WALTER W EDWARD

SEC source: 0001193125-26-260199 · ownership.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,418

Underlying: COMMON STOCK · 53,418 shares

Expires not disclosed

F1 · security: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_price: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.expiration_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

SEC source: 0001193125-26-078481 · ownership.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LLC 2

Disclosed balance after: 32,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.255 to $2.28 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

F2 · ownership.direct: Represents shares of common stock held by WillJen2 LLC ("WillJen2"). Mr. Walter is the managing member of WillJen2 and thus is deemed to beneficially own the shares held by WillJen2. Mr. Walter disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein.

F3 · ownership.nature: Due to a scrivener's error on the Reporting Person's Form 4 filed on May 29, 2024, 7,000 shares of common stock was inadvertently reported as acquired by WillJen LLC ("WillJen") rather than by WillJen2. The corrected number of shares beneficially owned by each of WillJen and WillJen2 are correctly reflected in this Form 4.

SEC source: 0000950170-25-083264 · ownership.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,125

Underlying: COMMON STOCK · 46,125 shares

Expires not disclosed

F1 · security: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_price: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.expiration_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

SEC source: 0001415889-25-011845 · form4-05022025_090500.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,716.2108

Underlying: Common Stock · 445.8409 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: 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.

F2 · 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.

SEC source: 0000950170-24-070126 · ownership.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,869

Underlying: COMMON STOCK · 14,869 shares

Expires not disclosed

F1 · security: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_price: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.expiration_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

SEC source: 0000950170-24-066211 · ownership.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By LLC

Disclosed balance after: 13,760

F1 · ownership.direct: Represents shares of common stock held by WillJen LLC ("WillJen"). Mr. Walter is the managing member of WillJen and thus is deemed to beneficially own the shares held by WillJen. Mr. Walter disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein.

SEC source: 0001415889-24-011626 · form4-04262024_110419.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,194.2939

Underlying: Common Stock · 460.2044 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: 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.

F2 · 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.

SEC source: 0001209191-23-034534 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,854.4102

F1 · shares: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which Units are subject to vesting requirements. The Units will convert into common stock on a one to one basis when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0000899243-23-014505 · doc4.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,756

Underlying: COMMON STOCK · 9,756 shares

Expires not disclosed

F1 · security: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_price: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.expiration_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

SEC source: 0001415889-23-007006 · form4-04282023_080425.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,645.0069

Underlying: Common Stock · 649.5504 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: 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.

F2 · 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.

SEC source: 0000899243-22-029201 · doc4.xml · nonDerivative · entry 2

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 6,760

F2 · ownership.direct: Represents shares of common stock held by WillJen LLC ("WillJen"). Mr. Walter is the managing member of WillJen and thus is deemed to beneficially own the shares held by WillJen. Mr. Walter disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein.

SEC source: 0000899243-22-029201 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,715

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.52 to $18.55, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000899243-22-021058 · doc4.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,880

Underlying: COMMON STOCK · 4,880 shares

Expires not disclosed

F1 · security: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_price: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.exercise_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

F1 · derivative.expiration_date: Represents annual director grant of restricted stock units, which have been deferred by the Reporting Person under the Issuer's Deferred Compensation Plan ("DCP") and thus are reported as Deferred Stock Units ("DSUs"). The DSUs vest on the earlier to occur of (i) the first anniversary of the grant date and (ii) the date of the next annual meeting following the grant date, subject to continued service with the Company through such date. The Vested DSUs convert into shares of Common Stock on a one-for-one basis, or at the election of the Issuer into cash, following the deferral period as defined in the DCP. The DSUs have no expiration date.

SEC source: 0001209191-22-032923 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,826.4092

F1 · shares: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which Units are subject to vesting requirements. The Units will convert into common stock on a one to one basis when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0001209191-22-062358 · doc4a.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,480.4092

F1 · shares: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which Units are subject to vesting requirements. The Units will convert into common stock on a one to one basis when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements. See remark below.

SEC source: 0001415889-22-004410 · form4-04292022_030420.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,912.7951

Underlying: Common Stock · 713.7222 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: 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.

F2 · 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.

SEC source: 0000899243-21-043632 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

F1 · price: Represents a purchase from the underwriters in the Issuer's initial public offering.

SEC source: 0001209191-21-036965 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,373.7974

F1 · shares: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which Units are subject to vesting requirements. The Units will convert into common stock on a one to one basis when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0001179110-21-004728 · edgar.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,131.2986

Underlying: Common Stock · 584.5219 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: 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.

F2 · 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.

SEC source: 0001179110-21-000323 · edgar.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-20-058975 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,734.0204

F1 · shares: Reflects sale of fractional shares resulting from a change of accounts.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0001209191-20-031208 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,437.203

F1 · shares: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which Units are subject to vesting requirements. The Units will convert into common stock on a one to one basis when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0001179110-20-005392 · edgar.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,460.7181

Underlying: Common Stock · 1,270.971 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: 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.

F2 · 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.

SEC source: 0001209191-19-032909 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,932.6381

F1 · shares: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which Units are subject to vesting requirements. The Units will convert into common stock on a one to one basis when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0001179110-19-005225 · edgar.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,130.8805

Underlying: Common Stock · 1,041.6667 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: 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.

F2 · 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.

SEC source: 0001209191-18-034931 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,762.1691

F1 · shares: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which Units are subject to vesting requirements. The Units will convert into common stock on a one to one basis when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0001179110-18-005932 · edgar.xml · derivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060.5204

Underlying: Common Stock · 1,060.5204 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: 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.

F2 · 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.

SEC source: 0001209191-17-036099 · doc4.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,570.0381

F1 · price: Reflects grant of Deferred Stock Units ("Units") under the issuer's Second Amended and Restated 2009 Equity Incentive Plan. The Units will convert into common stock when the reporting person ceases to be an employee or director of the issuer.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including deferred stock units convertible into common stock, some of which may be subject to vesting requirements.

SEC source: 0001070750-16-000239 · edgardoc.xml · derivative · entry 7

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,875 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: Options vested on December 31, 2013

SEC source: 0001070750-16-000239 · edgardoc.xml · derivative · entry 6

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,979 shares

Expires 2022-01-20

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_date: Options vested on December 31, 2012

SEC source: 0001070750-16-000239 · edgardoc.xml · nonDerivative · entry 4

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,420

SEC source: 0001070750-16-000239 · edgardoc.xml · nonDerivative · entry 3

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,295

SEC source: 0001070750-16-000239 · edgardoc.xml · nonDerivative · entry 2

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,274

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.

SEC source: 0001070750-16-000239 · edgardoc.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,295

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.

SEC source: 0001070750-16-000238 · edgardoc.xml · nonDerivative · entry 5

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Son

Disclosed balance after: 0

SEC source: 0001070750-16-000238 · edgardoc.xml · nonDerivative · entry 4

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Daughter

Disclosed balance after: 0

SEC source: 0001070750-16-000238 · edgardoc.xml · nonDerivative · entry 3

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · by LLC

Disclosed balance after: 0

SEC source: 0001070750-16-000238 · edgardoc.xml · nonDerivative · entry 2

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,420

SEC source: 0001070750-16-000238 · edgardoc.xml · nonDerivative · entry 1

WALTER W EDWARD · CIK 0001194638 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,420