Sec Form 4 Filing - CRACCHIOLO JAMES M @ AMERIPRISE FINANCIAL INC - 2020-02-14

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
CRACCHIOLO JAMES M
2. Issuer Name and Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC [ AMP]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chairman and CEO
(Last) (First) (Middle)
GENERAL COUNSEL'S OFFICE, 1098 AMERIPRISE FINANCIAL CENTER
3. Date of Earliest Transaction (MM/DD/YY)
02/14/2020
(Street)
MINNEAPOLIS, MN55474
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/14/2020 S 46,081 D $ 178.2788 ( 1 ) 257,241 D
Common Stock 02/14/2020 A 76,096 A $ 0 333,337 D
Common Stock 02/14/2020 F 37,172 D $ 178.82 296,165 D
Common Stock 02/18/2020 M 169,313 A $ 107.61 465,478 D
Common Stock 02/18/2020 F 136,377 D $ 178.82 329,101 D
Common Stock 02/18/2020 S 70,108 D $ 177.46 ( 2 ) 258,993 D
Common Stock 02/19/2020 S 25,429 D $ 178.5938 ( 3 ) 233,564 D
Common Stock 1,608.342 ( 4 ) I By 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 ( 5 ) 02/14/2020 A 1,623.1406 ( 6 ) ( 6 ) Common Stock 1,623.1406 $ 178.82 90,271.3094 D
Employee Stock Option (right to buy) $ 107.61 02/18/2020 M 169,313 ( 7 ) 02/07/2024 Common Stock 169,313 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CRACCHIOLO JAMES M
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS, MN55474
X Chairman and CEO
Signatures
/s/ Susan M. Beltz for James M. Cracchiolo 02/19/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Reflects the weighted average price of 46,081 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 $177.92 to $178.82 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.
( 2 )Reflects the weighted average price of 70,108 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 $177.22 to $177.79 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 )Reflects the weighted average price of 25,429 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 19, 2020 with sale prices ranging from $178.22 to $179.0449 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.
( 4 )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.
( 5 )Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
( 6 )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.
( 7 )Fully vested.

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