SEC Form 4 · accession 0001179110-17-010824
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Kent Stewart
Officer — Sr Vice Pres and Controller
Period of report
Jul 27, 2017
Accepted (ET)
Jul 31, 2017 · 5:12 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 | Jul 27, 2017 | M | 4,116 | $58.70 | A | 21,969 | D | |
| Common Stock | Jul 27, 2017 | M | 4,857 | $54.33 | A | 26,826 | D | |
| Common Stock | Jul 27, 2017 | M | 4,426 | $65.31 | A | 31,252 | D | |
| Common Stock | Jul 27, 2017 | M | 2,072 | $107.61 | A | 33,324 | D | |
| Common Stock | Jul 27, 2017 | F | 10,526 | $144.65 | D | 22,798 | D | |
| Common Stock | Jul 27, 2017 | S | 4,945 | $144.211 | D | 17,853 | D | |
| Common StockF1 | holding | — | — | — | 255 | 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)F2 | $58.70 | Jul 27, 2017 | M | 4,116 | D | — | Feb 8, 2021 | Common Stock | 4,116 | 0 | D |
| Employee Stock Option (right to buy)F2 | $54.33 | Jul 27, 2017 | M | 4,857 | D | — | Feb 7, 2022 | Common Stock | 4,857 | 0 | D |
| Employee Stock Option (right to buy)F2 | $65.31 | Jul 27, 2017 | M | 4,426 | D | — | Feb 5, 2023 | Common Stock | 4,426 | 0 | D |
| Employee Stock Option (right to buy)F2 | $107.61 | Jul 27, 2017 | M | 2,072 | D | — | Feb 7, 2024 | Common Stock | 2,072 | 1,035 | D |
Explanation of responses
- F1Estimate 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 July 27, 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.
- F2Fully vested.