SEC Form 4/A · accession 0001179110-17-014045
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
H Jay Sarles
Director
Period of report
Oct 26, 2017
Accepted (ET)
Nov 13, 2017 · 5:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000820027
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock (Retainer Deferral)F1,F2,F3 | — | Oct 27, 2017 | A | 113 | A | — | — | Common Stock | 113 | 1,232 | D |
Explanation of responses
- F1The original Form 4 filed on October 30, 2017, omitted a Table II transaction that occurred on October 27, 2017.
- F2Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F3Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.