Form 4: Ameriprise SVP & Controller Reports Stock Transactions

Ameriprise Financial's SVP and Controller, Dawn M. Brockman, reported recent transactions involving common stock and employee stock options.

Summary

• Dawn M. Brockman, SVP and Controller of Ameriprise Financial Inc. (AMP), reported transactions in the company's common stock and derivative securities.
• On January 31, 2026, Brockman disposed of 20 shares of common stock at a price of $527.19 per share, primarily for the payment of tax liability by withholding securities.
• On February 2, 2026, Brockman acquired 177 shares of common stock at a price of $0, indicating a grant or award.
• Following these transactions, Brockman directly beneficially owns 1,168 shares of common stock and indirectly owns an estimated 145.23 shares through a 401(k) plan.
• On February 2, 2026, Brockman was granted 339 employee stock options with an exercise price of $532.18.
• These options vest in three equal annual installments, with one-third vesting after one year, one-third after two years, and the final third after three years from February 2, 2026, and expire on February 3, 2036.

Sentiment

Score: 6

Explanation: StockSavvy.ai views this as slightly positive due to the acquisition of shares and the grant of stock options, which align management's interests with shareholder value, despite a small disposition for tax purposes.

Positives

• Acquisition of 177 shares of common stock at $0, likely as part of compensation or a grant.
• Grant of 339 employee stock options, providing future potential upside tied to the company's stock performance.

Negatives

• Disposition of 20 shares of common stock at $527.19, primarily to cover tax liabilities, which reduces direct holdings.

Future Outlook

The filing indicates future vesting schedules for employee stock options, with one-third vesting annually over the next three years from February 2, 2026.

Industry Context

StockSavvy.ai notes that insider transaction filings like Form 4 provide transparency into executive holdings and can offer insights into management's perspective on company value, though these specific transactions are routine and primarily reflect compensation and tax planning rather than a significant shift in strategy or outlook.

Stakeholder Impact

• Shareholders gain transparency into executive stock ownership and compensation activities, which can be a factor in assessing management alignment with shareholder interests.

Next Steps

• One-third of the granted employee stock options will vest after one year from February 2, 2026.
• Another one-third of the options will vest after two years from February 2, 2026.
• The final one-third of the options will vest after three years from February 2, 2026.

Key Dates

Keywords

Ameriprise Financial, AMP, Insider Transaction, Form 4, Stock Options, Common Stock, Executive Compensation, Dawn M. Brockman