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 |
|---|---|---|---|---|---|---|
| January 27, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
SaleCommon Stock | 11,483 | $347.69 | $3,992,487.52 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · nonDerivative · entry 3 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 16,262 F2 · price: Reflects the weighted average price of 11,483 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 $347.2426 to $348.2063 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 · 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 27, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Tax withholdingCommon Stock | 19,358 | $347.36 | $6,724,194.88 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · nonDerivative · entry 2 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,491 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 27, 2023 Filed Feb 1, 2023 01:00 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Exercise / conversionCommon Stock | 30,841 | $123.37 | $3,804,854.17 |
DisclosureSEC source: 0001415889-23-001695 · form4-02012023_010234.xml · nonDerivative · entry 1 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,332 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 |
| January 27, 2023 Filed Feb 1, 2023 01:00 UTC |
Alvero GumerPRESIDENT-INSURANCE&ANNUITIES
|
GrantEmployee Stock Option (right to buy) · Derivative | 1,151 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001694 · form4-02012023_120251.xml · derivative · entry 5 Alvero Gumer · CIK 0001915877 · PRESIDENT-INSURANCE&ANNUITIES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,151 Underlying: Common Stock · 1,151 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 01:00 UTC |
Alvero GumerPRESIDENT-INSURANCE&ANNUITIES
|
GrantCommon Stock | 391 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001694 · form4-02012023_120251.xml · nonDerivative · entry 1 Alvero Gumer · CIK 0001915877 · PRESIDENT-INSURANCE&ANNUITIES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,108 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:59 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
GrantEmployee Stock Option (right to buy) · Derivative | 33,648 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001693 · form4-02012023_120211.xml · derivative · entry 5 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,648 Underlying: Common Stock · 33,648 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 00:59 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
GrantCommon Stock | 13,470 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001693 · form4-02012023_120211.xml · nonDerivative · entry 1 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,067 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
GrantEmployee Stock Option (right to buy) · Derivative | 5,758 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · derivative · entry 9 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,758 Underlying: Common Stock · 5,758 shares Expires 2033-01-28 F4 · 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 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 16,938 | $0.00 Strike: $123.37 | $0.00 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · derivative · entry 8 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,938 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. F3 · derivative.exercise_date: Fully vested. Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
GrantCommon Stock | 1,959 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · nonDerivative · entry 4 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,415 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
SaleCommon Stock | 5,863 | $348.79 | $2,044,956.36 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · nonDerivative · entry 3 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,456 F1 · price: 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. Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
Tax withholdingCommon Stock | 11,075 | $348.74 | $3,862,295.50 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · nonDerivative · entry 2 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,319 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:56 UTC |
Sweeney Joseph EdwardPRES-AWM PRODUCTS & SERVICES
|
Exercise / conversionCommon Stock | 16,938 | $123.37 | $2,089,641.06 |
DisclosureSEC source: 0001415889-23-001691 · form4-02012023_120233.xml · nonDerivative · entry 1 Sweeney Joseph Edward · CIK 0001335749 · PRES-AWM PRODUCTS & SERVICES 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,394 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 |
| January 27, 2023 Filed Feb 1, 2023 00:55 UTC |
Brockman Dawn M.SVP AND CONTROLLER
|
GrantEmployee Stock Option (right to buy) · Derivative | 301 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001690 · form4-02012023_120207.xml · derivative · entry 5 Brockman Dawn M. · CIK 0001937010 · SVP AND CONTROLLER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301 Underlying: Common Stock · 301 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 00:55 UTC |
Brockman Dawn M.SVP AND CONTROLLER
