SEC Form 4 · accession 0001179110-17-010974
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Neal Maglaque
Officer — Pres. Advice & Wealth Mgt, COO
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 | 10,070 | $107.61 | A | 24,901 | D | |
| Common Stock | Jul 31, 2017 | F | 8,842 | $144.45 | D | 16,059 | D | |
| Common StockF1 | Jul 31, 2017 | S | 4,728 | $144.571 | D | 11,331 | D | |
| Common StockF2 | holding | — | — | — | 371 | 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 Options (right to buy)F3 | $107.61 | Jul 31, 2017 | M | 10,070 | D | — | Feb 7, 2024 | Common Stock | 10,070 | 3,366 | D |
Explanation of responses
- F1Reflects the weighted average price of 4,728 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 $144.55 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.
- 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 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.
- F3Fully vested.