SEC Form 4 · accession 0001179110-17-006261
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
H Jay Sarles
Director
Period of report
Apr 26, 2017
Accepted (ET)
Apr 28, 2017 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000820027
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock (Annual)F1,F2 | — | Apr 26, 2017 | A | 1,163 | A | — | — | Common Stock | 1,163 | 27,556 | D |
| Phantom Stock (Retainer Deferral)F1,F3 | — | Apr 27, 2017 | A | 141 | A | — | — | Common Stock | 141 | 981 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F2Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.
- F3Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.