Gerard P. Smyth - Jul 13, 2023 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
EVP TECHNOLOGY AND CIO
Signature
/s/ Wendy B. Mahling for Joseph Edward Sweeney
Stock symbol
AMP
Transactions as of
Jul 13, 2023
Transactions value $
-$19,158
Form type
4
Date filed
7/17/2023, 06:11 PM
Previous filing
Feb 14, 2023
Next filing
Aug 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise +129 +2.13% 6.18K Jul 13, 2023 Direct F1
transaction AMP Common Stock Tax liability -$19.2K -56 -0.91% $341.90 6.13K Jul 13, 2023 Direct

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 Options Exercise -129 -13% 863 Jul 13, 2023 Common Stock 129 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
F2 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.