William F. Truscott - Jan 28, 2022 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
CEO, Global Asset Management
Signature
/s/ Wendy B. Mahling for William Fredrick Truscott
Stock symbol
AMP
Transactions as of
Jan 28, 2022
Transactions value $
-$338,811
Form type
4
Date filed
2/1/2022, 05:36 PM
Previous filing
Dec 16, 2021
Next filing
Feb 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Award $0 +3.4K +24.39% $0.00 17.3K Jan 28, 2022 Direct
transaction AMP Common Stock Tax liability -$140K -471 -2.93% $298.09 15.6K Jan 29, 2022 Direct F1
transaction AMP Common Stock Tax liability -$198K -652 -4.62% $304.31 13.5K Jan 31, 2022 Direct F1
holding AMP Common Stock 18.1K Jan 28, 2022 By LLC F1
holding AMP Common Stock 292 Jan 28, 2022 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) Award $0 +10.7K $0.00 10.7K Jan 28, 2022 Common Stock 10.7K $298.09 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting and/or exercise to the reporting person's indirect LLC holdings.
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 January 28, 2022. 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 January 28, 2022.