Form 4: Ameriprise Financial SVP and Controller Reports Stock Transactions

Dawn M. Brockman, SVP and Controller at Ameriprise Financial, reported the disposition of 21 shares of common stock and an adjustment to indirect holdings in the company's 401(k) plan.

Summary

• Dawn M. Brockman, a Senior Vice President and Controller at Ameriprise Financial, filed a Form 4 indicating changes in her beneficial ownership of company stock.
• On January 27, 2025, she disposed of 21 shares of common stock at a price of $561.38 per share.
• Additionally, her indirect holdings through the Ameriprise Financial 401(k) plan were adjusted to 143.48 shares.
• The 401(k) plan uses unit accounting, and the number of shares held varies with the price of Ameriprise stock.

Sentiment

Score: 5

Explanation: The document is a routine regulatory filing and does not indicate any positive or negative sentiment. It is a neutral report of a stock transaction.

Industry Context

Form 4 filings are a routine part of regulatory compliance for corporate insiders, providing transparency into their trading activities. This filing is specific to Ameriprise Financial and does not indicate any broader industry trend.

Comparison to Industry Standards

• Form 4 filings are standard practice for publicly traded companies in the US, as mandated by the SEC.
• The reporting requirements are consistent across all companies, ensuring transparency of insider transactions.
• Similar filings are made by executives at other financial services companies such as BlackRock, Morgan Stanley, and Goldman Sachs.

Stakeholder Impact

• This filing provides transparency to shareholders regarding insider transactions.
• The impact on employees is minimal, as it is a routine filing.

Key Dates

Keywords

Form 4, Beneficial Ownership, Stock Transaction, Ameriprise Financial, Insider Trading, 401(k), Dawn M. Brockman