Form 4: Ameriprise EVP & CIO Sells Shares for Tax Obligations

Gerard P. Smyth, EVP & CIO of Ameriprise Financial, disposed of common stock to satisfy tax withholding obligations on January 26 and 27, 2026.

Summary

• Gerard P. Smyth, Executive Vice President and Chief Investment Officer (EVP & CIO) of Ameriprise Financial Inc. (AMP), reported two transactions involving the disposition of common stock.
• On January 26, 2026, Smyth disposed of 114 shares of common stock at a price of $500.53 per share.
• On January 27, 2026, Smyth disposed of 97 shares of common stock at a price of $498.33 per share.
• Both dispositions were coded 'F', indicating they were made to the issuer to satisfy tax withholding obligations.
• Following the transaction on January 26, 2026, Smyth beneficially owned 9,021 shares of common stock directly.
• Following the transaction on January 27, 2026, Smyth beneficially owned 8,924 shares of common stock directly.

Sentiment

Score: 5

Explanation: This is a routine insider transaction for tax withholding purposes, indicating no change in company outlook or insider sentiment. It is a neutral event.

Future Outlook

This filing does not contain any forward-looking statements or guidance regarding the company's future outlook.

Industry Context

This insider transaction is a routine event common across all industries for executives receiving equity compensation. It does not provide specific insights into broader industry trends or competitive positioning for Ameriprise Financial.

Comparison to Industry Standards

• The disposition of shares to cover tax withholding obligations is a standard practice for executives receiving equity-based compensation across publicly traded companies, aligning with typical corporate governance and compensation structures.

Stakeholder Impact

• Minimal impact on shareholders as these are routine tax-related dispositions by an executive, not indicative of a change in company fundamentals or executive confidence.

Key Dates

Recommendation

The reported transactions are routine dispositions of common stock by an executive to satisfy tax withholding obligations upon the vesting of equity awards. Such transactions do not typically reflect a change in the executive's confidence in the company or its future prospects, nor do they indicate any fundamental shift in the company's financial health or strategic direction. Therefore, the filing itself does not warrant a change in investment recommendation.

Keywords

Ameriprise Financial, AMP, Insider Transaction, Form 4, Stock Sale, Tax Withholding, Gerard P. Smyth, EVP & CIO