AMERIPRISE FINANCIAL INC 4

4 · AMERIPRISE FINANCIAL INC · Filed Feb 11, 2014

Form 4

Period: 2014-02-07

Exec VP & Chief Mktg Officer

Transactions

Award
Common Stock
2014-02-07+9,130→ 45,793 total
Exercise/Conversion
Common Stock
2014-02-11−10,540→ 0 total
Exercise: $58.73Exp: 2017-01-30→ Common Stock (10,540 underlying)
Exercise/Conversion
Common Stock
2014-02-11−14,601→ 34,952 total
Exercise: $52.86Exp: 2018-01-29→ Common Stock (14,601 underlying)
Tax Payment
Common Stock
2014-02-07$107.61/sh−5,420$583,246→ 40,373 total
Exercise/Conversion
Common Stock
2014-02-11$58.73/sh+10,540$619,014→ 50,913 total
Exercise/Conversion
Common Stock
2014-02-11$52.86/sh+14,601$771,809→ 65,514 total
Tax Payment
Common Stock
2014-02-07$105.50/sh−19,351$2,041,531→ 46,163 total
Sale
Common Stock
2014-02-11$105.85/sh−15,948$1,688,107→ 30,215 total
Award
Phantom Stock
2014-02-07$107.61/sh+743.425$80,000→ 2,634.14 total
→ Common Stock (743.425 underlying)

Holdings

Footnotes (5)

[F1]Reflects the weighted average price of 15,948 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2014 with sale prices ranging from $105.59 to $106.01 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.
[F2]Estimate 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 February 5, 2014. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
[F3]Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
[F4]Shares 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.
[F5]Fully vested.

Documents

1 file