Joseph Edward Sweeney - Jan 27, 2023 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
Jan 27, 2023
Transactions value $
-$4,103,849
Form type
4
Date filed
1/31/2023, 06:56 PM
Previous filing
Jul 5, 2022
Next filing
Feb 2, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise $2.09M +16.9K +161.99% $123.37 27.4K Jan 27, 2023 Direct
transaction AMP Common Stock Tax liability -$3.86M -11.1K -40.43% $348.74 16.3K Jan 27, 2023 Direct
transaction AMP Common Stock Sale -$2.04M -5.86K -35.93% $348.79 10.5K Jan 27, 2023 Direct F1
transaction AMP Common Stock Award $0 +1.96K +18.74% $0.00 12.4K Jan 27, 2023 Direct
transaction AMP Common Stock Tax liability -$109K -315 -2.54% $344.45 12.1K Jan 28, 2023 Direct
transaction AMP Common Stock Tax liability -$178K -516 -4.26% $344.45 11.6K Jan 29, 2023 Direct
holding AMP Common Stock 286 Jan 27, 2023 By 401(k) Plan 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 -16.9K -100% $0.00* 0 Jan 27, 2023 Common Stock 16.9K $123.37 Direct F3
transaction AMP Employee Stock Option (right to buy) Award $0 +5.76K $0.00 5.76K Jan 27, 2023 Common Stock 5.76K $344.45 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 5,863 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 27, 2023 with sale prices ranging from $348.38 to $349.00 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 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 January 27, 2023. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
F3 Fully vested.
F4 One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 27, 2023.