William F. Truscott - Jul 2, 2021 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
CEO, Global Asset Management
Signature
/s/ Wendy B. Mahling for William Fredrick Truscott
Stock symbol
AMP
Transactions as of
Jul 2, 2021
Transactions value $
-$100,414
Form type
4
Date filed
7/7/2021, 04:06 PM
Next filing
Aug 30, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise +942 +6.77% 14.9K Jul 2, 2021 Direct F1
transaction AMP Common Stock Tax liability -$100K -400 -2.79% $250.92 13.9K Jul 2, 2021 Direct F2
holding AMP Common Stock 35K Jul 2, 2021 By LLC F2
holding AMP Common Stock 291 Jul 2, 2021 By 401(k)Plan F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AMP Phantom Stock Options Exercise -942 -30.97% 2.1K Jul 2, 2021 Common Stock 942 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
F2 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.
F3 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 July 2, 2021. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
F4 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.