|
GrantCommon Stock | 175 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001690 · form4-02012023_120207.xml · nonDerivative · entry 1 Brockman Dawn M. · CIK 0001937010 · SVP AND CONTROLLER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,050 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:54 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
GrantEmployee Stock Option (right to buy) · Derivative | 1,036 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001689 · form4-02012023_120209.xml · derivative · entry 4 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,036 Underlying: Common Stock · 1,036 shares Expires 2033-01-28 F1 · 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 00:54 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
GrantCommon Stock | 352 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001689 · form4-02012023_120209.xml · nonDerivative · entry 1 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,540 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:46 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
GrantEmployee Stock Option (right to buy) · Derivative | 2,994 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-23-001688 · form4-02012023_120238.xml · derivative · entry 4 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,994 Underlying: Common Stock · 2,994 shares Expires 2033-01-28 F1 · 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 00:46 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
GrantCommon Stock | 1,019 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001688 · form4-02012023_120238.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,291 Read SEC document |
| January 27, 2023 Filed Feb 1, 2023 00:42 UTC |
Davies WilliamEXECUTIVE VP, GLOBAL CIO
|
GrantCommon Stock | 2,766 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-23-001687 · form4-02012023_120238.xml · nonDerivative · entry 1 Davies William · CIK 0001910206 · EXECUTIVE VP, GLOBAL CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,021.58 Read SEC document |
| January 27, 2023 Filed Jan 31, 2024 02:42 UTC |
Davies WilliamEXECUTIVE VP, GLOBAL CIO
|
GrantEmployee Stock Option (right to buy) · Derivative | 2,064 | $0.00 Strike: $344.45 | $0.00 |
DisclosureSEC source: 0001415889-24-002025 · form4-01312024_020110.xml · derivative · entry 4 Davies William · CIK 0001910206 · EXECUTIVE VP, GLOBAL CIO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,064 Underlying: Common Stock · 2,064 shares Expires 2033-01-28 F1 · shares: Of the 2,766 shares reported as acquired on Table I in a Form 4 filed on January 31, 2023, 2,064 of the shares were actually granted as stock options. This Form 4 reflects the correct reporting of that total award amount. 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 |
| December 27, 2022 Filed Dec 29, 2022 22:01 UTC |
Brockman Dawn M.INTERIM CONTROLLER AND PAO
|
SaleCommon Stock | 410 | $310.63 | $127,358.30 |
DisclosureSEC source: 0001415889-22-013067 · form4-12292022_101258.xml · nonDerivative · entry 1 Brockman Dawn M. · CIK 0001937010 · INTERIM CONTROLLER AND PAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 875 Read SEC document |
| November 23, 2022 Filed Nov 28, 2022 22:09 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,541 | $0.00 Strike: $126.89 | $0.00 |
DisclosureSEC source: 0001415889-22-011796 · form4-11282022_101119.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 · 1,541 shares Expires 2029-02-01 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 |
| November 23, 2022 Filed Nov 28, 2022 22:09 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
SaleCommon Stock | 165 | $332.63 | $54,883.90 |
DisclosureSEC source: 0001415889-22-011796 · form4-11282022_101119.xml · nonDerivative · entry 3 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,188 F1 · price: Reflects the weighted average price of 165 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 23, 2022 with sale prices ranging from $332.6277 to $332.6360 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 |
| November 23, 2022 Filed Nov 28, 2022 22:09 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Tax withholdingCommon Stock | 880 | $332.54 | $292,635.20 |
DisclosureSEC source: 0001415889-22-011796 · form4-11282022_101119.xml · nonDerivative · entry 2 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,353 Read SEC document |
| November 23, 2022 Filed Nov 28, 2022 22:09 UTC |
MELLOH HEATHER J.EVP AND GENERAL COUNSEL
|
Exercise / conversionCommon Stock | 1,541 | $126.89 | $195,537.49 |
DisclosureSEC source: 0001415889-22-011796 · form4-11282022_101119.xml · nonDerivative · entry 1 MELLOH HEATHER J. · CIK 0001935239 · EVP AND GENERAL COUNSEL 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,233 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 |
| November 23, 2022 Filed Nov 28, 2022 22:03 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 43,135 | $0.00 Strike: $126.89 | $0.00 |
DisclosureSEC source: 0001415889-22-011795 · form4-11282022_101141.xml · derivative · entry 5 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 43,135 shares Expires 2029-02-01 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. F3 · derivative.exercise_date: Fully vested. Read SEC document |
