AMERIPRISE FINANCIAL INC 4

Dawn M. Brockman, SVP and Controller of Ameriprise Financial (AMP), reported small, routine equity plan-related movements in Ameriprise common and phantom stock on July 9, 2026, with no large open-market purchase or sale.

On July 9, 2026, Ameriprise Financial SVP and Controller Dawn M. Brockman reported routine equity-related transactions involving common stock and phantom stock. The filing reflects an option or derivative-related transaction coded "M" and a tax or plan-related share withholding coded "F" in common stock, along with a conversion from phantom stock into common stock, all at or referenced to an effective price of about $26.04 per share, and resulting in 1,185 shares of common stock held directly plus an estimated 146.46 shares held indirectly via the 401(k) plan. The phantom stock units, which are economically equivalent to common shares and payable in Ameriprise stock upon termination or at a specified future date, were partially settled into common stock with an indicated transaction value of roughly $275.60. Given the small dollar amounts and the compensatory, plan-driven nature of these movements, the activity appears to be routine rather than a discretionary open-market trade.

Filing Facts

CIK

820027

Ticker

AMP

Form

4

Source Type

sec

Accession

0001937010-26-000008

Alert Tier

5