SEC Form 4 · accession 0001179110-17-011545
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Cracchiolo
Officer — Chairman and CEO · Director
Period of report
Aug 14, 2017
Accepted (ET)
Aug 16, 2017 · 5:08 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 StockF1 | Aug 14, 2017 | S | 23,004 | $145.0469 | D | 260,887 | D | |
| Common StockF2 | Aug 16, 2017 | S | 16,446 | $143.7403 | D | 244,441 | D | |
| Common StockF3 | holding | — | — | — | 1,510 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the weighted average price of 23,004 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 14, 2017 with sale prices ranging from $144.93 to $145.18 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.
- F2Reflects the weighted average price of 16,446 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 16, 2017 with sale prices ranging from $143.26 to $144.66 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 August 16, 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.