William Davies - 27 Jan 2023 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
EXECUTIVE VP, GLOBAL CIO
Signature
/s/ Wendy B. Mahling for William Davies
Issuer symbol
AMP
Transactions as of
27 Jan 2023
Transactions value $
-$216,871
Form type
4
Filing time
30 Jan 2024, 21:42:18 UTC
Previous filing
11 Feb 2022
Next filing
31 Jan 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Award $0 +607 +2.71% $0 22,999 26 Jan 2024 Direct F1
transaction AMP Common Stock Tax liability -$43,746 -112 -0.49% $391.4 22,887 27 Jan 2024 Direct
transaction AMP Common Stock Tax liability -$173,124 -442 -1.93% $391.4 22,445 28 Jan 2024 Direct

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) Award $0 +2,064 $0 2,064 27 Jan 2023 Common Stock 2,064 $344.45 Direct F1, F2
transaction AMP Employee Stock Option (right to buy) Award $0 +1,793 $0 1,793 26 Jan 2024 Common Stock 1,793 $391.4 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Of the 2,766 shares reported as acquired on Table I in a Form 4 filed on January 31, 2023, 2,064 of the shares were actually granted as stock options. This Form 4 reflects the correct reporting of that total award amount.
F2 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 27, 2023.
F3 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 26, 2024.