Statement of Changes in Beneficial Ownership (4)
February 19 2020 - 5:03PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
TRUSCOTT WILLIAM F |
2. Issuer Name and Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC
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AMP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO, Global Asset Management |
(Last)
(First)
(Middle)
GENERAL COUNSEL'S OFFICE, 1098 AMERIPRISE FINANCIAL CENTER |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/14/2020 |
(Street)
MINNEAPOLIS, MN 55474
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/14/2020 | | A | | 20426 | A | $0 | 36224 | D | |
Common Stock | 2/14/2020 | | F | | 11219 | D | $178.82 | 15798 (1) | D | |
Common Stock | 2/18/2020 | | M | | 54910 | A | $107.61 | 70708 | D | |
Common Stock | 2/18/2020 | | F | | 42912 | D | $178.82 | 15798 (1) | D | |
Common Stock | 2/18/2020 | | S | | 11998 | D | $177.8821 (2) | 59401 (1) | I | By LLC |
Common Stock | | | | | | | | 286.790 (3) | I | By 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Phantom Stock | (4) | 2/14/2020 | | A | | 587.1826 | | (5) | (5) | Common Stock | 587.1826 | $178.82 | 3171.3829 | D | |
Employee Stock Option (right to buy) | $107.61 | 2/18/2020 | | M | | | 54910 | (6) | 2/7/2024 | Common Stock | 54910 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting and/or exercise to the reporting person's indirect LLC holdings. |
(2) | Reflects the weighted average price of 11,998 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 18, 2020 with sale prices ranging from $177.7508 to $177.9455 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. |
(3) | 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 18, 2020. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock. |
(4) | Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. |
(5) | 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. |
(6) | Fully vested. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TRUSCOTT WILLIAM F GENERAL COUNSEL'S OFFICE 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS, MN 55474 |
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| CEO, Global Asset Management |
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Signatures
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/s/ Susan M. Beltz for William Fredrick Truscott | | 2/19/2020 |
**Signature of Reporting Person | Date |
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