Form 4: Dianne Neal Blixt Reports Acquisition of Phantom Stock in Ameriprise Financial Inc.

Dianne Neal Blixt, a director of Ameriprise Financial Inc., reported the acquisition of phantom stock units convertible to common stock upon termination of service.

Summary

• On April 30, 2025, Dianne Neal Blixt, a director of Ameriprise Financial Inc. [AMP], acquired 445.8409 shares of phantom stock.
• Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
• Following the transaction, Ms. Blixt directly owns 12,514.6185 shares of Ameriprise Financial Inc. common stock.
• The phantom stock was acquired as part of an annual grant.
• The acquired phantom stock will be settled in common stock upon Ms. Blixt ceasing to be a non-employee director, paid in a lump sum at the end of the quarter immediately following the quarter in which her service terminates.

Sentiment

Score: 7

Explanation: The document is a standard regulatory filing related to executive compensation. It doesn't contain any particularly positive or negative information, but reflects standard corporate governance practices.

Future Outlook

The reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

Industry Context

This filing is a routine disclosure related to insider transactions, specifically the acquisition of phantom stock by a director, which is a common form of executive compensation in publicly traded companies.

Comparison to Industry Standards

• Executive compensation packages often include phantom stock or restricted stock units (RSUs) that vest over time or upon achieving certain milestones.
• Companies like Goldman Sachs, Morgan Stanley, and BlackRock also use similar equity-based compensation plans for their executives and directors.
• The specific terms and amounts of these grants vary based on company size, performance, and individual contributions.

Stakeholder Impact

• The acquisition of phantom stock by a director aligns the director's interests with those of the shareholders, as the value of the phantom stock is tied to the performance of the company's common stock.

Key Dates

Keywords

Form 4, Beneficial Ownership, Phantom Stock, Director, Ameriprise Financial, AMP, Dianne Neal Blixt