Form Type: 4

SEC EDGAR Link
Accession Number:0001179110-21-009734
Date:2021-10-28
Issuer: AMERIPRISE FINANCIAL INC (AMP)
Original Submission Date:

Reporting Person:

BERMAN WALTER STANLEY
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 2021-10-28 M 20,506 a $128.76 35,849 direct
COMMON STOCK 2021-10-28 M 37,723 a $123.37 73,572 direct
COMMON STOCK 2021-10-28 F 42,243 d $302.46 31,329 direct
COMMON STOCK 2021-10-28 S 15,986 d $302.37 15,343 direct
COMMON STOCK 2021-10-28 0 $0.00 345 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
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 128.76 2021-10-28 deemed execution date M 20,506 (d) 2025-02-02 common stock 20,506 $128.76 0 direct
EMPLOYEE STOCK OPTIONS (RIGHT TO BUY) 123.37 2021-10-28 deemed execution date M 37,723 (d) 2027-02-06 common stock 37,723 $123.37 0 direct
Footnotes
IDfootnote
f1 reflects the weighted average price of 15,986 shares of common stock of ameriprise financial, inc. sold by the reporting person in multiple transactions on october 28, 2021 with sale prices ranging from $302.04 to $302.59 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 october 28, 2021. 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 fully vested.
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