William Fredrick Truscott - 24 Aug 2021 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
CEO, Global Asset Management
Signature
/s/ Wendy B. Mahling for William Fredrick Truscott
Issuer symbol
AMP
Transactions as of
24 Aug 2021
Net transactions value
-$9,768,296
Form type
4
Filing time
30 Aug 2021, 18:47:23 UTC
Previous filing
07 Jul 2021
Next filing
16 Dec 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 Gift $0 -4,026 -12% $0.000000 30,949 24 Aug 2021 By LLC F1
transaction AMP Common Stock Options Exercise $4,664,195 +53,129 +382% $87.79 67,055 26 Aug 2021 Direct
transaction AMP Common Stock Tax liability $9,134,383 -33,607 -71% $271.80 13,926 26 Aug 2021 Direct F2
transaction AMP Common Stock Sale $5,298,109 -19,522 -39% $271.39 30,949 26 Aug 2021 By LLC F2, F3
holding AMP Common Stock 292 24 Aug 2021 By 401(k)Plan F4

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 Employee Stock Option (right to buy) Options Exercise $0 -53,129 -100% $0.000000* 0 26 Aug 2021 Common Stock 53,129 $87.79 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc.
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 Reflects the weighted average price of 19,522 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 26, 2021 with sale prices ranging from $271.13 to $271.575 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.
F4 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 August 26, 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.
F5 Fully vested.