Initial Statement of Beneficial Ownership (3)
December 11 2017 - 5:19PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Williams William Jerryl
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2. Date of Event Requiring Statement (MM/DD/YYYY)
11/29/2017
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3. Issuer Name
and
Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC [AMP]
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(Last)
(First)
(Middle)
GENERAL COUNSEL'S OFFICE, 1098 AMERIPRISE FINANCIAL CENTER
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
EVP, AMP Franchise Group /
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(Street)
MINNEAPOLIS, MN 55474
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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11450
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D
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Common Stock
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48.43
(1)
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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(2)
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2/5/2023
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Common Stock
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8851
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$65.31
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D
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Employee Stock Option (right to buy)
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(2)
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2/7/2024
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Common Stock
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7379
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$107.61
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D
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Employee Stock Option (right to buy)
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(3)
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2/2/2025
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Common Stock
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7961
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$128.76
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D
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Employee Stock Option (right to buy)
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(4)
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2/1/2026
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Common Stock
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20239
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$87.79
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D
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Employee Stock Option (right to buy)
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(5)
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2/6/2027
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Common Stock
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12703
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$123.37
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D
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Phantom Stock
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(6)
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(6)
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Common Stock
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13670.3468
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(7)
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D
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Explanation of Responses:
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(1)
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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 29, 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.
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(2)
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Fully vested.
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(3)
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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.
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(4)
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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.
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(5)
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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.
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(6)
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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.
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(7)
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Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Williams William Jerryl
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS, MN 55474
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EVP, AMP Franchise Group
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Signatures
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/s/ Thomas R. Moore for William Jerryl Williams
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12/11/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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