William Fredrick Truscott - 10 Feb 2023 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
CEO, GLOBAL ASSET MANAGEMENT
Signature
/s/ Wendy B. Mahling for William Fredrick Truscott
Issuer symbol
AMP
Transactions as of
10 Feb 2023
Net transactions value
-$3,948,737
Form type
4
Filing time
14 Feb 2023, 17:51:34 UTC
Previous filing
02 Feb 2023
Next filing
17 Jul 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Sale $4,079,237 -11,480 -40% $355.33 17,489 13 Feb 2023 By LLC F1
holding AMP Common Stock 10,675 10 Feb 2023 Direct
holding AMP Common Stock 298 10 Feb 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 Phantom Stock Award $130,500 +373 +23% $349.73 1,999 10 Feb 2023 Common Stock 373 Direct F3, 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 11,480 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 13, 2023 with sale prices ranging from $354.986 to $355.5541 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 February 13, 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 Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common 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.