Form 4 for AMP Ameriprise Financial
Accepted 2021-11-01 00:00:00 ET · period of report 2021-10-28 · accession 0001179110-21-009734 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-01 | 2021-10-28 | AMP | Berman Walter Stanley | CFO, Executive VP | M - OptEx | $125.27 | +58.2K | 73.6K | +380% | +$7.29M |
| D | 2021-11-01 | 2021-10-28 | AMP | Berman Walter Stanley | CFO, Executive VP | F - Tax | $302.46 | -42.2K | 31.3K | -57% | -$12.78M |
| D | 2021-11-01 | 2021-10-28 | AMP | Berman Walter Stanley | CFO, Executive VP | S - Sale+OE | $302.37 | -16.0K | 15.3K | -51% | -$4.83M |
| DM | 2021-11-01 | 2021-10-28 | AMP | Berman Walter Stanley | CFO, Executive VP | M - OptEx | $0.00 | -58.2K | 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 | 2021-10-28 | M | A | 20,506 | $128.76 | 35,849 | D | — | — | |
| 2 | Common | Common Stock | 2021-10-28 | M | A | 37,723 | $123.37 | 73,572 | D | — | — | |
| 3 | Common | Common Stock | 2021-10-28 | F | D | 42,243 | $302.46 | 31,329 | D | — | — | |
| 4 | Common | Common Stock | 2021-10-28 | S | D | 15,986 | $302.37 | 15,343 | D | — | — | (F1) Reflects the weighted average price of 15,986 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on October 28, 2021 with sale prices ranging from $302.04 to $302.59 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. |
| 5 | Derivative | Employee Stock Options (right to buy) | 2021-10-28 | M | D | 37,723 | $0.00 | 0 | D | $123.37 · — to 2027-02-06 | 37,723 Common Stock | (F3) Fully vested. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2021-10-28 | M | D | 20,506 | $0.00 | 0 | D | $128.76 · — to 2025-02-02 | 20,506 Common Stock | (F3) Fully vested. |