SEC Form 4 · accession 0001179110-17-013528
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Colin Moore
Officer — EVP & Global CIO
Period of report
Oct 26, 2017
Accepted (ET)
Oct 30, 2017 · 4:32 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 | Oct 26, 2017 | M | 18,376 | $87.79 | A | 73,690 | D | |
| Common Stock | Oct 26, 2017 | F | 14,091 | $157.06 | D | 59,599 | D | |
| Common StockF1 | Oct 26, 2017 | S | 4,285 | $161.09 | D | 55,314 | D |
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 | $87.79 | Oct 26, 2017 | M | 18,376 | D | — | Feb 1, 2026 | Common Stock | 18,376 | 36,754 | D |
Explanation of responses
- F1Reflects the weighted average price of 4,285 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 26, 2017 with sale prices ranging from $161.085 to $161.111 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.
- F2One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 1, 2016.