| Type | Sym | Class | Transaction | Value $ | Shares | Change % | Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AMP | Common Stock | Options Exercise | $3.8 M | +30.8 K | +293.98% | $123.37 | 41.3 K | Jan 27, 2023 | Direct | |
| transaction | AMP | Common Stock | Tax liability | -$6.72 M | -19.4 K | -64.85% | $347.36 | 10.5 K | Jan 27, 2023 | Direct | F1 |
| transaction | AMP | Common Stock | Sale | -$3.99 M | -11.5 K | -41.39% | $347.69 | 16.3 K | Jan 27, 2023 | By LLC | F1, F2 |
| transaction | AMP | Common Stock | Award | $0 | +3.06 K | +29.14% | $0.00 | 13.5 K | Jan 27, 2023 | Direct | |
| transaction | AMP | Common Stock | Tax liability | -$164 K | -476 | -3.69% | $344.45 | 12.4 K | Jan 28, 2023 | Direct | F1 |
| transaction | AMP | Common Stock | Tax liability | -$252 K | -732 | -6.42% | $344.45 | 10.7 K | Jan 29, 2023 | Direct | F1 |
| holding | AMP | Common Stock | 297 | Jan 27, 2023 | 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 | Employee Stock Option (right to buy) | Options Exercise | $0 | -30.8 K | -100% | $0.00 | 0 | Jan 27, 2023 | Common Stock | 30.8 K | $123.37 | Direct | F4 |
| transaction | AMP | Employee Stock Option (right to buy) | Award | $0 | +8.98 K | $0.00 | 8.98 K | Jan 27, 2023 | Common Stock | 8.98 K | $344.45 | Direct | F5 |
| Id | Content |
|---|---|
| F1 | 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. |
| F2 | Reflects the weighted average price of 11,483 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 $347.2426 to $348.2063 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 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. |
| F4 | Fully vested. |
| F5 | 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. |