Last 12 months
Inside the activity.
0 purchase rows · 25 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 1 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 11 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 2 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 9 |
| Aug 2026 | 0 | 2 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 10, 2023 Filed Feb 14, 2023 23:54 UTC |
Alvero GumerPRESIDENT-INSURANCE&ANNUITIES
|
GrantPhantom Stock · Derivative | 107.2255 | $349.73 | $37,499.97 |
DisclosureSEC source: 0001415889-23-002553 · form4-02142023_110226.xml · derivative · entry 1 Alvero Gumer · CIK 0001915877 · PRESIDENT-INSURANCE&ANNUITIES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,271.7344 Underlying: Common Stock · 107.2255 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 23:52 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
GrantPhantom Stock · Derivative | 278.7865 | $349.73 | $97,500.00 |
DisclosureSEC source: 0001415889-23-002550 · form4-02142023_110224.xml · derivative · entry 1 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,268.3303 Underlying: Common Stock · 278.7865 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 23:53 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
GrantPhantom Stock · Derivative | 57.187 | $349.73 | $20,000.01 |
DisclosureSEC source: 0001415889-23-002551 · form4-02142023_110208.xml · derivative · entry 1 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238.3738 Underlying: Common Stock · 57.187 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 23:51 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
GrantPhantom Stock · Derivative | 373.145 | $349.73 | $130,500.00 |
DisclosureSEC source: 0001415889-23-002549 · form4-02142023_110220.xml · derivative · entry 4 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,999.1388 Underlying: Common Stock · 373.145 shares Expires not disclosed F3 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 23:49 UTC |
Brockman Dawn M.SVP AND CONTROLLER
|
GrantPhantom Stock · Derivative | 33.4543 | $349.73 | $11,699.97 |
DisclosureSEC source: 0001415889-23-002547 · form4-02142023_110212.xml · derivative · entry 1 Brockman Dawn M. · CIK 0001937010 · SVP AND CONTROLLER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257.5255 Underlying: Common Stock · 33.4543 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 23:50 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
GrantPhantom Stock · Derivative | 177.2796 | $349.73 | $61,999.99 |
DisclosureSEC source: 0001415889-23-002548 · form4-02142023_110215.xml · derivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 984.4897 Underlying: Common Stock · 177.2796 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: 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. F2 · derivative.expiration_date: 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. Read SEC document |
| February 09, 2023 Filed Feb 13, 2023 21:15 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,086 | $0.00 Strike: $179.84 | $0.00 |
DisclosureSEC source: 0001415889-23-002337 · form4-02132023_090231.xml · derivative · entry 4 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,086 shares Expires 2028-01-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Fully vested. Read SEC document |
| February 09, 2023 Filed Feb 13, 2023 21:15 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
SaleCommon Stock | 769 | $352.87 | $271,357.49 |
DisclosureSEC source: 0001415889-23-002337 · form4-02132023_090231.xml · nonDerivative · entry 3 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,033 F1 · price: Reflects the weighted average price of 769 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 9, 2023 with sale prices ranging from $352.7357 to $353.125 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. Read SEC document |
| February 09, 2023 Filed Feb 13, 2023 21:15 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Tax withholdingCommon Stock | 717 | $352.39 | $252,663.63 |
DisclosureSEC source: 0001415889-23-002337 · form4-02132023_090231.xml · nonDerivative · entry 2 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,802 Read SEC document |
| February 09, 2023 Filed Feb 13, 2023 21:15 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Exercise / conversionCommon Stock | 1,086 | $179.84 | $195,306.24 |
DisclosureSEC source: 0001415889-23-002337 · form4-02132023_090231.xml · nonDerivative · entry 1 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,519 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 22:13 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
SaleCommon Stock | 17,000 | $352.80 | $5,997,615.30 |
DisclosureSEC source: 0001415889-23-002226 · form4-02092023_100232.xml · nonDerivative · entry 3 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,103 F3 · price: Reflects the weighted average price of 17,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 7, 2023 with sale prices ranging from $352.6741 to $353.2693 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. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 22:13 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
SaleCommon Stock | 15,600 | $351.95 | $5,490,429.36 |
DisclosureSEC source: 0001415889-23-002226 · form4-02092023_100232.xml · nonDerivative · entry 2 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,103 F2 · price: Reflects the weighted average price of 15,600 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 7, 2023 with sale prices ranging from $351.4529 to $352.3081 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. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 22:13 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
SaleCommon Stock | 6,743 | $350.54 | $2,363,666.95 |
DisclosureSEC source: 0001415889-23-002226 · form4-02092023_100232.xml · nonDerivative · entry 1 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,703 F1 · price: Reflects the weighted average price of 6,743 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 7, 2023 with sale prices ranging from $350.3326 to $350.6896 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. Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:10 UTC |
Davies WilliamEXECUTIVE VP, GLOBAL CIO
|
Tax withholdingCommon Stock | 593.25 | $350.12 | $207,708.69 |
