SEC Form 4 · accession 0001179110-18-001253
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William F Truscott
Officer — CEO, Global Asset Management
Period of report
Jan 26, 2018
Accepted (ET)
Jan 30, 2018 · 4:23 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 | Jan 26, 2018 | M | 56,688 | $65.31 | A | 67,058 | D | |
| Common StockF1 | Jan 26, 2018 | F | 36,380 | $173.13 | D | 10,370 | D | |
| Common StockF2 | Jan 26, 2018 | A | 6,027 | $0.00 | A | 16,397 | D | |
| Common StockF3,F1 | Jan 26, 2018 | S | 31,379 | $173.6418 | D | 29,856 | I | By LLC |
| Common StockF4 | holding | — | — | — | 272 | 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)F5 | $65.31 | Jan 26, 2018 | M | 56,688 | D | — | Feb 5, 2023 | Common Stock | 56,688 | 0 | D |
| Employee Stock Option (right to buy)F6 | $179.84 | Jan 26, 2018 | A | 30,958 | A | — | Jan 26, 2028 | Common Stock | 30,958 | 30,958 | D |
Explanation of responses
- F1The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon exercise to the reporting person's indirect LLC holdings.
- F2Restricted 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.
- F3Reflects the weighted average price of 31,379 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 26, 2018 with sale prices ranging from $173.315 to $174.10 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.
- F4Estimate 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 January 26, 2018. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
- F5Fully vested.
- F6One-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.