Walter S. Berman - 04 Aug 2023 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
EXECUTIVE VP AND CFO
Signature
/s/ Wendy B. Mahling for Walter Stanley Berman
Issuer symbol
AMP
Transactions as of
04 Aug 2023
Net transactions value
-$7,056,550
Form type
4
Filing time
08 Aug 2023, 19:16:53 UTC
Previous filing
17 Feb 2023
Next filing
15 Dec 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 Options Exercise $2,697,600 +15,000 +104% $179.84 29,360 04 Aug 2023 Direct
transaction AMP Common Stock Options Exercise $1,272,072 +10,025 +34% $126.89 39,385 04 Aug 2023 Direct
transaction AMP Common Stock Tax liability $6,441,304 -18,295 -46% $352.08 21,090 04 Aug 2023 Direct
transaction AMP Common Stock Sale $2,361,894 -6,730 -32% $350.95 14,360 04 Aug 2023 Direct F1
transaction AMP Common Stock Sale $2,223,025 -6,312 -44% $352.19 8,048 04 Aug 2023 Direct F2
holding AMP Common Stock 354 04 Aug 2023 By 401(k) Plan F3

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 -15,000 -37% $0.000000 25,382 04 Aug 2023 Common Stock 15,000 $179.84 Direct F4
transaction AMP Employee Stock Option (right to buy) Options Exercise $0 -10,025 -100% $0.000000* 0 04 Aug 2023 Common Stock 10,025 $126.89 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 6,730 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 4, 2023 with sale prices ranging from $350.48 to $351.355 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 6,312 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 4, 2023 with sale prices ranging from $351.8222 to $352.36 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 August 4, 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.