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4//SEC Filing

Stewart David Kent 4

Accession 0001179110-17-014704

CIK 0000820027other
View on SEC.govCompany Profile

Filed

Nov 28, 7:00 PM ET

Accepted

Nov 29, 6:42 PM ET

Size

14.9 KB

Accession

0001179110-17-014704

Insider Transaction Report

Form 4
Period: 2017-11-27
AMERIPRISE FINANCIAL INCAMP
Stewart David Kent
Sr Vice Pres and Controller
Transactions
  • Exercise/Conversion

    Common Stock

    2017-11-27$128.76/sh+2,228$286,877→ 20,081 total
  • Tax Payment

    Common Stock

    2017-11-27$159.56/sh−3,272$522,080→ 18,456 total
  • Sale

    Common Stock

    2017-11-27$160.72/sh−603$96,912→ 17,853 total
  • Exercise/Conversion

    Employee Stock Option (righ to buy)

    2017-11-27−1,647→ 3,296 total
    Exercise: $87.79Exp: 2026-02-01→ Common Stock (1,647 underlying)
  • Exercise/Conversion

    Employee Stock Option (right to buy)

    2017-11-27−2,228→ 1,115 total
    Exercise: $128.76Exp: 2025-02-02→ Common Stock (2,228 underlying)
  • Exercise/Conversion

    Common Stock

    2017-11-27$87.79/sh+1,647$144,590→ 21,728 total
Holdings

  • Common Stock

    (indirect: By 401(k))
    257.54
Footnotes (4)
  • [F1]Reflects the weighted average price of 603 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 27, 2017 with sale prices ranging from $160.61 to $160.94 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 November 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]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 2, 2015.
  • [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.

Documents

1 file

Issuer

AMERIPRISE FINANCIAL INC

CIK 0000820027

→
Entity typeother

Related Parties

1
  • filerCIK 0001335728

Filing Metadata

Form type
4
Filed
Nov 28, 7:00 PM ET
Accepted
Nov 29, 6:42 PM ET
Size
14.9 KB
View on SEC.gov