Joseph E. Sweeney - 13 Jul 2023 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role: PRES-AWM PRODUCTS & SERVICES
Signature: /s/ Wendy B. Mahling for Joseph Edward Sweeney
Issuer symbol: AMP
Transactions as of: 13 Jul 2023
Transactions value $: -$61,378
Form type: 4
Filing time: 17 Jul 2023, 18:09:50 UTC
Previous filing: 16 Feb 2023
Next filing: 18 Dec 2023
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		+391	+3.56%		11.3K	13 Jul 2023	Direct	F1
transaction	AMP	Common Stock	Tax liability	-$61.4K	-180	-1.58%	$341.90	11.2K	13 Jul 2023	Direct
holding	AMP	Common Stock						289	13 Jul 2023	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	Phantom Stock	Options Exercise		-391	-30.54%		888	13 Jul 2023	Common Stock	391		Direct	F1, F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
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 July 13, 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.
F3	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.