Maglaque Charles Neal 4
4 · AMERIPRISE FINANCIAL INC · Filed Oct 31, 2017
Insider Transaction Report
Form 4
Maglaque Charles Neal
Pres. Advice & Wealth Mgt, COO
Transactions
- Exercise/Conversion
Employee Stock Option (right to buy)
2017-10-27−3,366→ 10,070 totalExercise: $107.61Exp: 2024-02-07→ Common Stock (3,366 underlying) - Exercise/Conversion
Common Stock
2017-10-27$107.61/sh+3,366$362,215→ 14,697 total - Exercise/Conversion
Common Stock
2017-10-27$87.79/sh+5,491$482,055→ 20,188 total - Tax Payment
Common Stock
2017-10-27$162.80/sh−7,103$1,156,368→ 13,085 total - Sale
Common Stock
2017-10-27$161.01/sh−1,754$282,412→ 11,331 total - Exercise/Conversion
Employee Stock Option (right to buy)
2017-10-27−5,491→ 10,983 totalExercise: $87.79Exp: 2026-02-01→ Common Stock (5,491 underlying)
Holdings
- 372.05(indirect: By 401(k))
Common Stock
Footnotes (4)
- [F1]Reflects the weighted average price of 1,754 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 27, 2017, with sale prices ranging from $160.94 to $161.06 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 October 27, 2017. 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]Fully vested.
- [F4]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 1, 2016.