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

Role
Chairman and CEO, Director
Signature
/s/ Wendy B. Mahling for James M. Cracchiolo
Issuer symbol
AMP
Transactions as of
29 Oct 2021
Net transactions value
-$19,659,376
Form type
4
Filing time
02 Nov 2021, 16:38:14 UTC
Previous filing
19 Mar 2025
Next filing
29 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 Options Exercise $13,365,166 +108,334 +63% $123.37 280,214 29 Oct 2021 Direct
transaction AMP Common Stock Tax liability $23,722,421 -77,702 -28% $305.30 202,512 29 Oct 2021 Direct
transaction AMP Common Stock Sale $4,901,697 -16,101 -8% $304.43 186,411 29 Oct 2021 Direct F1
transaction AMP Common Stock Sale $4,400,424 -14,531 -7.8% $302.83 171,880 29 Oct 2021 Direct F2
holding AMP Common Stock 1,634 29 Oct 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 -108,334 -100% $0.000000* 0 29 Oct 2021 Common Stock 108,334 $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.