James M. Cracchiolo - Dec 11, 2023 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
CHAIRMAN AND CEO, Director
Signature
/s/ Wendy B. Mahling for James M. Cracchiolo
Stock symbol
AMP
Transactions as of
Dec 11, 2023
Transactions value $
-$7,456,137
Form type
4
Date filed
12/13/2023, 04:55 PM
Previous filing
Aug 7, 2023
Next filing
Jan 30, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise $7.19M +40K +25.46% $179.84 197K Dec 11, 2023 Direct
transaction AMP Common Stock Tax liability -$11M -30.1K -15.25% $366.37 167K Dec 11, 2023 Direct
transaction AMP Common Stock Sale -$550K -1.51K -0.9% $365.15 166K Dec 11, 2023 Direct F1
transaction AMP Common Stock Sale -$3.09M -8.44K -5.1% $365.99 157K Dec 11, 2023 Direct F2
holding AMP Common Stock 1.69K Dec 11, 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 -40K -50.1% $0.00 39.8K Dec 11, 2023 Common Stock 40K $179.84 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 1,506 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 11, 2023 with sale prices ranging from $365.1291 to $365.2108 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 8,442 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 11, 2023 with sale prices ranging from $365.4057 to $366.346 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 December 11, 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.