Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Brockman Dawn M.
SVP AND CONTROLLER·Direct
Exercise · Dispose
Phantom StockDerivative
Shares-26.04
Price-
Total Value$0
Shares Owned After275.6
Transaction DateJul 9, 2026
Footnotes ▸
Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. | Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. | 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. | 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.
Brockman Dawn M.
SVP AND CONTROLLER·Direct
Tax W/H · Dispose
Common Stock
Shares-9.04
Price$500.16
Total Value$4.5K
Shares Owned After1.19K
Transaction DateJul 9, 2026
Brockman Dawn M.
SVP AND CONTROLLER·Indirect · By 401(k) Plan
Common Stock
Shares0
Price-
Total Value$0
Shares Owned After146.46
Footnotes ▸
Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of July 9, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
Post-Transaction Holdings
Brockman Dawn M.
Security
Shares
Change
Common Stock
1.34K
+17 (1.28%)
Phantom Stock
275.6
-26.04 (-8.63%)
Original SEC Filing Textexpand_more
=== SEC Form 4 — Statement of Changes in Beneficial Ownership ===
Document Type: 4
Period of Report: 2026-07-09
10b5-1 Pre-arranged Plan: No
--- Issuer ---
Name: AMERIPRISE FINANCIAL INC (AMP)
CIK: 0000820027
--- Reporting Owner ---
Name: Brockman Dawn M.
CIK: 0001937010
Role: Officer (SVP AND CONTROLLER)
--- Non-Derivative Transactions ---
[Transaction #1]
Security: Common Stock
Date: 2026-07-09 | Code: M (Exercise of derivative)
Shares: +26.0401
Shares Owned After: 1,194.0401 | Ownership: D (Direct)
Footnotes:
[F1] Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
[Transaction #2]
Security: Common Stock
Date: 2026-07-09 | Code: F (Payment of exercise/tax)
Shares: -9.0401 | Price: $500.16
Total Value: $4,521.50
Shares Owned After: 1,185 | Ownership: D (Direct)
--- Derivative Transactions ---
[Transaction #1]
Security: Phantom Stock
Date: 2026-07-09 | Code: M (Exercise of derivative)
Shares: -26.0401
Shares Owned After: 275.6013 | Ownership: D (Direct)
Footnotes:
[F1] Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
[F1] Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
[F3] 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.
[F3] 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.
--- Holdings ---
[Holding #1]
Security: Common Stock
Ownership: I (Indirect)
Footnotes:
[F2] Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of July 9, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
--- Footnotes (Complete Index) ---
F1: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
F2: Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of July 9, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
F3: 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.
--- Signature ---
/s/ /s/ Wendy B. Mahling for Dawn M. Brockman (2026-07-13)
