SEC Form 4 · accession 0001179110-17-010972

AMERIPRISE FINANCIAL INC · AMP

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

Reporting owner

Officer — CEO, Global Asset Management

Period of report

Jul 31, 2017

Accepted (ET)

Aug 2, 2017 · 4:40 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 31, 2017	M	60,323	$54.33	A	70,693	D
Common Stock^F1	Jul 31, 2017	F	40,555	$144.45	D	10,370	D
Common Stock^F2,F1	Jul 31, 2017	S	19,768	$144.431	D	40,927	I	By LLC
Common Stock^F3	holding	—	—		—	270	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4	$54.33	Jul 31, 2017	M	60,323	D	—	Feb 7, 2022	Common Stock	60,323	0	D

F1The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon exercise to the reporting person's indirect LLC holdings.
F2Reflects the weighted average price of 19,768 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 31, 2017 with sale prices ranging from $144.11 to $144.63 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.
F3Estimate 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 31, 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.
F4Fully vested.