ADVFN Logo ADVFN

We could not find any results for:
Make sure your spelling is correct or try broadening your search.

Trending Now

Toplists

It looks like you aren't logged in.
Click the button below to log in and view your recent history.

Hot Features

Registration Strip Icon for discussion Register to chat with like-minded investors on our interactive forums.

AMP Ameriprise Financial Inc

418.95
2.47 (0.59%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Ameriprise Financial Inc NYSE:AMP NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  2.47 0.59% 418.95 420.41 414.36 417.60 277,718 21:44:55

Statement of Changes in Beneficial Ownership (4)

08/02/2017 9:53pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

MOORE COLIN
2. Issuer Name and Ticker or Trading Symbol

AMERIPRISE FINANCIAL INC [ AMP ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
EVP & Global CIO
(Last)          (First)          (Middle)

1098 AMERIPRISE FINANCIAL CENTER
3. Date of Earliest Transaction (MM/DD/YYYY)

2/6/2017
(Street)

MINNEAPOLIS, MN 55474
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   2/6/2017     A    3752   (1) A $0   62237   D    
Common Stock   2/7/2017     M    13195   A $47.50   75432   D    
Common Stock   2/7/2017     M    12239   A $54.33   87671   D    
Common Stock   2/7/2017     M    25428   A $65.31   113099   D    
Common Stock   2/7/2017     F    36624   D $123.37   76475   D    
Common Stock   2/7/2017     F    928   D $123.18   75547   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy)   $123.37   2/6/2017     A      32641         (2) 2/7/2027   Common Stock   32641   $0   32641   D    
Employee Stock Option (right to buy)   $47.50   2/7/2017     M         13195      (3) 5/4/2020   Common Stock   13195   $0   0   D    
Employee Stock Option (right to buy)   $54.33   2/7/2017     M         12239      (3) 2/7/2022   Common Stock   12239   $0   24474   D    
Employee Stock Option (right to buy)   $65.31   2/7/2017     M         25428      (3) 2/5/2023   Common Stock   25428   $0   12713   D    

Explanation of Responses:
( 1)  Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020.
( 2)  One-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 6, 2017.
( 3)  Fully vested.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
MOORE COLIN
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS, MN 55474


EVP & Global CIO

Signatures
/s/ Thomas R. Moore for Colin Moore 2/8/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

1 Year Ameriprise Financial Chart

1 Year Ameriprise Financial Chart

1 Month Ameriprise Financial Chart

1 Month Ameriprise Financial Chart

Your Recent History

Delayed Upgrade Clock