DisclosureSEC source: 0001415889-23-001853 · form4-02032023_120233.xml · nonDerivative · entry 1 Davies William · CIK 0001910206 · EXECUTIVE VP, GLOBAL CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,456.33 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:10 UTC |
Brockman Dawn M.SVP AND CONTROLLER
|
Tax withholdingCommon Stock | 21 | $350.12 | $7,352.52 |
DisclosureSEC source: 0001415889-23-001852 · form4-02032023_120255.xml · nonDerivative · entry 1 Brockman Dawn M. · CIK 0001937010 · SVP AND CONTROLLER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 976 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:09 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Tax withholdingCommon Stock | 80 | $350.12 | $28,009.60 |
DisclosureSEC source: 0001415889-23-001851 · form4-02032023_120212.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,055 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:08 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Tax withholdingCommon Stock | 32 | $350.12 | $11,203.84 |
DisclosureSEC source: 0001415889-23-001850 · form4-02032023_120231.xml · nonDerivative · entry 1 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,433 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:07 UTC |
Alvero GumerPRESIDENT-INSURANCE&ANNUITIES
|
Tax withholdingCommon Stock | 69 | $350.12 | $24,158.28 |
DisclosureSEC source: 0001415889-23-001849 · form4-02032023_120215.xml · nonDerivative · entry 1 Alvero Gumer · CIK 0001915877 · PRESIDENT-INSURANCE&ANNUITIES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,925 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:06 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
Tax withholdingCommon Stock | 7,050 | $350.12 | $2,468,346.00 |
DisclosureSEC source: 0001415889-23-001848 · form4-02032023_120227.xml · nonDerivative · entry 2 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,345 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:06 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
GrantCommon Stock | 12,811 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001848 · form4-02032023_120227.xml · nonDerivative · entry 1 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,395 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:05 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
Tax withholdingCommon Stock | 35,004 | $350.12 | $12,255,600.48 |
DisclosureSEC source: 0001415889-23-001846 · form4-02032023_120255.xml · nonDerivative · entry 2 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,446 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:05 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
GrantCommon Stock | 61,890 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001846 · form4-02032023_120255.xml · nonDerivative · entry 1 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,450 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:06 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
Tax withholdingCommon Stock | 14,555 | $350.12 | $5,095,996.60 |
DisclosureSEC source: 0001415889-23-001847 · form4-02032023_120251.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,360 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:06 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
GrantCommon Stock | 25,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001847 · form4-02032023_120251.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,915 Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:04 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Tax withholdingCommon Stock | 10,039 | $350.12 | $3,514,854.68 |
DisclosureSEC source: 0001415889-23-001845 · form4-02032023_120218.xml · nonDerivative · entry 2 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,675 F1 · balance_after: The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting and/or exercise to the reporting person's indirect LLC holdings. Read SEC document |
| January 31, 2023 Filed Feb 3, 2023 00:04 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
GrantCommon Stock | 20,629 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001845 · form4-02032023_120218.xml · nonDerivative · entry 1 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,304 Read SEC document |
| January 30, 2023 Filed Feb 1, 2023 21:39 UTC |
WILLIAMS CHRISTOPHER JDirector
|
GrantPhantom Stock (Retainer Deferral) · Derivative | 119.2116 | $343.46 | $40,944.42 |
DisclosureSEC source: 0001415889-23-001735 · form4-02012023_090225.xml · derivative · entry 1 WILLIAMS CHRISTOPHER J · CIK 0001269949 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,802.608 Underlying: Common Stock · 119.2116 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors. F2 · derivative.expiration_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors. Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 00:58 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
Tax withholdingCommon Stock | 845 | $344.45 | $291,060.25 |
DisclosureSEC source: 0001415889-23-001692 · form4-02012023_120253.xml · nonDerivative · entry 3 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,975 Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Tax withholdingCommon Stock | 732 | $344.45 | $252,137.40 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · nonDerivative · entry 6 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,675 F1 · balance_after: 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. Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 01:00 UTC |
Alvero GumerPRESIDENT-INSURANCE&ANNUITIES
|
Tax withholdingCommon Stock | 63 | $344.45 | $21,700.35 |
DisclosureSEC source: 0001415889-23-001694 · form4-02012023_120251.xml · nonDerivative · entry 3 Alvero Gumer · CIK 0001915877 · PRESIDENT-INSURANCE&ANNUITIES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,994 Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 00:59 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
Tax withholdingCommon Stock | 2,885 | $344.45 | $993,738.25 |
DisclosureSEC source: 0001415889-23-001693 · form4-02012023_120211.xml · nonDerivative · entry 3 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,560 Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
