William F. Truscott - Feb 11, 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
Feb 11, 2022
Transactions value $
-$4,728,468
Form type
4
Date filed
2/15/2022, 05:09 PM
Previous filing
Feb 4, 2022
Next filing
Jul 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Sale -$1.67M -5.5K -16.24% $304.43 28.4K Feb 14, 2022 By LLC F1
transaction AMP Common Stock Sale -$3.21M -10.5K -37.02% $305.44 17.9K Feb 14, 2022 By LLC F2
holding AMP Common Stock 10.5K Feb 11, 2022 Direct
holding AMP Common Stock 293 Feb 11, 2022 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 Phantom Stock Award $153K +503 +24.84% $304.00 2.53K Feb 11, 2022 Common Stock 503 Direct F4, F5
* 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 5,500 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 14, 2022 with sale prices ranging from $304.0637 to $305.05 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 10,500 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 14, 2022 with sale prices ranging from $305.1698 to $305.88 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 February 14, 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.
F4 Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
F5 Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.