Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERIPRISE FINANCIAL INCAMP · Entity 3035 | EXECUTIVE VP AND CFO | July 28, 2026 | July 30, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AMERIPRISE FINANCIAL INC
Report date July 28, 2026 · Filed July 30, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,609 |
Ending reported balance
After 2026-07-28 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2026-07-28 · Exercise / conversion · Acquired 10,905 · Balance 16,514 Row 2 · 2026-07-28 · Exercise / conversion · Acquired 23,206 · Balance 39,720 Row 3 · 2026-07-28 · Tax withholding · Disposed 23,099 · Balance 16,621 Row 4 · 2026-07-28 · Sale · Disposed 10,590 · Balance 6,031 F1: Reflects the weighted average price of 10,590 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 28, 2026 with sale prices ranging from $548.5743 to $549.4306 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. Row 5 · 2026-07-28 · Sale · Disposed 422 · Balance 5,609 |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $165.41 · Expires 2030-01-31 | Direct | 0 |
Reported balance
After 2026-07-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-07-28 · Exercise / conversion · Disposed 10,905 · Balance 0 F3: Fully vested. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $197.87 · Expires 2031-01-29 | Direct | 0 |
Reported balance
After 2026-07-28 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-07-28 · Exercise / conversion · Disposed 23,206 · Balance 0 F3: Fully vested. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 366.81 |
Reported balance
Holding disclosure · report date 2026-07-28 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 366.81 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 28, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the weighted average price of 10,590 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 28, 2026 with sale prices ranging from $548.5743 to $549.4306 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.
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 28, 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: Fully vested.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 18, 2020 Filed Feb 19, 2020 22:02 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 54,910 | $107.61 | $5,908,865.10 |
DisclosureSEC source: 0001179110-20-001859 · edgar.xml · nonDerivative · entry 3 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,672 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 14, 2020 Filed Feb 19, 2020 22:02 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantPhanton Stock · Derivative | 738.4521 | $178.82 | $132,050.00 |
DisclosureSEC source: 0001179110-20-001859 · edgar.xml · derivative · entry 8 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,022.3102 Underlying: Common Stock · 738.4521 shares Expires not disclosed F4 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F5 · 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. F5 · 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 14, 2020 Filed Feb 19, 2020 22:02 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 10,671 | $178.82 | $1,908,188.22 |
DisclosureSEC source: 0001179110-20-001859 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,762 Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 22:02 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 20,912 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-001859 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,433 Read SEC document |
| February 06, 2020 Filed Feb 10, 2020 22:26 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 674 | $175.91 | $118,563.34 |
DisclosureSEC source: 0001179110-20-001391 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,521 Read SEC document |
| February 01, 2020 Filed Feb 4, 2020 21:48 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 1,358 | $165.41 | $224,626.78 |
DisclosureSEC source: 0001179110-20-001015 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,195 Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:48 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantEmployee Stock Option (right to buy) · Derivative | 35,905 | $0.00 Strike: $165.41 | $0.00 |
DisclosureSEC source: 0001179110-20-001015 · edgar.xml · derivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,905 Underlying: Common Stock · 35,905 shares Expires 2030-01-31 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 31, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 21:48 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 7,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-001015 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,553 Read SEC document |
| January 26, 2020 Filed Jan 28, 2020 23:02 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 829 | $167.57 | $138,915.53 |
DisclosureSEC source: 0001179110-20-000836 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,567 Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 23:06 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantPhantom Stock · Derivative | 1,101.5458 | $130.68 | $143,950.01 |
DisclosureSEC source: 0001179110-19-002178 · edgar.xml · derivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,599.1654 Underlying: Common Stock · 1,101.5458 shares Expires not disclosed 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: 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 · 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 15, 2019 Filed Feb 20, 2019 23:06 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 8,356 | $130.68 | $1,091,962.08 |
DisclosureSEC source: 0001179110-19-002178 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,396 Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 23:06 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 17,062 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-002178 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,752 Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:59 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 456 | $126.69 | $57,770.64 |
DisclosureSEC source: 0001179110-19-001666 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,690 Read SEC document |
| February 01, 2019 Filed Feb 5, 2019 22:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantEmployee Stock Option (right to buy) · Derivative | 50,025 | $0.00 Strike: $126.89 | $0.00 |
DisclosureSEC source: 0001179110-19-001361 · edgar.xml · derivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,025 Underlying: Common Stock · 50,025 shares Expires 2029-02-01 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 February 1, 2019. Read SEC document |