Tax withholdingCommon Stock | 516 | $344.45 | $177,736.20 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · nonDerivative · entry 6 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,584 Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 00:55 UTC |
Brockman Dawn M.SVP AND CONTROLLER
|
Tax withholdingCommon Stock | 32 | $344.45 | $11,022.40 |
DisclosureSEC source: 0001415889-23-001690 · form4-02012023_120207.xml · nonDerivative · entry 3 Brockman Dawn M. · CIK 0001937010 · SVP AND CONTROLLER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 997 Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 00:54 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Tax withholdingCommon Stock | 43 | $344.45 | $14,811.35 |
DisclosureSEC source: 0001415889-23-001689 · form4-02012023_120209.xml · nonDerivative · entry 3 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,465 Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 00:46 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Tax withholdingCommon Stock | 70 | $344.45 | $24,111.50 |
DisclosureSEC source: 0001415889-23-001688 · form4-02012023_120238.xml · nonDerivative · entry 3 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,135 Read SEC document |
| January 29, 2023 Filed Feb 1, 2023 00:42 UTC |
Davies WilliamEXECUTIVE VP, GLOBAL CIO
|
Tax withholdingCommon Stock | 537 | $344.45 | $184,969.65 |
DisclosureSEC source: 0001415889-23-001687 · form4-02012023_120238.xml · nonDerivative · entry 3 Davies William · CIK 0001910206 · EXECUTIVE VP, GLOBAL CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,049.58 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 00:58 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
Tax withholdingCommon Stock | 458 | $344.45 | $157,758.10 |
DisclosureSEC source: 0001415889-23-001692 · form4-02012023_120253.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,820 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Tax withholdingCommon Stock | 476 | $344.45 | $163,958.20 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · nonDerivative · entry 5 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,416 F1 · balance_after: 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. Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 01:00 UTC |
Alvero GumerPRESIDENT-INSURANCE&ANNUITIES
|
Tax withholdingCommon Stock | 51 | $344.45 | $17,566.95 |
DisclosureSEC source: 0001415889-23-001694 · form4-02012023_120251.xml · nonDerivative · entry 2 Alvero Gumer · CIK 0001915877 · PRESIDENT-INSURANCE&ANNUITIES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,057 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 00:59 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
Tax withholdingCommon Stock | 1,622 | $344.45 | $558,697.90 |
DisclosureSEC source: 0001415889-23-001693 · form4-02012023_120211.xml · nonDerivative · entry 2 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,445 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
Tax withholdingCommon Stock | 315 | $344.45 | $108,501.75 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · nonDerivative · entry 5 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,100 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 00:55 UTC |
Brockman Dawn M.SVP AND CONTROLLER
|
Tax withholdingCommon Stock | 21 | $344.45 | $7,233.45 |
DisclosureSEC source: 0001415889-23-001690 · form4-02012023_120207.xml · nonDerivative · entry 2 Brockman Dawn M. · CIK 0001937010 · SVP AND CONTROLLER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,029 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 00:54 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Tax withholdingCommon Stock | 32 | $344.45 | $11,022.40 |
DisclosureSEC source: 0001415889-23-001689 · form4-02012023_120209.xml · nonDerivative · entry 2 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,508 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 00:46 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Tax withholdingCommon Stock | 86 | $344.45 | $29,622.70 |
DisclosureSEC source: 0001415889-23-001688 · form4-02012023_120238.xml · nonDerivative · entry 2 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,205 Read SEC document |
| January 28, 2023 Filed Feb 1, 2023 00:42 UTC |
Davies WilliamEXECUTIVE VP, GLOBAL CIO
|
Tax withholdingCommon Stock | 435 | $344.45 | $149,835.75 |
DisclosureSEC source: 0001415889-23-001687 · form4-02012023_120238.xml · nonDerivative · entry 2 Davies William · CIK 0001910206 · EXECUTIVE VP, GLOBAL CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,586.58 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:58 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
GrantEmployee Stock Option (right to buy) · Derivative | 10,364 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001692 · form4-02012023_120253.xml · derivative · entry 5 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,364 Underlying: Common Stock · 10,364 shares Expires 2033-01-28 F2 · derivative.exercise_date: 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. Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:58 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
GrantCommon Stock | 3,527 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001692 · form4-02012023_120253.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,278 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
GrantEmployee Stock Option (right to buy) · Derivative | 8,982 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · derivative · entry 9 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,982 Underlying: Common Stock · 8,982 shares Expires 2033-01-28 F5 · derivative.exercise_date: 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. Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 30,841 | $0.00 Strike: $123.37 | $0.00 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · derivative · entry 8 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,841 shares Expires 2027-02-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: Fully vested. Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
GrantCommon Stock | 3,057 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · nonDerivative · entry 4 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,548 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.