William F. Truscott - 28 Aug 2024 Form 4 Insider Report for AMERIPRISE FINANCIAL INC (AMP)

Role
CEO, GLOBAL ASSET MANAGEMENT
Signature
/s/ Wendy B. Mahling for William Fredrick Truscott
Issuer symbol
AMP
Transactions as of
28 Aug 2024
Transactions value $
-$12,356,876
Form type
4
Date filed
30 Aug 2024, 16:02
Previous filing
15 Jul 2024
Next filing
13 Nov 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 Options Exercise $4.99M +39.3K +423.69% $126.89 48.6K 28 Aug 2024 Direct
transaction AMP Common Stock Tax liability -$10.5M -23.7K -71.89% $440.85 9.28K 28 Aug 2024 Direct F1
transaction AMP Common Stock Sale -$6.88M -15.6K -53.76% $441.56 13.4K 28 Aug 2024 By LLC F1, F2
holding AMP Common Stock 304 28 Aug 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 Employee Stock Option (right to buy) Options Exercise $0 -39.3K -100% $0.00 0 28 Aug 2024 Common Stock 39.3K $126.89 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings.
F2 Reflects the weighted average price of 15,584 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 28, 2024 with sale prices ranging from $441.16 to $441.675 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 August 28, 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 Fully vested.