SEC Form 4 · accession 0001179110-17-014704
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Kent Stewart
Officer — Sr Vice Pres and Controller
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 6:42 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 Stock | Nov 27, 2017 | M | 2,228 | $128.76 | A | 20,081 | D | |
| Common Stock | Nov 27, 2017 | M | 1,647 | $87.79 | A | 21,728 | D | |
| Common Stock | Nov 27, 2017 | F | 3,272 | $159.56 | D | 18,456 | D | |
| Common StockF1 | Nov 27, 2017 | S | 603 | $160.716 | D | 17,853 | D | |
| Common StockF2 | holding | — | — | — | 258 | 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 Option (right to buy)F3 | $128.76 | Nov 27, 2017 | M | 2,228 | D | — | Feb 2, 2025 | Common Stock | 2,228 | 1,115 | D |
| Employee Stock Option (righ to buy)F4 | $87.79 | Nov 27, 2017 | M | 1,647 | D | — | Feb 1, 2026 | Common Stock | 1,647 | 3,296 | D |
Explanation of responses
- F1Reflects the weighted average price of 603 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 27, 2017 with sale prices ranging from $160.61 to $160.94 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 November 27, 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.
- F3One-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 2, 2015.
- F4One-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.