SEC Form 4 · accession 0001179110-18-001653
AMERIPRISE FINANCIAL INC · AMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick H. O'Connell
Officer — EVP, AMP Advisor Group
Period of report
Feb 2, 2018
Accepted (ET)
Feb 6, 2018 · 5:03 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 | Feb 2, 2018 | F | 144 | $167.50 | D | 7,638 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1,F2 | — | Feb 2, 2018 | A | 375 | A | — | — | Common Stock | 375 | 12,667 | D |
Explanation of responses
- F1Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- F2Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.