Joseph E. Sweeney - Jul 2, 2021 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role: Pres-AWM Products & Services
Signature: /s/ Wendy B. Mahling for Joseph Edward Sweeney
Stock symbol: AMP
Transactions as of: Jul 2, 2021
Transactions value $: -$63,278
Form type: 4
Date filed: 7/7/2021, 04:07 PM
Previous filing: Feb 21, 2025
Next filing: Aug 11, 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AMP	Common Stock	Options Exercise		+554	+3.31%		17.3K	Jul 2, 2021	Direct	F1
transaction	AMP	Common Stock	Tax liability	-$63.3K	-252	-1.46%	$250.92	17K	Jul 2, 2021	Direct
holding	AMP	Common Stock						281	Jul 2, 2021	By 401(k)Plan	F2

Showing 1 to 3 of 3 entries

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		-554	-30.75%		1.25K	Jul 2, 2021	Common Stock	554		Direct	F1, F3

* 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	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.
F3	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.