| February 01, 2019 Filed Feb 5, 2019 22:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 643 | $126.89 | $81,590.27 |
DisclosureSEC source: 0001179110-19-001361 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,146 Read SEC document |
| February 01, 2019 Filed Feb 5, 2019 22:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 11,340 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-001361 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,789 Read SEC document |
| January 26, 2019 Filed Jan 29, 2019 22:01 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 919 | $121.12 | $111,309.28 |
DisclosureSEC source: 0001179110-19-001040 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,449 Read SEC document |
| July 05, 2018 Filed Jul 9, 2018 22:11 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionPhantom Stock · Derivative | 547.7713 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-18-009571 · edgar.xml · derivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,926.9173 Underlying: Common Stock · 547.7713 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. F3 · 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. F3 · 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 |
| July 05, 2018 Filed Jul 9, 2018 22:11 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 255.7713 | $140.97 | $36,056.08 |
DisclosureSEC source: 0001179110-18-009571 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,368 Read SEC document |
| July 05, 2018 Filed Jul 9, 2018 22:11 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 547.7713 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-18-009571 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,623.7713 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 · price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Read SEC document |
| May 02, 2018 Filed May 3, 2018 21:32 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | PurchaseCommon Stock | 3,728 | $134.12 | $500,004.21 |
DisclosureSEC source: 0001179110-18-006177 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,076 F1 · price: Reflects the weighted average price of 3,728 shares of common stock of Ameriprise Financial, Inc. purchased by the reporting person in multiple transactions on May 2, 2018 with purchase prices ranging from $134.085 to $134.13 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 purchased at each separate price. Read SEC document |
| February 06, 2018 Filed Feb 8, 2018 22:14 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 673 | $160.56 | $108,056.88 |
DisclosureSEC source: 0001179110-18-001843 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,348 Read SEC document |
| February 02, 2018 Filed Feb 6, 2018 22:03 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantPhantom Stock · Derivative | 1,125.3731 | $167.50 | $188,499.99 |
DisclosureSEC source: 0001179110-18-001655 · edgar.xml · derivative · entry 5 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,982.8281 Underlying: Common Stock · 1,125.3731 shares Expires not disclosed 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: 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 · 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 02, 2018 Filed Feb 6, 2018 22:03 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 918 | $167.50 | $153,765.00 |
DisclosureSEC source: 0001179110-18-001655 · edgar.xml · nonDerivative · entry 3 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,021 Read SEC document |
| February 02, 2018 Filed Feb 6, 2018 22:03 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 5,416 | $167.50 | $907,180.00 |
DisclosureSEC source: 0001179110-18-001655 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,939 Read SEC document |
| February 02, 2018 Filed Feb 6, 2018 22:03 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 11,059 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-001655 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,355 Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 22:02 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 947 | $171.08 | $162,012.76 |
DisclosureSEC source: 0001179110-18-001547 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,296 Read SEC document |
| January 26, 2018 Filed Jan 30, 2018 21:22 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantEmployee Stock Option (right to buy) · Derivative | 40,382 | $0.00 Strike: $179.84 | $0.00 |
DisclosureSEC source: 0001179110-18-001251 · edgar.xml · derivative · entry 3 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,382 Underlying: Common Stock · 40,382 shares Expires 2028-01-26 F3 · 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 26, 2018. Read SEC document |
| January 26, 2018 Filed Jan 30, 2018 21:22 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 7,862 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-001251 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,243 F1 · shares: Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on January 26, 2019, January 26, 2020, and January 26, 2021. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 20:44 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | SaleCommon Stock | 4,417 | $147.14 | $649,921.80 |
DisclosureSEC source: 0001179110-17-011456 · edgar.xml · nonDerivative · entry 3 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,381 F3 · price: Reflects the weighted average price of 4,417 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 10, 2017 with sale prices ranging from $147.06 to $147.30 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 |
| August 10, 2017 Filed Aug 14, 2017 20:44 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | SaleCommon Stock | 15,900 | $146.12 | $2,323,260.30 |
DisclosureSEC source: 0001179110-17-011456 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,798 F2 · price: Reflects the weighted average price of 15,900 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 10, 2017 with sale prices ranging from $145.91 to $146.55 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 |
| August 10, 2017 Filed Aug 14, 2017 20:44 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | SaleCommon Stock | 17,600 | $145.18 | $2,555,080.00 |
DisclosureSEC source: 0001179110-17-011456 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,698 F1 · price: Reflects the weighted average price of 17,600 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 10, 2017 with sale prices ranging from $144.75 to $145.70 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 |
