Form 4: Ameriprise Director Acquires Phantom Stock

Ameriprise Financial Director Christopher J. Williams acquired 39.5881 shares of phantom stock through a retainer deferral plan.

Summary

• Christopher J. Williams, a Director and General Counsel for Ameriprise Financial Inc. (AMP), acquired phantom stock.
• The transaction is scheduled for July 29, 2025.
• Williams acquired 39.5881 shares of phantom stock at a price of $520.99 per share.
• Each phantom stock share represents the right to receive one share of Ameriprise Financial, Inc. common stock.
• The acquisition was part of a retainer deferral plan for directors.
• Following this transaction, Williams will beneficially own 3,708.908 shares of phantom stock directly.

Sentiment

Score: 6

Explanation: The acquisition of phantom stock by a director, as part of a retainer deferral plan, generally indicates confidence in the company's long-term prospects and aligns management's interests with shareholders, though it is a routine transaction.

Positives

• Director Christopher J. Williams increased his beneficial ownership in Ameriprise Financial, Inc. through the acquisition of phantom stock.
• The acquisition is part of a retainer deferral plan, indicating management's long-term commitment and alignment with shareholder interests.

Future Outlook

The transaction, scheduled for July 29, 2025, represents a pre-planned acquisition of phantom stock by a director, aligning with the company's deferred share plan for directors and indicating a long-term commitment.

Industry Context

This transaction is a standard insider compensation and deferral mechanism common in the financial services industry, aligning executive incentives with long-term company performance.

Comparison to Industry Standards

• The use of phantom stock and deferred share plans is a common practice among publicly traded companies, particularly in the financial sector, to retain key executives and align their interests with long-term shareholder value.

Related Party Transactions

• Acquisition of phantom stock by Director Christopher J. Williams from Ameriprise Financial, Inc. as part of a deferred share plan.

Stakeholder Impact

• Shareholders: Potential positive signal of insider confidence and alignment of interests with long-term company performance.

Next Steps

• Distribution of Ameriprise Financial, Inc. Deferred Stock Units will be made in accordance with distribution elections by plan participants.

Key Dates

Keywords

Ameriprise Financial, AMP, Insider Transaction, Form 4, Phantom Stock, Director Compensation, Stock Deferral