Stewart David Kent 4
4 · AMERIPRISE FINANCIAL INC · Filed Nov 29, 2017
Insider Transaction Report
Form 4
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 totalExercise: $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 totalExercise: $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
- 257.54(indirect: By 401(k))
Common Stock
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.