| Type | Sym | Class | Transaction | Value $ | Shares | Change % | Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AMP | Common Stock | +Grant/Award | $0 | +2,500 | +23.42% | $0.00 | 13,175 | Jan 26, 2024 | Direct | |
| transaction | AMP | Common Stock | +Options Exercise | $5,567,487 | +30,958 | +234.98% | $179.84 | 44,133 | Jan 26, 2024 | Direct | |
| transaction | AMP | Common Stock | -Tax liability | -$8,335,746 | -21,269 | -61.75% | $391.92 | 13,175 | Jan 26, 2024 | Direct | F1 |
| transaction | AMP | Common Stock | -Sell | -$3,780,832 | -9,689 | -44.41% | $390.22 | 12,126 | Jan 26, 2024 | By LLC | F1, F2 |
| transaction | AMP | Common Stock | -Tax liability | -$183,567 | -469 | -3.71% | $391.40 | 12,156 | Jan 27, 2024 | Direct | F1 |
| transaction | AMP | Common Stock | -Tax liability | -$203,919 | -521 | -4.51% | $391.40 | 11,024 | Jan 28, 2024 | Direct | F1 |
| holding | AMP | Common Stock | 13,287 | Jan 26, 2024 | By LLC | F1 | |||||
| holding | AMP | Common Stock | 301 | Jan 26, 2024 | By 401(k) Plan | F3 |
| 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 | -30,958 | -100% | $0.00 | 0 | Jan 26, 2024 | Common Stock | 30,958 | $179.84 | Direct | F4 |
| transaction | AMP | Employee Stock Option (right to buy) | +Grant/Award | $0 | +7,386 | $0.00 | 7,386 | Jan 26, 2024 | Common Stock | 7,386 | $391.40 | Direct | F5 |
| Id | Content |
|---|---|
| F1 | The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings. |
| F2 | Reflects the weighted average price of 9,689 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 26, 2024, with sale prices ranging from $389.93 to $390.4841 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 January 29, 2024. 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. |
| F5 | One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 26, 2024. |