SEC Form 4 · accession 0001179110-17-006998
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kelli A Hunter
Officer — Exec VP of Human Resources
Period of report
May 8, 2017
Accepted (ET)
May 10, 2017 · 5:28 pm EDT
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 | May 8, 2017 | M | 14,172 | $65.31 | A | 39,919 | D | |
| Common Stock | May 8, 2017 | F | 10,400 | $128.82 | D | 29,519 | D | |
| Common Stock | May 8, 2017 | S | 943 | $128.80 | D | 28,576 | D | |
| Common StockF2 | holding | — | — | — | 217 | 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)F1 | $65.31 | May 8, 2017 | M | 14,172 | D | — | Feb 5, 2023 | Common Stock | 14,172 | 0 | D |
Explanation of responses
- F1Fully vested.
- 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 May 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.