| November 23, 2022 Filed Nov 28, 2022 22:03 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
SaleCommon Stock | 13,050 | $333.02 | $4,345,967.12 |
DisclosureSEC source: 0001415889-22-011795 · form4-11282022_101141.xml · nonDerivative · entry 3 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,597 F1 · price: Reflects the weighted average price of 13,050 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 23, 2022 with sale prices ranging from $332.5465 to $333.3479 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 |
| November 23, 2022 Filed Nov 28, 2022 22:03 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
Tax withholdingCommon Stock | 30,085 | $333.34 | $10,028,533.90 |
DisclosureSEC source: 0001415889-22-011795 · form4-11282022_101141.xml · nonDerivative · entry 2 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,647 Read SEC document |
| November 23, 2022 Filed Nov 28, 2022 22:03 UTC |
CRACCHIOLO JAMES MDirector · CHAIRMAN AND CEO
|
Exercise / conversionCommon Stock | 43,135 | $126.89 | $5,473,400.15 |
DisclosureSEC source: 0001415889-22-011795 · form4-11282022_101141.xml · nonDerivative · entry 1 CRACCHIOLO JAMES M · CIK 0001196484 · Director · CHAIRMAN AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,732 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 |
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,000 | $0.00 Strike: $126.89 | $0.00 |
DisclosureSEC source: 0001415889-22-011519 · form4-11172022_101123.xml · derivative · entry 7 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,433 Underlying: Common Stock · 2,000 shares Expires 2029-02-01 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. F3 · derivative.exercise_date: Fully vested. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,812 | $0.00 Strike: $123.37 | $0.00 |
DisclosureSEC source: 0001415889-22-011519 · form4-11172022_101123.xml · derivative · entry 6 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,812 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. F3 · derivative.exercise_date: Fully vested. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
SaleCommon Stock | 2,189 | $327.01 | $715,816.13 |
DisclosureSEC source: 0001415889-22-011519 · form4-11172022_101123.xml · nonDerivative · entry 5 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,272 F2 · price: Reflects the weighted average price of 2,189 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $326.95 to $327.092 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 |
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
SaleCommon Stock | 1,940 | $322.02 | $624,717.83 |
DisclosureSEC source: 0001415889-22-011519 · form4-11172022_101123.xml · nonDerivative · entry 4 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,461 F1 · price: Reflects the weighted average price of 1,940 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $321.89 to $322.12 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 |
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Tax withholdingCommon Stock | 3,872 | $322.71 | $1,249,533.12 |
DisclosureSEC source: 0001415889-22-011519 · form4-11172022_101123.xml · nonDerivative · entry 3 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,401 Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Exercise / conversionCommon Stock | 2,000 | $126.89 | $253,780.00 |
DisclosureSEC source: 0001415889-22-011519 · form4-11172022_101123.xml · nonDerivative · entry 2 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,273 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 |
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC |
Smyth Gerard P.EVP TECHNOLOGY AND CIO
|
Exercise / conversionCommon Stock | 3,812 | $123.37 | $470,286.44 |
DisclosureSEC source: 0001415889-22-011519 · form4-11172022_101123.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP TECHNOLOGY AND CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,273 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 |
| November 15, 2022 Filed Nov 17, 2022 22:20 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $126.89 | $0.00 |
DisclosureSEC source: 0001415889-22-011517 · form4-11172022_101125.xml · derivative · entry 6 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,025 Underlying: Common Stock · 40,000 shares Expires 2029-02-01 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 |
| November 15, 2022 Filed Nov 17, 2022 22:20 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
SaleCommon Stock | 3,283 | $328.29 | $1,077,768.85 |
DisclosureSEC source: 0001415889-22-011517 · form4-11172022_101125.xml · nonDerivative · entry 4 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,751 F2 · price: Reflects the weighted average price of 3,283 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $328.2855 to $328.2893 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 |
| November 15, 2022 Filed Nov 17, 2022 22:20 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
SaleCommon Stock | 8,700 | $327.64 | $2,850,424.50 |
