Gerard P. Smyth - Nov 15, 2022 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
EVP TECHNOLOGY AND CIO
Signature
/s/ Wendy B. Mahling for Gerard P. Smyth
Stock symbol
AMP
Transactions as of
Nov 15, 2022
Transactions value $
-$1,866,001
Form type
4
Date filed
11/17/2022, 04:22 PM
Previous filing
Feb 15, 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 $470K +3.81K +51.09% $123.37 11.3K Nov 15, 2022 Direct
transaction AMP Common Stock Options Exercise $254K +2K +17.74% $126.89 13.3K Nov 15, 2022 Direct
transaction AMP Common Stock Tax liability -$1.25M -3.87K -29.17% $322.71 9.4K Nov 15, 2022 Direct
transaction AMP Common Stock Sale -$625K -1.94K -20.64% $322.02 7.46K Nov 15, 2022 Direct F1
transaction AMP Common Stock Sale -$716K -2.19K -29.34% $327.01 5.27K Nov 15, 2022 Direct 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) Options Exercise $0 -3.81K -100% $0.00* 0 Nov 15, 2022 Common Stock 3.81K $123.37 Direct F3
transaction AMP Employee Stock Option (right to buy) Options Exercise $0 -2K -36.81% $0.00 3.43K Nov 15, 2022 Common Stock 2K $126.89 Direct F3
* 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 1,940 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 $321.89 to $322.12 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 2,189 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 $326.95 to $327.092 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 Fully vested.