Form 4 for AMP Ameriprise Financial
Accepted 2024-02-13 00:00:00 ET · period of report 2024-02-09 · accession 0001415889-24-003649 · 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 | 2024-02-13 | 2024-02-12 | AMP | CRACCHIOLO JAMES M | COB AND CEO, Dir | M - OptEx | $179.84 | +39.8K | 228.2K | +21% | +$7.16M |
| DM | 2024-02-13 | 2024-02-12 | AMP | CRACCHIOLO JAMES M | COB AND CEO, Dir | S - Sale+OE | $401.12 | -2,493 | 197.4K | -1% | -$1000.0K |
| D | 2024-02-13 | 2024-02-12 | AMP | CRACCHIOLO JAMES M | COB AND CEO, Dir | F - Tax | $402.09 | -29.1K | 199.1K | -13% | -$11.69M |
| D | 2024-02-13 | 2024-02-09 | AMP | CRACCHIOLO JAMES M | COB AND CEO, Dir | A - Grant | $396.94 | +1,055 | 102.2K | +1% | +$418.8K |
| D | 2024-02-13 | 2024-02-12 | AMP | CRACCHIOLO JAMES M | COB AND CEO, Dir | M - OptEx | $0.00 | -39.8K | 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 | 2024-02-12 | M | A | 39,834 | $179.84 | 228,170 | D | — | — | |
| 2 | Common | Common Stock | 2024-02-12 | S | D | 849 | $401.58 | 196,598 | D | — | — | (F2) Reflects the weighted average price of 849 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 12, 2024 with sale prices ranging from $401.53 to $401.67 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. |
| 3 | Common | Common Stock | 2024-02-12 | S | D | 1,644 | $400.88 | 197,447 | D | — | — | (F1) Reflects the weighted average price of 1,644 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 12, 2024 with sale prices ranging from $400.46 to $401.29 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. |
| 4 | Common | Common Stock | 2024-02-12 | F | D | 29,079 | $402.09 | 199,091 | D | — | — | |
| 5 | Derivative | Phantom Stock | 2024-02-09 | A | A | 1,054.95 | $396.94 | 102,208.31 | D | — · — to — | 1,054.95 Common Stock | (F4) Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. (F5) Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2024-02-12 | M | D | 39,834 | $0.00 | 0 | D | $179.84 · — to 2028-01-26 | 39,834 Common Stock | (F6) Fully vested. |