Dawn M. Brockman - Jul 1, 2022 Form 3 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
Interim Controller and PAO
Signature
/s/ Wendy B. Mahling for Dawn M. Brockman
Stock symbol
AMP
Transactions as of
Jul 1, 2022
Transactions value $
$0
Form type
3
Date filed
7/8/2022, 04:35 PM
Next filing
Dec 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AMP Common Stock 1.29K Jul 1, 2022 Direct
holding AMP Common Stock 140 Jul 1, 2022 By 401(k) Plan F1

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
holding AMP Employee Stock Option (right to buy) Jul 1, 2022 Common Stock 420 $107.61 Direct F2
holding AMP Employee Stock Option (right to buy) Jul 1, 2022 Common Stock 461 $128.76 Direct F2
holding AMP Employee Stock Option (right to buy) Jul 1, 2022 Common Stock 914 $179.84 Direct F2
holding AMP Employee Stock Option (right to buy) Jul 1, 2022 Common Stock 1.14K $126.89 Direct F2
holding AMP Employee Stock Option (right to buy) Jul 1, 2022 Common Stock 445 $165.41 Direct F3
holding AMP Employee Stock Option (right to buy) Jul 1, 2022 Common Stock 537 $197.87 Direct F4
holding AMP Employee Stock Option (right to buy) Jul 1, 2022 Common Stock 324 $298.09 Direct F5
holding AMP Phantom Stock Jul 1, 2022 Common Stock 222 Direct F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 July 1, 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.
F2 Fully vested.
F3 Two-thirds of the options are fully vested; the remaining one-third options vest on January 31, 2023.
F4 One-third of the options are fully vested; one-third of the options vest on each of January 29, 2023 and January 29, 2024.
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 28, 2022.
F6 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.
F7 Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.