SEC Form 4 · accession 0001179110-17-015885
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
Dec 22, 2017
Accepted (ET)
Dec 27, 2017 · 4:07 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 | Dec 22, 2017 | M | 11,874 | $37.23 | A | 29,727 | D | |
| Common Stock | Dec 22, 2017 | F | 7,057 | $171.70 | D | 22,670 | D | |
| Common Stock | Dec 22, 2017 | S | 4,817 | $171.505 | D | 17,853 | D | |
| Common StockF1 | holding | — | — | — | 257 | 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)F2 | $37.23 | Dec 22, 2017 | M | 11,874 | D | — | Feb 9, 2020 | Common Stock | 11,874 | 0 | D |
Explanation of responses
- F1Estimate 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 December 22, 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.
- F2Fully vested.