James M. Cracchiolo - Oct 29, 2021 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
Chairman and CEO, Director
Signature
/s/ Wendy B. Mahling for James M. Cracchiolo
Stock symbol
AMP
Transactions as of
Oct 29, 2021
Transactions value $
-$19,659,376
Form type
4
Date filed
11/2/2021, 04:38 PM
Next filing
Dec 29, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise $13.4M +108K +63.03% $123.37 280K Oct 29, 2021 Direct
transaction AMP Common Stock Tax liability -$23.7M -77.7K -27.73% $305.30 203K Oct 29, 2021 Direct
transaction AMP Common Stock Sale -$4.9M -16.1K -7.95% $304.43 186K Oct 29, 2021 Direct F1
transaction AMP Common Stock Sale -$4.4M -14.5K -7.8% $302.83 172K Oct 29, 2021 Direct F2
holding AMP Common Stock 1.63K Oct 29, 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 Employee Stock Option (right to buy) Options Exercise $0 -108K -100% $0.00* 0 Oct 29, 2021 Common Stock 108K $123.37 Direct F4
* 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 16,101 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 29, 2021 with sale prices ranging from $304.0879 to $304.6566 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 Reflects the weighted average price of 14,531 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 29, 2021 with sale prices ranging from $302.8146 to $302.8594 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.
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 October 29, 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 Fully vested.