Walter S. Berman - 13 Dec 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
13 Dec 2023
Net transactions value
-$4,859,469
Form type
4
Filing time
15 Dec 2023, 16:54:58 UTC
Previous filing
08 Aug 2023
Next filing
30 Jan 2024
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 $4,564,699 +25,382 +315% $179.84 33,430 13 Dec 2023 Direct
transaction AMP Common Stock Tax liability $7,047,616 -18,973 -57% $371.46 14,457 13 Dec 2023 Direct
transaction AMP Common Stock Sale $2,376,552 -6,409 -44% $370.81 8,048 13 Dec 2023 Direct F1
holding AMP Common Stock 357 13 Dec 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 Employee Stock Option (right to buy) Options Exercise $0 -25,382 -100% $0.000000* 0 13 Dec 2023 Common Stock 25,382 $179.84 Direct F3
* 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 6,409 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on December 13, 2023 with sale prices ranging from $370.645 to $371.009 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 December 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 Fully vested.