1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Stock Option (right to buy)
|
Â
(2)
|
02/05/2023 |
Common Stock
|
8,851
|
$
65.31
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(2)
|
02/07/2024 |
Common Stock
|
7,379
|
$
107.61
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(3)
|
02/02/2025 |
Common Stock
|
7,961
|
$
128.76
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
02/01/2026 |
Common Stock
|
20,239
|
$
87.79
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
02/06/2027 |
Common Stock
|
12,703
|
$
123.37
|
D
|
Â
|
Phantom Stock
|
Â
(6)
|
Â
(6)
|
Common Stock
|
13,670.3468
|
$
(7)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
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. |
(2) |
Fully vested. |
(3) |
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. |
(4) |
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. |
(5) |
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. |
(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) |
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. |