Dawn M. Brockman - Jul 10, 2025 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
Jul 10, 2025
Transactions value $
-$5,254
Form type
4
Date filed
7/14/2025, 07:32 PM
Previous filing
Feb 11, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Brockman Dawn M. SVP AND CONTROLLER GENERAL COUNSEL'S OFFICE, 1098 AMERIPRISE FINANCIAL CENTER, MINNEAPOLIS /s/ Wendy B. Mahling for Dawn M. Brockman 2025-07-14 0001937010

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMP Common Stock Options Exercise +25.7 +2.47% 1.06K Jul 10, 2025 Direct F1
transaction AMP Common Stock Tax liability -$5.25K -9.68 -0.91% $542.51 1.06K Jul 10, 2025 Direct
holding AMP Common Stock 144 Jul 10, 2025 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 -25.7 -8.16% 289 Jul 10, 2025 Common Stock 25.7 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 10, 2025. 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.