Dawn M. Brockman - Dec 18, 2023 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
SVP AND CONTROLLER
Signature
/s/ Wendy B. Mahling for Dawn M. Brockman
Stock symbol
AMP
Transactions as of
Dec 18, 2023
Transactions value $
-$34,808
Form type
4
Date filed
12/20/2023, 04:19 PM
Previous filing
Feb 14, 2023
Next filing
Jan 30, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise $45.2K +420 +43.03% $107.61 1.4K Dec 18, 2023 Direct
transaction AMP Common Stock Tax liability -$80K -213 -15.26% $375.61 1.18K Dec 18, 2023 Direct
holding AMP Common Stock 142 Dec 18, 2023 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
transaction AMP Employee Stock Option (right to buy) Options Exercise $0 -420 -100% $0.00* 0 Dec 18, 2023 Common Stock 420 $107.61 Direct F2
* 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 December 18, 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.
F2 Fully vested.