Form 4: Ameriprise Financial SVP and Controller Dawn M. Brockman Reports Stock Transactions
SEC Form 4 Filing
Dawn M. Brockman, SVP and Controller of Ameriprise Financial, reports the acquisition and disposition of company stock, including transactions related to stock options and tax withholding.
Summary
- Dawn M. Brockman, SVP and Controller at Ameriprise Financial, filed a Form 4 detailing changes in beneficial ownership of Ameriprise Financial Inc. stock on March 26, 2024.
- The transactions included the exercise of employee stock options to acquire 461 shares at a price of $128.76.
- Brockman also disposed of 237 shares to cover tax obligations at a price of $433.49 per share.
- An additional 224 shares were sold at $434.128 per share.
- Following these transactions, Brockman directly owns 1,288 shares of common stock.
- Brockman also indirectly owns 142.61 shares through the Ameriprise Financial 401(k) plan.
Sentiment
Score: 5
Explanation: This is a routine regulatory filing, so the sentiment is neutral.
Industry Context
Form 4 filings are standard practice for corporate insiders to report transactions in their company's stock, providing transparency to investors.
Stakeholder Impact
- The filing provides transparency to shareholders regarding insider transactions.
Key Dates
| Date | Description |
|---|---|
| 03/26/2024 | Date of stock transactions (exercise of options, tax withholding, sale of shares) |
| 03/28/2024 | Date of Form 4 filing |
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