SEC Form 4 · accession 0001179110-17-002255
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter Stanley Berman
Officer — Executive VP and CFO
Period of report
Feb 9, 2017
Accepted (ET)
Feb 13, 2017 · 4:37 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 9, 2017 | S | 19,000 | $123.0308 | D | 11,836 | D | |
| Common StockF2 | holding | — | — | — | 316 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the weighted average price of 19,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 9, 2017 with sale prices ranging from $122.971 to $123.113 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 February 8, 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.