AMP

SEC source: 0001179110-17-001629 · edgar.xml · nonDerivative · entry 1

TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, Global Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,941

F1 · balance_after: 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.

SEC source: 0001179110-17-001626 · edgar.xml · nonDerivative · entry 1

Woerner John Robert · CIK 0001336621 · Pres Ins & Chief Strat Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,236

SEC source: 0001179110-16-033383 · edgar.xml · nonDerivative · entry 1

Junek John Carl · CIK 0001335388 · Exec VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,633

F1 · shares: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc.

SEC source: 0001179110-16-033195 · edgar.xml · nonDerivative · entry 1

Sweeney Joseph Edward · CIK 0001335749 · Pres-AWM Products & Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,130

SEC source: 0001179110-16-032742 · edgar.xml · nonDerivative · entry 1

Woerner John Robert · CIK 0001336621 · Pres Ins & Chief Strat Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,513

F1 · shares: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc.

SEC source: 0001179110-16-032275 · edgar.xml · nonDerivative · entry 1

McGraw Deirdre Davey · CIK 0001389812 · EVP Corp Comm/Cmnity Rltns

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,542

F1 · price: Reflects the weighted average price of 1,864 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 29, 2016 with sale prices ranging from $112.63 to $112.66 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.

SEC source: 0001179110-16-031778 · edgar.xml · nonDerivative · entry 1

TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, Global Asset Management

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 38,310

F1 · shares: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc.

SEC source: 0001179110-16-031903 · edgar.xml · nonDerivative · entry 1

Kupper Randy · CIK 0001552030 · EVP Technology and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,835

F1 · shares: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc.

SEC source: 0001179110-16-031622 · edgar.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,609

F1 · shares: The reporting person made an in-kind charitable gift to a not for profit charitable organization.

SEC source: 0001179110-16-031052 · edgar.xml · derivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 683.7399

Underlying: Common Stock · 175.1093 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F2 · derivative.exercise_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

F2 · derivative.expiration_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

SEC source: 0001179110-16-031051 · edgar.xml · derivative · entry 1

WILLIAMS CHRISTOPHER J · CIK 0001269949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 890.4186

Underlying: Common Stock · 890.4186 shares

Expires not disclosed

F1 · security: The grant is a pro rata annual equity grant made as a result of the reporting person becoming a director effective as of September 6, 2016.

F2 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F3 · derivative.exercise_date: Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

F3 · derivative.expiration_date: Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

SEC source: 0001179110-17-004781 · edgar.xml · nonDerivative · entry 4

Sharpe Robert Francis JR · CIK 0001340573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,180

F2 · balance_after: Reflects shares acquired through a discretionary brokerage account. The reporting person's Form 4 reports filed between the dates of these acquisitions and the date of this report understated his total holdings by the corresponding amount of shares.

SEC source: 0001179110-16-030048 · edgar.xml · nonDerivative · entry 1

Kupper Randy · CIK 0001552030 · EVP Technology and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,835

F1 · price: Reflects the weighted average price of 4,129 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 23, 2016 with sale prices ranging from $100.79 to $100.815 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.

SEC source: 0001179110-16-029495 · edgar.xml · derivative · entry 5

Woerner John Robert · CIK 0001336621 · Pres Ins & Chief Strat Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,930 shares

Expires 2022-02-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001179110-16-029495 · edgar.xml · nonDerivative · entry 3

Woerner John Robert · CIK 0001336621 · Pres Ins & Chief Strat Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,513

F1 · price: Reflects the weighted average price of 4,513 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 7, 2016 with sale prices ranging from $100.71 to $100.721 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.

SEC source: 0001179110-16-029495 · edgar.xml · nonDerivative · entry 2

Woerner John Robert · CIK 0001336621 · Pres Ins & Chief Strat Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,026

SEC source: 0001179110-16-029495 · edgar.xml · nonDerivative · entry 1

Woerner John Robert · CIK 0001336621 · Pres Ins & Chief Strat Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,443

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-16-029496 · edgar.xml · derivative · entry 5

Junek John Carl · CIK 0001335388 · Exec VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,347 shares

Expires 2020-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001179110-16-029496 · edgar.xml · nonDerivative · entry 3

Junek John Carl · CIK 0001335388 · Exec VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,419

F1 · price: Reflects the weighted average price of 4,683 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on September 7, 2016 with sale prices ranging from $100.29 to $100.314 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.

SEC source: 0001179110-16-029496 · edgar.xml · nonDerivative · entry 2

Junek John Carl · CIK 0001335388 · Exec VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,102

SEC source: 0001179110-16-029496 · edgar.xml · nonDerivative · entry 1

Junek John Carl · CIK 0001335388 · Exec VP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,766

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-17-004781 · edgar.xml · nonDerivative · entry 3

Sharpe Robert Francis JR · CIK 0001340573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,145

F2 · balance_after: Reflects shares acquired through a discretionary brokerage account. The reporting person's Form 4 reports filed between the dates of these acquisitions and the date of this report understated his total holdings by the corresponding amount of shares.

