James M. Cracchiolo - Dec 27, 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
Dec 27, 2021
Transactions value $
-$15,495,035
Form type
4
Date filed
12/29/2021, 03:11 PM
Previous filing
Nov 2, 2021
Next filing
Feb 1, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise $10.9M +86.3K +50.19% $126.89 258K Dec 27, 2021 Direct
transaction AMP Common Stock Tax liability -$19.1M -62.3K -24.12% $306.57 196K Dec 27, 2021 Direct
transaction AMP Common Stock Sale -$7.35M -24K -12.25% $306.35 172K Dec 27, 2021 Direct F1
holding AMP Common Stock 1.64K Dec 27, 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 -86.3K -66.67% $0.00 43.1K Dec 27, 2021 Common Stock 86.3K $126.89 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 23,990 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 27, 2021 with sale prices ranging from $305.8800 to $306.7233 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 December 27, 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 One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 1, 2019.