James M. Cracchiolo - Feb 9, 2024 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
CHAIRMAN AND CEO, Director
Signature
/s/ Wendy B. Mahling for James M. Cracchiolo
Stock symbol
AMP
Transactions as of
Feb 9, 2024
Transactions value $
-$5,109,858
Form type
4
Date filed
2/13/2024, 08:44 PM
Previous filing
Jan 31, 2024
Next filing
Feb 21, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise $7.16M +39.8K +21.15% $179.84 228K Feb 12, 2024 Direct
transaction AMP Common Stock Tax liability -$11.7M -29.1K -12.74% $402.09 199K Feb 12, 2024 Direct
transaction AMP Common Stock Sale -$659K -1.64K -0.83% $400.88 197K Feb 12, 2024 Direct F1
transaction AMP Common Stock Sale -$341K -849 -0.43% $401.58 197K Feb 12, 2024 Direct F2
holding AMP Common Stock 1.7K Feb 9, 2024 By 401(k) Plan F3

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 Phantom Stock Award $419K +1.05K +1.04% $396.94 102K Feb 9, 2024 Common Stock 1.05K Direct F4, F5
transaction AMP Employee Stock Option (right to buy) Options Exercise $0 -39.8K -100% $0.00* 0 Feb 12, 2024 Common Stock 39.8K $179.84 Direct F6
* 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 1,644 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 12, 2024 with sale prices ranging from $400.46 to $401.29 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 Reflects the weighted average price of 849 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 12, 2024 with sale prices ranging from $401.53 to $401.67 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 February 12, 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 Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
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.
F6 Fully vested.