Walter S. Berman - 28 Oct 2021 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
Executive VP and CFO
Signature
/s/ Wendy B. Mahling for Walter Stanley Berman
Issuer symbol
AMP
Transactions as of
28 Oct 2021
Net transactions value
-$10,316,267
Form type
4
Filing time
01 Nov 2021, 16:15:41 UTC
Next filing
01 Feb 2022
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 $2,640,353 +20,506 +134% $128.76 35,849 28 Oct 2021 Direct
transaction AMP Common Stock Options Exercise $4,653,887 +37,723 +105% $123.37 73,572 28 Oct 2021 Direct
transaction AMP Common Stock Tax liability $12,776,818 -42,243 -57% $302.46 31,329 28 Oct 2021 Direct
transaction AMP Common Stock Sale $4,833,688 -15,986 -51% $302.37 15,343 28 Oct 2021 Direct F1
holding AMP Common Stock 345 28 Oct 2021 By 401(k) Plan F2

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 -20,506 -100% $0.000000* 0 28 Oct 2021 Common Stock 20,506 $128.76 Direct F3
transaction AMP Employee Stock Options (right to buy) Options Exercise $0 -37,723 -100% $0.000000* 0 28 Oct 2021 Common Stock 37,723 $123.37 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects the weighted average price of 15,986 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 28, 2021 with sale prices ranging from $302.04 to $302.59 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.
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 October 28, 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 Fully vested.