| Type | Sym | Class | Transaction | Value $ | Shares | Change % | Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AMP | Common Stock | Options Exercise | +938 | +8.95% | 11.4 K | Jun 30, 2022 | Direct | F1 | ||
| transaction | AMP | Common Stock | Tax liability | -$96.1 K | -404 | -3.71% | $237.68 | 10.5 K | Jun 30, 2022 | Direct | F2 |
| holding | AMP | Common Stock | 18.4 K | Jun 30, 2022 | By LLC | F2 | |||||
| holding | AMP | Common Stock | 296 | Jun 30, 2022 | By 401(k) Plan | F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AMP | Phantom Stock | Options Exercise | -938 | -36.79% | 1.61 K | Jun 30, 2022 | Common Stock | 938 | Direct | F1, F4 |
| Id | Content |
|---|---|
| F1 | Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. |
| F2 | The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings. |
| 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 June 30, 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 | 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. |