Form Type: 4

SEC EDGAR Link
Accession Number:0001179110-19-008556
Date:2019-07-05
Issuer: AMERIPRISE FINANCIAL INC (AMP)
Original Submission Date:

Reporting Person:

TRUSCOTT WILLIAM F
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS, MN 55474

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-07-05 M 1,495 a $0.00 17,106 direct
COMMON STOCK 2019-07-05 F 640 d $150.12 15,611 direct
COMMON STOCK 2019-07-05 0 $0.00 52,233 indirect
COMMON STOCK 2019-07-05 0 $0.00 283 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
PHANTOM STOCK 0.0 2019-07-05 deemed execution date M 1,495 (d) common stock 1,495 $0.00 2,549 direct
Footnotes
IDfootnote
f1 each share of phantom stock represents the right to receive one share of ameriprise financial, inc. common stock
f2 the balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect llc holdings.
f3 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 july 5, 2019. this plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of ameriprise stock.
f4 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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