Form 4: Ameriprise Financial SVP and Controller, Dawn M. Brockman, Reports Acquisition of Phantom Stock
SEC Form 4 Filing
Dawn M. Brockman, SVP and Controller of Ameriprise Financial, reports the acquisition of phantom stock units convertible to common stock.
Summary
- On February 7, 2025, Dawn M. Brockman, SVP and Controller of Ameriprise Financial Inc., acquired 27.1536 units of phantom stock.
- Each unit of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
- These shares are payable in Ameriprise common stock following termination of employment or during a specified future year, as per The Ameriprise Financial Deferred Compensation Plan.
- Following the transaction, Ms. Brockman directly owns 312.8211 shares of Ameriprise Financial common stock.
Sentiment
Score: 5
Explanation: The document is a neutral regulatory filing, reflecting standard executive compensation practices.
Future Outlook
The phantom stock is 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.
Industry Context
This Form 4 filing is a routine disclosure related to executive compensation and holdings, common in the financial services industry.
Key Dates
| Date | Description |
|---|---|
| 02/07/2025 | Date of transaction: Acquisition of phantom stock. |
| 02/11/2025 | Date of report signature. |
Keywords
Ameriprise Financial, Dawn M. Brockman, phantom stock, Form 4, beneficial ownership, AMP
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