SEC Form 4 · accession 0001179110-17-013942
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
Nov 7, 2017
Accepted (ET)
Nov 9, 2017 · 5:44 pm EST
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 | Nov 7, 2017 | S | 2,428 | $161.069 | D | 242,013 | D | |
| Common StockF2 | Nov 8, 2017 | S | 4,800 | $160.013 | D | 237,213 | D | |
| Common StockF3 | Nov 9, 2017 | S | 33,400 | $159.071 | D | 203,813 | D | |
| Common StockF4 | Nov 9, 2017 | S | 1,600 | $160.034 | D | 202,213 | D | |
| Common StockF5 | holding | — | — | — | 1,523 | 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 2,428 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 7, 2017 with sale prices ranging from $161.01 to $161.10 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 4,800 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 8, 2017 with sale prices ranging from $160.00 to $160.04 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.
- F3Reflects the weighted average price of 33,400 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 9, 2017 with sale prices ranging from $159.00 to $159.17 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.
- F4Reflects the weighted average price of 1,600 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 9, 2017 with sale prices ranging from $160.02 to $160.04 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.
- F5Estimate 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 November 9, 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.