SEC Form 4 · accession 0001179110-19-001359
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
Feb 1, 2019
Accepted (ET)
Feb 5, 2019 · 5:36 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 1, 2019 | A | 7,825 | $0.00 | A | 72,997 | D | |
| Common Stock | Feb 1, 2019 | F | 483 | $126.89 | D | 72,514 | 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)F1 | $126.89 | Feb 1, 2019 | A | 34,539 | A | — | Feb 1, 2029 | Common Stock | 34,539 | 34,539 | D |
Explanation of responses
- F1One-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, 2019.