Form 4: Ameriprise SVP Sells Shares Under 10b5-1 Plan

Ameriprise Financial's SVP and Controller, Dawn M. Brockman, reported the sale of 44 shares of common stock in two transactions under a Rule 10b5-1 plan.

Summary

• Dawn M. Brockman, SVP and Controller of Ameriprise Financial Inc. (AMP), reported changes in her beneficial ownership of common stock.
• On January 26, 2026, Brockman disposed of 22 shares of common stock at a price of $500.53 per share.
• Following this transaction, her direct beneficial ownership was 1,033 shares.
• On January 27, 2026, an additional 22 shares of common stock were disposed of at a price of $498.33 per share.
• After the second transaction, her direct beneficial ownership decreased to 1,011 shares.
• Both dispositions were marked with transaction code 'F', typically indicating a payment of tax liability by delivering or withholding securities incident to the vesting of a restricted stock award or the exercise of a stock option.
• The transactions were made pursuant to a contract, instruction, or written plan for the purchase or sale of equity securities intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
• As of January 27, 2026, Brockman also indirectly held an estimated 145.33 shares of common stock in her Ameriprise Financial 401(k) plan account.

Sentiment

Score: 5

Explanation: The filing reports routine insider stock sales under a pre-arranged 10b5-1 plan, typically for tax withholding purposes, which is a neutral event for company sentiment.

Positives

• The transactions were conducted under a Rule 10b5-1 plan, indicating pre-planned sales designed to avoid accusations of insider trading.

Future Outlook

NA

Industry Context

This filing is a routine insider transaction report and does not provide information directly related to broader industry trends or competitive landscape. It reflects an individual executive's stock ownership changes.

Stakeholder Impact

• Minimal direct impact on shareholders as these are routine, small-scale insider transactions for tax purposes and do not signal a change in company fundamentals or management's long-term outlook.

Key Dates

Keywords

Ameriprise Financial, AMP, Form 4, Insider Transaction, Stock Sale, Dawn M. Brockman, 10b5-1 Plan, SVP Controller