Walter Stanley Berman - Nov 15, 2022 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
EXECUTIVE VP AND CFO
Signature
/s/ Wendy B. Mahling for Walter Stanley Berman
Stock symbol
AMP
Transactions as of
Nov 15, 2022
Transactions value $
-$8,015,693
Form type
4
Date filed
11/17/2022, 04:20 PM
Previous filing
Mar 30, 2022
Next filing
Jan 31, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise $5.08M +40K +372.06% $126.89 50.8K Nov 15, 2022 Direct
transaction AMP Common Stock Tax liability -$9.16M -28K -55.2% $327.06 22.7K Nov 15, 2022 Direct
transaction AMP Common Stock Sale -$2.85M -8.7K -38.27% $327.64 14K Nov 15, 2022 Direct F1
transaction AMP Common Stock Sale -$1.08M -3.28K -23.39% $328.29 10.8K Nov 15, 2022 Direct F2
holding AMP Common Stock 352 Nov 15, 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 Employee Stock Option (right to buy) Options Exercise $0 -40K -79.96% $0.00 10K Nov 15, 2022 Common Stock 40K $126.89 Direct F4
* 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 8,700 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $327.2381 to $328.0158 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 3,283 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $328.2855 to $328.2893 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 November 15, 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 Fully vested.