Form 4 for AMP Ameriprise Financial
Accepted 2024-01-30 00:00:00 ET · period of report 2024-01-26 · accession 0001415889-24-002013 · 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 | 2024-01-30 | 2024-01-26+ | AMP | TRUSCOTT WILLIAM F | CEO, Gbl ASSET MANAGEMENT | F - Tax | $391.90 | -22.3K | 12.2K | -65% | -$8.72M |
| DI | 2024-01-30 | 2024-01-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl ASSET MANAGEMENT | S - Sale+OE | $390.22 | -9,689 | 12.1K | -44% | -$3.78M |
| D | 2024-01-30 | 2024-01-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl ASSET MANAGEMENT | M - OptEx | $179.84 | +31.0K | 44.1K | +235% | +$5.57M |
| D | 2024-01-30 | 2024-01-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl ASSET MANAGEMENT | A - Grant | $0.00 | +2,500 | 13.2K | +23% | $0 |
| D | 2024-01-30 | 2024-01-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl ASSET MANAGEMENT | A - Grant | $0.00 | +7,386 | 7,386 | New | $0 |
| D | 2024-01-30 | 2024-01-26 | AMP | TRUSCOTT WILLIAM F | CEO, Gbl ASSET MANAGEMENT | M - OptEx | $0.00 | -31.0K | 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 | 2024-01-28 | F | D | 521 | $391.40 | 11,024 | D | — | — | (F1) 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. |
| 2 | Common | Common Stock | 2024-01-26 | F | D | 21,269 | $391.92 | 13,175 | D | — | — | (F1) 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 | 2024-01-27 | F | D | 469 | $391.40 | 12,156 | D | — | — | (F1) 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 | 2024-01-26 | S | D | 9,689 | $390.22 | 12,126 | I By LLC | — | — | (F2) Reflects the weighted average price of 9,689 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 26, 2024, with sale prices ranging from $389.93 to $390.4841 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. (F1) 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. |
| 5 | Common | Common Stock | 2024-01-26 | M | A | 30,958 | $179.84 | 44,133 | D | — | — | |
| 6 | Common | Common Stock | 2024-01-26 | A | A | 2,500 | $0.00 | 13,175 | D | — | — | |
| 7 | Derivative | Employee Stock Option (right to buy) | 2024-01-26 | A | A | 7,386 | $0.00 | 7,386 | D | $391.40 · — to 2034-01-27 | 7,386 Common Stock | (F5) 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 26, 2024. |
| 8 | Derivative | Employee Stock Option (right to buy) | 2024-01-26 | M | D | 30,958 | $0.00 | 0 | D | $179.84 · — to 2028-01-26 | 30,958 Common Stock | (F4) Fully vested. |