SEC Form 4 · accession 0001179110-18-001250
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
Jan 26, 2018
Accepted (ET)
Jan 30, 2018 · 4:21 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 | Jan 26, 2018 | A | 5,443 | $0.00 | A | 60,757 | 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 | $179.84 | Jan 26, 2018 | A | 27,959 | A | — | Jan 26, 2028 | Common Stock | 27,959 | 27,959 | D |
Explanation of responses
- F1Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on January 26, 2019, January 26, 2020, and January 26, 2021.
- 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 January 26, 2018.