Form 4 for AMP Ameriprise Financial
Accepted 2023-01-31 00:00:00 ET · period of report 2023-01-27 · accession 0001415889-23-001691 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-01-31 | 2023-01-27 | AMP | Sweeney Joseph Edward | Pres-AWM PRODUCTS, SERVICES | S - Sale+OE | $348.79 | -5,863 | 10.5K | -36% | -$2.04M |
| D | 2023-01-31 | 2023-01-27 | AMP | Sweeney Joseph Edward | Pres-AWM PRODUCTS, SERVICES | M - OptEx | $123.37 | +16.9K | 27.4K | +162% | +$2.09M |
| DM | 2023-01-31 | 2023-01-27+ | AMP | Sweeney Joseph Edward | Pres-AWM PRODUCTS, SERVICES | F - Tax | $348.44 | -11.9K | 12.1K | -50% | -$4.15M |
| D | 2023-01-31 | 2023-01-27 | AMP | Sweeney Joseph Edward | Pres-AWM PRODUCTS, SERVICES | A - Grant | $0.00 | +1,959 | 12.4K | +19% | $0 |
| D | 2023-01-31 | 2023-01-27 | AMP | Sweeney Joseph Edward | Pres-AWM PRODUCTS, SERVICES | M - OptEx | $0.00 | -16.9K | 0 | -100% | $0 |
| D | 2023-01-31 | 2023-01-27 | AMP | Sweeney Joseph Edward | Pres-AWM PRODUCTS, SERVICES | A - Grant | $0.00 | +5,758 | 5,758 | New | $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 | 2023-01-27 | S | D | 5,863 | $348.79 | 10,456 | D | — | — | (F1) Reflects the weighted average price of 5,863 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 27, 2023 with sale prices ranging from $348.38 to $349.00 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. |
| 2 | Common | Common Stock | 2023-01-27 | M | A | 16,938 | $123.37 | 27,394 | D | — | — | |
| 3 | Common | Common Stock | 2023-01-27 | F | D | 11,075 | $348.74 | 16,319 | D | — | — | |
| 4 | Common | Common Stock | 2023-01-29 | F | D | 516 | $344.45 | 11,584 | D | — | — | |
| 5 | Common | Common Stock | 2023-01-27 | A | A | 1,959 | $0.00 | 12,415 | D | — | — | |
| 6 | Common | Common Stock | 2023-01-28 | F | D | 315 | $344.45 | 12,100 | D | — | — | |
| 7 | Derivative | Employee Stock Option (right to buy) | 2023-01-27 | M | D | 16,938 | $0.00 | 0 | D | $123.37 · — to 2027-02-06 | 16,938 Common Stock | (F3) Fully vested. |
| 8 | Derivative | Employee Stock Option (right to buy) | 2023-01-27 | A | A | 5,758 | $0.00 | 5,758 | D | $344.45 · — to 2033-01-28 | 5,758 Common Stock | (F4) One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 27, 2023. |