	A	—	Feb 7, 2027	Common Stock	32,641	32,641	D
Employee Stock Option (right to buy)^F3	$47.50	Feb 7, 2017	M	13,195	D	—	May 4, 2020	Common Stock	13,195	0	D
Employee Stock Option (right to buy)^F3	$54.33	Feb 7, 2017	M	12,239	D	—	Feb 7, 2022	Common Stock	12,239	24,474	D
Employee Stock Option (right to buy)^F3	$65.31	Feb 7, 2017	M	25,428	D	—	Feb 5, 2023	Common Stock	25,428	12,713	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.
F2One-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.
F3Fully vested.