Karen Wilson Thissen - 11 Feb 2022 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Reporting relationship: Executive VP and GC
Issuer ticker: AMP
Reported as of: 11 Feb 2022
Net transaction value: -$2,344,014
SEC form: 4
Accepted by SEC: 15 Feb 2022, 17:10:40 UTC
Prior SEC filing: 04 Feb 2022
Next SEC filing: 09 Jun 2022
Source filing: View source filing
Reporting owner signature: /s/ Wendy B. Mahling for Karen Wilson Thissen

Key filing fact

Karen Wilson Thissen filed Form 4 for AMERIPRISE FINANCIAL INC (AMP) on 15 Feb 2022.

Key facts

This page summarizes Karen Wilson Thissen's Form 4 filing for AMERIPRISE FINANCIAL INC (AMP).
5 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 15 Feb 2022, 17:10.

Change

Previous filing in this sequence was filed on 04 Feb 2022.
Current net transaction value: -$2,344,014.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AMP transaction

Common Stock

Options Exercise

Transaction value: $565,803
Shares: +4,459
Change %: +29%
Price: $126.89
Shares after: 19,682
Date: 11 Feb 2022
Ownership: Direct

AMP transaction

Common Stock

Tax liability

Transaction value: $945,956
Shares: -3,015
Change %: -15%
Price: $313.75
Shares after: 16,667
Date: 11 Feb 2022
Ownership: Direct

AMP transaction

Common Stock

Sale

Transaction value: $2,022,661
Shares: -6,444
Change %: -39%
Price: $313.88
Shares after: 10,223
Date: 11 Feb 2022
Ownership: Direct
Footnotes: F1

AMP holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 249
Date: 11 Feb 2022
Ownership: By 401(k) Plan
Footnotes: F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

AMP transaction Derivative

Employee Stock Option (right to buy)

Options Exercise

Transaction value: $0
Shares: -4,459
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 11 Feb 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 4,459
Exercise price: $126.89
Footnotes: F3

AMP transaction Derivative

Phantom Stock

Award

Transaction value: $58,800
Shares: +193
Change %: +15%
Price: $304.00
Shares after: 1,457
Date: 11 Feb 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 193
Exercise price
Footnotes: F4, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

Reflects the weighted average price of 6,444 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 11, 2022 with sale prices ranging from $313.6175 to $314.3259 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.

Footnote 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 February 11, 2022. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.

Footnote F3

Fully vested.

Footnote F4

Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

Footnote F5

Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.