Joseph Edward Sweeney - Feb 11, 2022 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
Pres-AWM Products & Services
Signature
/s/ Wendy B. Mahling for Joseph Edward Sweeney
Stock symbol
AMP
Transactions as of
Feb 11, 2022
Transactions value $
-$4,005,588
Form type
4
Date filed
2/15/2022, 05:10 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 -$2.58M -8.18K -35.38% $315.04 14.9K Feb 11, 2022 Direct F1
transaction AMP Common Stock Sale -$1.52M -4.8K -32.13% $316.15 10.1K Feb 11, 2022 Direct F2
holding AMP Common Stock 283 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 $89.2K +294 +23.33% $304.00 1.55K Feb 11, 2022 Common Stock 294 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 8,181 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2022 with sale prices ranging from $314.694 to $315.40 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 4,800 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2022 with sale prices ranging from $315.8297 to $316.7374 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 11, 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.