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 |
Phantom Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
3,045.443
|
$
(3)
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
10/02/2015 |
Common Stock
|
6,800
|
$
35.035
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
01/27/2016 |
Common Stock
|
14,317
|
$
43.655
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
01/30/2017 |
Common Stock
|
5,753
|
$
58.73
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(7)
|
01/29/2018 |
Common Stock
|
14,286
|
$
52.86
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(8)
|
02/03/2019 |
Common Stock
|
36,734
|
$
21.34
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(9)
|
10/02/2019 |
Common Stock
|
4,766
|
$
36.97
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(10)
|
02/09/2020 |
Common Stock
|
14,842
|
$
37.23
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(11)
|
02/08/2021 |
Common Stock
|
5,986
|
$
58.7
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(12)
|
02/07/2022 |
Common Stock
|
8,058
|
$
54.33
|
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 June 18, 2012. 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) |
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. |
(3) |
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. |
(4) |
The option vested 100% on October 3, 2009. |
(5) |
The option vested 100% on January 26, 2010. |
(6) |
The option vested 100% on January 30, 2010. |
(7) |
The option vested 100% on January 29, 2011. |
(8) |
The option vested 100% on February 2, 2012. |
(9) |
The option vests in three equal installments beginning on October 1, 2010. |
(10) |
The option vests in three equal installments beginning on February 8, 2011. |
(11) |
The option vests in three equal installments beginning on February 7, 2012. |
(12) |
The option vests in three equal installments beginning on February 6, 2013. |