Form 4: Ameriprise Financial SVP and Controller Reports Stock and Phantom Stock Transactions

Dawn M. Brockman, SVP and Controller of Ameriprise Financial Inc., reported the acquisition and disposition of common stock and phantom stock units on July 10, 2025.

Summary

• Dawn M. Brockman, SVP and Controller of Ameriprise Financial Inc. (AMP), reported transactions involving the company's common stock and phantom stock units.
• On July 10, 2025, Brockman acquired 25.6838 shares of common stock through the exercise or conversion of derivative securities.
• Following this acquisition, Brockman directly beneficially owned 1,064.6838 shares of common stock.
• Concurrently, on July 10, 2025, Brockman disposed of 9.6838 shares of common stock at a price of $542.51 per share, likely for tax withholding purposes (Code F transaction).
• After all reported transactions, Brockman directly beneficially owns 1,055 shares of common stock.
• Additionally, Brockman indirectly holds an estimated 144.33 shares of common stock in the Ameriprise Financial 401(k) plan as of July 10, 2025.
• Brockman also acquired 25.6838 phantom stock units on July 10, 2025, bringing her direct beneficial ownership of phantom stock to 288.9163 units.
• Each phantom stock unit represents the right to receive one share of Ameriprise Financial common stock.

Sentiment

Score: 5

Explanation: Neutral. This is a routine insider transaction report, not indicative of significant positive or negative company performance or outlook.

Positives

• Acquisition of additional common stock and phantom stock units by a senior executive, indicating continued alignment of management interests with shareholder value.

Negatives

• Disposition of a portion of common stock, though this appears to be a routine transaction for tax withholding purposes.

Future Outlook

The document is a report of specific insider transactions and does not provide forward-looking statements or guidance regarding the company's future performance or strategic outlook.

Industry Context

This Form 4 filing is a routine disclosure of an individual insider's stock transactions and does not provide broader industry context or trends. It reflects an executive's compensation and investment activity within Ameriprise Financial.

Stakeholder Impact

• Shareholders: Minor impact, as these are routine insider transactions that align executive interests with shareholders through stock ownership.

Next Steps

• Phantom stock units are 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.

Key Dates

Keywords

Ameriprise Financial, AMP, Form 4, Insider Transaction, Stock Ownership, Phantom Stock, Common Stock, Dawn M. Brockman, SVP and Controller, Beneficial Ownership