Form 4: Ameriprise Financial SVP and Controller Dawn M. Brockman Reports Stock Transactions

Dawn M. Brockman, SVP and Controller at Ameriprise Financial, reports acquisition and disposal of company stock and stock options in a recent SEC filing.

Summary

• Dawn M. Brockman, SVP and Controller of Ameriprise Financial, filed a Form 4 with the SEC.
• The filing reports transactions involving Ameriprise Financial's common stock and employee stock options.
• On January 31, 2025, Brockman acquired 159 shares of common stock.
• On the same date, Brockman disposed of 143.52 shares held indirectly through a 401(k) plan.
• Brockman also acquired 262 employee stock options with an exercise price of $543.46.
• These options vest in three tranches: one-third after one year, one-third after two years, and the final third after three years from January 31, 2025.
• The options expire on February 1, 2035.
• Following these transactions, Brockman directly owns 262 derivative securities and 1,039 shares of common stock indirectly through a 401(k) plan.

Sentiment

Score: 5

Explanation: The document is a standard SEC filing reporting stock transactions, with no inherent positive or negative sentiment.

Industry Context

This filing is a routine disclosure of stock transactions by a company insider, as required by the SEC. It provides transparency into the trading activities of key personnel at Ameriprise Financial.

Stakeholder Impact

• The filing provides transparency to shareholders regarding insider trading activity.

Key Dates

Keywords

Form 4, SEC Filing, Stock Options, Common Stock, Ameriprise Financial, Brockman, Transactions