Form 4 for AMP Ameriprise Financial
Accepted 2021-08-30 00:00:00 ET · period of report 2021-08-24 · accession 0001179110-21-008484 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-08-30 | 2021-08-24 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl Asset Management | G - Gift | $0.00 | -4,026 | 30.9K | -12% | $0 |
| DI | 2021-08-30 | 2021-08-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl Asset Management | S - Sale+OE | $271.39 | -19.5K | 30.9K | -39% | -$5.30M |
| D | 2021-08-30 | 2021-08-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl Asset Management | F - Tax | $271.80 | -33.6K | 13.9K | -71% | -$9.13M |
| D | 2021-08-30 | 2021-08-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl Asset Management | M - OptEx | $87.79 | +53.1K | 67.1K | +382% | +$4.66M |
| D | 2021-08-30 | 2021-08-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl Asset Management | M - OptEx | $0.00 | -53.1K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-24 | G | D | 4,026 | $0.00 | 30,949 | I By LLC | — | — | (F1) The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc. |
| 2 | Common | Common Stock | 2021-08-26 | S | D | 19,522 | $271.39 | 30,949 | I | — | — | (F3) Reflects the weighted average price of 19,522 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 26, 2021 with sale prices ranging from $271.13 to $271.575 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. (F2) The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings. |
| 3 | Common | Common Stock | 2021-08-26 | F | D | 33,607 | $271.80 | 13,926 | D | — | — | (F2) The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings. |
| 4 | Common | Common Stock | 2021-08-26 | M | A | 53,129 | $87.79 | 67,055 | D By LLC | — | — | |
| 5 | Derivative | Employee Stock Option (right to buy) | 2021-08-26 | M | D | 53,129 | $0.00 | 0 | D | $87.79 · — to 2026-02-01 | 53,129 Common Stock | (F5) Fully vested. |