Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERIPRISE FINANCIAL INCAMP · Entity 3035 | Exec VP and General Counsel | December 21, 2016 | December 22, 2016 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AMERIPRISE FINANCIAL INC
Report date December 21, 2016 · Filed December 22, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 19,633 |
Reported balance
After 2016-12-21 transaction · row 1
1 source rowRow 1 · 2016-12-21 · Gift · Disposed 3,786 · Balance 19,633 F1: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 33.87 |
Reported balance
Holding disclosure · report date 2016-12-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 33.87 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 December 21, 2016. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc.
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 December 21, 2016. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 21, 2016 Filed Dec 22, 2016 21:54 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GiftCommon Stock | 3,786 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 20:21 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 14,347 | $0.00 Strike: $37.23 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 20:21 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | SaleCommon Stock | 4,683 | $100.30 | $469,681.49 |
DisclosureSEC 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. Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 20:21 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 9,664 | $100.66 | $972,778.24 |
DisclosureSEC 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 Read SEC document |
| September 07, 2016 Filed Sep 9, 2016 20:21 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 14,347 | $37.23 | $534,138.81 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.