SEC source: 0001179110-17-004781 · edgar.xml · nonDerivative · entry 2

Sharpe Robert Francis JR · CIK 0001340573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,110

F2 · balance_after: Reflects shares acquired through a discretionary brokerage account. The reporting person's Form 4 reports filed between the dates of these acquisitions and the date of this report understated his total holdings by the corresponding amount of shares.

SEC source: 0001179110-17-004781 · edgar.xml · nonDerivative · entry 1

Sharpe Robert Francis JR · CIK 0001340573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,030

F1 · kind: The reporting person's purchase of Ameriprise common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 to the extent of 30 shares, with the reporting person's sale of shares of Ameriprise common stock at a price of $128.5833 per share on May 19, 2015. The reporting person has agreed to pay promptly to Ameriprise $391.42, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs, or such other amount as may be legally due.

F2 · balance_after: Reflects shares acquired through a discretionary brokerage account. The reporting person's Form 4 reports filed between the dates of these acquisitions and the date of this report understated his total holdings by the corresponding amount of shares.

SEC source: 0001181431-06-020935 · rrd112843.xml · nonDerivative · entry 1

BERKSHIRE HATHAWAY INC · CIK 0001067983 · 10% owner

BUFFETT WARREN E · CIK 0000315090 · 10% owner

OBH INC · CIK 0000109694 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnotes 1 & 2.

Disclosed balance after: 23,922,137

F3 · shares: On March 29, 2006, Ameriprise Financial, Inc. ("Ameriprise") entered into a Stock Purchase and Sale Agreement (the "Purchase Agreement") with Warren E. Buffett and Berkshire, to repurchase from Berkshire subsidiaries 6.4 million shares of Ameriprise common stock. The repurchase transaction was completed on March 29, 2006 following market close, at a price per share equal to the March 29, 2006 closing price on the New York Stock Exchange for a share of Ameriprise common stock of $42.91. All of the shares that were repurchased pursuant to the Purchase Agreement were previously held by NICO.

F1 · balance_after: These shares are owned by the following subsidiaries of Berkshire Hathaway Inc.: OBH, Inc. ("OBH") (159,940 shares); National Indemnity Company ("NICO") (17,651,175 shares); National Fire & Marine Insurance Company ("NFMIC") (1,598,926 shares); Columbia Insurance Company ("Columbia") (3,445,080 shares); Wesco-Financial Insurance Company ("WSFIC") (388,620 shares); Nebraska Furniture Mart ("NFM") (279,942 shares); Central States Indemnity Company of Omaha ("CSIC") (174,000 shares); The Fechheimer Brothers Company ("Fechheimer") (167,966 shares); Borsheim's Jewelry Company ("Borsheim's") (55,988 shares); and FlightSafety International, Inc. ("FlightSafety") (500 shares). Each of NICO, NFMIC, Columbia, WSFIC, NFM, CSIC, Fechheimer, Borsheim's, and FlightSafety is a subsidiary of OBH, Inc. ("OBH"). OBH is a subsidiary of Berkshire Hathaway Inc. ("Berkshire").

F2 · balance_after: As OBH and Berkshire are each in the chain of ownership of NICO, NFMIC, Columbia, WSFIC, NFM, CSIC, Fechheimer, Borsheim's and FlightSafety, each of Berkshire and OBH may be deemed presently to both beneficially own and have a pecuniary interest in all shares of Ameriprise common stock presently owned by each such subsidiary. Warren E. Buffett, as the controlling stockholder of Berkshire, may be deemed presently to beneficially own, but only to the extent he has a pecuniary interest in, the shares of Ameriprise common stock presently owned by each such subsidiary and by OBH. Mr. Buffett disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0000004962-05-000197 · primary_doc.xml · nonDerivative · entry 1

AMERICAN EXPRESS CO · CIK 0000004962 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On September 30, 2005, American Express Company ("American Express") will distribute all of the shares of Ameriprise Financial, Inc. ("Ameriprise") that it owns to its shareholders of record as of the close of business on September 19, 2005. The distribution will be made to shareholders of American Express on a pro rata basis by means of a share dividend. On or prior to the distribution date, Ameriprise will recapitalize the Ameriprise common stock held by American Express such that American Express will distribute to its shareholders one share of Ameriprise common stock for every five shares of American Express common stock held by shareholders of American Express on September 19, 2005.

F1 · price: On September 30, 2005, American Express Company ("American Express") will distribute all of the shares of Ameriprise Financial, Inc. ("Ameriprise") that it owns to its shareholders of record as of the close of business on September 19, 2005. The distribution will be made to shareholders of American Express on a pro rata basis by means of a share dividend. On or prior to the distribution date, Ameriprise will recapitalize the Ameriprise common stock held by American Express such that American Express will distribute to its shareholders one share of Ameriprise common stock for every five shares of American Express common stock held by shareholders of American Express on September 19, 2005.