Walter S. Berman - 11 Nov 2024 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
11 Nov 2024
Net transactions value
-$9,984,906
Form type
4
Filing time
13 Nov 2024, 18:07:40 UTC
Previous filing
13 Feb 2024
Next filing
28 Jan 2025
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 $4,135,250 +25,000 +390% $165.41 31,409 11 Nov 2024 Direct
transaction AMP Common Stock Tax liability $9,237,377 -16,345 -52% $565.15 15,064 11 Nov 2024 Direct
transaction AMP Common Stock Sale $3,080,006 -5,463 -36% $563.79 9,601 11 Nov 2024 Direct F1
transaction AMP Common Stock Sale $1,802,774 -3,192 -33% $564.78 6,409 11 Nov 2024 Direct
holding AMP Common Stock 360 11 Nov 2024 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 -25,000 -70% $0.000000 10,905 11 Nov 2024 Common Stock 25,000 $165.41 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 5,463 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 11, 2024 with sale prices ranging from $563.445 to $563.8724 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 November 11, 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.
F3 Fully vested.