| July 31, 2017 Filed Aug 2, 2017 20:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 54,364 | $0.00 Strike: $65.31 | $0.00 |
DisclosureSEC source: 0001179110-17-010975 · edgar.xml · derivative · entry 8 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 54,364 shares Expires 2023-02-05 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 |
| July 31, 2017 Filed Aug 2, 2017 20:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 57,342 | $0.00 Strike: $54.33 | $0.00 |
DisclosureSEC source: 0001179110-17-010975 · edgar.xml · derivative · entry 7 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 57,342 shares Expires 2022-02-07 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 |
| July 31, 2017 Filed Aug 2, 2017 20:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 15,273 | $0.00 Strike: $58.70 | $0.00 |
DisclosureSEC source: 0001179110-17-010975 · edgar.xml · derivative · entry 6 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,273 shares Expires 2021-02-08 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 |
| July 31, 2017 Filed Aug 2, 2017 20:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 90,840 | $144.45 | $13,121,838.00 |
DisclosureSEC source: 0001179110-17-010975 · edgar.xml · nonDerivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,298 Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 20:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 54,364 | $65.31 | $3,550,512.84 |
DisclosureSEC source: 0001179110-17-010975 · edgar.xml · nonDerivative · entry 3 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,138 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 |
| July 31, 2017 Filed Aug 2, 2017 20:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 57,342 | $54.33 | $3,115,390.86 |
DisclosureSEC source: 0001179110-17-010975 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,774 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 |
| July 31, 2017 Filed Aug 2, 2017 20:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 15,273 | $58.70 | $896,525.10 |
DisclosureSEC source: 0001179110-17-010975 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,432 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 |
| July 06, 2017 Filed Jul 10, 2017 21:08 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionPhantom Stock · Derivative | 535.4021 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-010277 · edgar.xml · derivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,904.0948 Underlying: Common Stock · 535.4021 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. F3 · 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. F3 · 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 |
| July 06, 2017 Filed Jul 10, 2017 21:08 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 212.4021 | $129.15 | $27,431.73 |
DisclosureSEC source: 0001179110-17-010277 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,159 Read SEC document |
| July 06, 2017 Filed Jul 10, 2017 21:08 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 535.4021 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-010277 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,371.4021 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 · price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Read SEC document |
| February 09, 2017 Filed Feb 13, 2017 21:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | SaleCommon Stock | 19,000 | $123.03 | $2,337,585.20 |
DisclosureSEC source: 0001179110-17-002255 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,836 F1 · price: Reflects the weighted average price of 19,000 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 9, 2017 with sale prices ranging from $122.971 to $123.113 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, 2017 Filed Feb 8, 2017 21:52 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 1,078 | $123.18 | $132,788.04 |
DisclosureSEC source: 0001179110-17-001982 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,836 Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 21:52 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantEmployee Stock Option (right to buy) · Derivative | 37,723 | $0.00 Strike: $123.37 | $0.00 |
DisclosureSEC source: 0001179110-17-001982 · edgar.xml · derivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,723 Underlying: Common Stock · 37,723 shares Expires 2027-02-07 F3 · 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 February 6, 2017. Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 21:52 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 4,328 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-001982 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,914 F1 · shares: Restricted stock unit award, granted under the Ameriprise Financial 2005 Incentive Compensation Plan, will vest in three equal installments on February 6, 2018, February 6, 2019 and February 6, 2020. Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 21:58 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantPhantom Stock · Derivative | 924.8722 | $121.26 | $112,150.00 |
DisclosureSEC source: 0001179110-17-001898 · edgar.xml · derivative · entry 4 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,439.4969 Underlying: Common Stock · 924.8722 shares Expires not disclosed 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: 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 · 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 03, 2017 Filed Feb 7, 2017 21:58 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 6,264 | $121.26 | $759,572.64 |
DisclosureSEC source: 0001179110-17-001898 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,586 Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 21:58 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 12,146 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-001898 · edgar.xml · nonDerivative · entry 1 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,850 Read SEC document |
| February 02, 2017 Filed Feb 3, 2017 21:32 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 983 | $117.90 | $115,895.70 |
DisclosureSEC source: 0001179110-17-001635 · edgar.xml · nonDerivative · entry 2 Berman Walter Stanley · CIK 0001335761 · Executive VP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,704 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.