DisclosureSEC source: 0001415889-22-011517 · form4-11172022_101125.xml · nonDerivative · entry 3 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,034 F1 · price: Reflects the weighted average price of 8,700 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $327.2381 to $328.0158 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 |
| November 15, 2022 Filed Nov 17, 2022 22:20 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
Tax withholdingCommon Stock | 28,017 | $327.06 | $9,163,099.94 |
DisclosureSEC source: 0001415889-22-011517 · form4-11172022_101125.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,734 Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 22:20 UTC |
Berman Walter StanleyEXECUTIVE VP AND CFO
|
Exercise / conversionCommon Stock | 40,000 | $126.89 | $5,075,600.00 |
DisclosureSEC source: 0001415889-22-011517 · form4-11172022_101125.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · EXECUTIVE VP AND CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,751 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 |
| November 15, 2022 Filed Nov 21, 2022 21:43 UTC |
Sharpe Robert Francis JRDirector
|
GiftCommon Stock | 300 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-011637 · form4-11212022_091152.xml · nonDerivative · entry 1 Sharpe Robert Francis JR · CIK 0001340573 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,700 F1 · shares: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc. Read SEC document |
| October 28, 2022 Filed Nov 1, 2022 22:30 UTC |
Pimentel Armando JrDirector
|
GrantPhantom Stock (Annual) · Derivative | 371.8557 | $312.17 | $116,082.19 |
DisclosureSEC source: 0001415889-22-010945 · form4-11012022_031147.xml · derivative · entry 1 Pimentel Armando Jr · CIK 0001427404 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 371.8557 Underlying: Common Stock · 371.8557 shares Expires not disclosed F1 · security: The grant is a pro rata annual equity grant made as a result of the reporting person becoming a director effective as of September 15, 2022. F2 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F3 · derivative.exercise_date: Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs. F3 · derivative.expiration_date: Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs. Read SEC document |
| October 28, 2022 Filed Nov 1, 2022 22:30 UTC |
WILLIAMS CHRISTOPHER JDirector
|
GrantPhantom Stock (Retainer Deferral) · Derivative | 124.1311 | $312.17 | $38,750.01 |
DisclosureSEC source: 0001415889-22-010944 · form4-11012022_031157.xml · derivative · entry 1 WILLIAMS CHRISTOPHER J · CIK 0001269949 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,673.2305 Underlying: Common Stock · 124.1311 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 |
| August 31, 2022 Filed Sep 22, 2022 20:04 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
GiftCommon Stock | 3,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-009860 · form4-09222022_010931.xml · nonDerivative · entry 1 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 14,597 F1 · shares: The reporting person made an in-kind charitable gift of shares of Ameriprise Financial, Inc. Read SEC document |
| August 26, 2022 Filed Aug 30, 2022 22:22 UTC |
Sharpe Robert Francis JRDirector
|
SaleCommon Stock | 1,000 | $277.01 | $277,007.20 |
DisclosureSEC source: 0001415889-22-009184 · form4-08302022_030837.xml · nonDerivative · entry 1 Sharpe Robert Francis JR · CIK 0001340573 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust for Family Member Disclosed balance after: 16,500 F1 · balance_after: Reflects shares indirectly held in trust that were inadvertently omitted from certain prior Form 4s and the transfer of shares from the Robert F. Sharpe, Sr. Revocable Trust. Read SEC document |
| July 27, 2022 Filed Jul 29, 2022 20:21 UTC |
WILLIAMS CHRISTOPHER JDirector
|
GrantPhantom Stock (Retainer Deferral) · Derivative | 151.0603 | $256.52 | $38,749.99 |
DisclosureSEC source: 0001415889-22-008042 · form4-07292022_010719.xml · derivative · entry 1 WILLIAMS CHRISTOPHER J · CIK 0001269949 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,537.9578 Underlying: Common Stock · 151.0603 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 |
| June 30, 2022 Filed Jul 5, 2022 23:41 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Exercise / conversionPhantom Stock · Derivative | 938.4999 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-22-007419 · form4-07052022_040752.xml · derivative · entry 5 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,612.7539 Underlying: Common Stock · 938.4999 shares Expires not disclosed 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. F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F1 · 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 |
| June 30, 2022 Filed Jul 5, 2022 23:41 UTC |
TRUSCOTT WILLIAM FCEO, GLOBAL ASSET MANAGEMENT
|
Tax withholdingCommon Stock | 404.4999 | $237.68 | $96,141.54 |
DisclosureSEC source: 0001415889-22-007419 · form4-07052022_040752.xml · nonDerivative · entry 2 TRUSCOTT WILLIAM F · CIK 0001282835 · CEO, GLOBAL ASSET MANAGEMENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,491 F2 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.