Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERIPRISE FINANCIAL INCAMP · Entity 3035 | EVP & Hd. of Tech. & Serv. Del | May 14, 2026 | May 18, 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 May 14, 2026 · Filed May 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,103 |
Ending reported balance
After 2026-05-14 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2026-05-14 · Exercise / conversion · Acquired 2,221 · Balance 13,795 Row 2 · 2026-05-14 · Tax withholding · Disposed 1,437 · Balance 12,358 Row 3 · 2026-05-14 · Sale · Disposed 6,255 · Balance 6,103 F1: Reflects the weighted average price of 6,255 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on May 14, 2026 with sale prices ranging from $472.19 to $472.7551 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. |
| 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 2026-05-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-05-14 · Exercise / conversion · Disposed 2,221 · Balance 0 F2: Fully vested. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the weighted average price of 6,255 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on May 14, 2026 with sale prices ranging from $472.19 to $472.7551 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: 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 |
|---|---|---|---|---|---|---|
| November 15, 2022 Filed Nov 17, 2022 22:22 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | 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 | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | 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 | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | 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 | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | 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 | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | 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 |
| February 11, 2022 Filed Feb 15, 2022 23:08 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantPhantom Stock · Derivative | 193.4211 | $304.00 | $58,800.01 |
DisclosureSEC source: 0001179110-22-001282 · edgar.xml · derivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 793.8278 Underlying: Common Stock · 193.4211 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. F2 · derivative.expiration_date: Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. Read SEC document |
| February 01, 2022 Filed Feb 3, 2022 21:59 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 75 | $308.10 | $23,107.50 |
DisclosureSEC source: 0001179110-22-000842 · edgar.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,067 Read SEC document |
| January 31, 2022 Filed Feb 1, 2022 23:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 80 | $304.31 | $24,344.80 |
DisclosureSEC source: 0001179110-22-000683 · edgar.xml · nonDerivative · entry 3 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,142 Read SEC document |
| January 29, 2022 Filed Feb 1, 2022 23:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 70 | $298.09 | $20,866.30 |
DisclosureSEC source: 0001179110-22-000683 · edgar.xml · nonDerivative · entry 2 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,222 Read SEC document |
| January 28, 2022 Filed Feb 1, 2022 23:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantEmployee Stock Option (right to buy) · Derivative | 2,857 | $0.00 Strike: $298.09 | $0.00 |
DisclosureSEC source: 0001179110-22-000683 · edgar.xml · derivative · entry 4 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,857 Underlying: Common Stock · 2,857 shares Expires 2032-01-29 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 28, 2022. Read SEC document |
| January 28, 2022 Filed Feb 1, 2022 23:37 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 905 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-22-000683 · edgar.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,292 Read SEC document |
| April 29, 2021 Filed May 3, 2021 21:22 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,582 | $0.00 Strike: $128.76 | $0.00 |
DisclosureSEC source: 0001179110-21-004800 · edgar.xml · derivative · entry 5 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,582 shares Expires 2025-02-02 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 |
| April 29, 2021 Filed May 3, 2021 21:22 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | SaleCommon Stock | 970 | $259.64 | $251,853.23 |
DisclosureSEC source: 0001179110-21-004800 · edgar.xml · nonDerivative · entry 3 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,387 Read SEC document |
| April 29, 2021 Filed May 3, 2021 21:22 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 2,612 | $256.62 | $670,291.44 |
DisclosureSEC source: 0001179110-21-004800 · edgar.xml · nonDerivative · entry 2 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,357 Read SEC document |
| April 29, 2021 Filed May 3, 2021 21:22 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 3,582 | $128.76 | $461,218.32 |
DisclosureSEC source: 0001179110-21-004800 · edgar.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,969 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 |
| April 29, 2021 Filed Mar 19, 2025 21:27 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | SaleCommon Stock | 974 | $259.53 | $252,782.22 |
DisclosureSEC source: 0001415889-25-008604 · form4-03192025_090335.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP & CIO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,020 F1 · balance_after: Following a reconciliation of the reporting person's ownership records, the balance reflects the corrected number of shares held following the transaction reported in this Form 4. Read SEC document |
| February 12, 2021 Filed Feb 16, 2021 22:08 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantPhantom Stock · Derivative | 109.3635 | $218.08 | $23,849.99 |
DisclosureSEC source: 0001179110-21-001695 · edgar.xml · derivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 590.2424 Underlying: Common Stock · 109.3635 shares Expires not disclosed F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. F2 · derivative.exercise_date: Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. F2 · derivative.expiration_date: Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. Read SEC document |
| February 01, 2021 Filed Feb 3, 2021 22:05 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 75 | $200.84 | $15,063.00 |
DisclosureSEC source: 0001179110-21-001232 · edgar.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,387 Read SEC document |
| January 31, 2021 Filed Feb 2, 2021 23:24 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 80 | $197.87 | $15,829.60 |
DisclosureSEC source: 0001179110-21-001104 · edgar.xml · nonDerivative · entry 4 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,462 Read SEC document |
| January 29, 2021 Filed Feb 2, 2021 23:24 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantEmployee Stock Option (right to buy) · Derivative | 2,578 | $0.00 Strike: $197.87 | $0.00 |
DisclosureSEC source: 0001179110-21-001104 · edgar.xml · derivative · entry 7 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,578 Underlying: Common Stock · 2,578 shares Expires 2031-01-29 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 29, 2021. Read SEC document |
| January 29, 2021 Filed Feb 2, 2021 23:24 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 3,923 | $0.00 Strike: $87.79 | $0.00 |
DisclosureSEC source: 0001179110-21-001104 · edgar.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 · 3,923 shares Expires 2026-02-01 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 |
| January 29, 2021 Filed Feb 2, 2021 23:24 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | GrantCommon Stock | 742 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-001104 · edgar.xml · nonDerivative · entry 3 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,542 Read SEC document |
| January 29, 2021 Filed Feb 2, 2021 23:24 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 2,382 | $206.66 | $492,264.12 |
DisclosureSEC source: 0001179110-21-001104 · edgar.xml · nonDerivative · entry 2 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,800 Read SEC document |
| January 29, 2021 Filed Feb 2, 2021 23:24 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 3,923 | $87.79 | $344,400.17 |
DisclosureSEC source: 0001179110-21-001104 · edgar.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,182 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 26, 2021 Filed Jan 28, 2021 23:00 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 45 | $211.27 | $9,507.15 |
DisclosureSEC source: 0001179110-21-000908 · edgar.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,259 Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 22:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 2,936 | $0.00 Strike: $107.61 | $0.00 |
DisclosureSEC source: 0001179110-20-011348 · edgar.xml · derivative · entry 4 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,936 shares Expires 2024-02-07 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 |
| November 20, 2020 Filed Nov 24, 2020 22:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Tax withholdingCommon Stock | 2,093 | $183.63 | $384,337.59 |
DisclosureSEC source: 0001179110-20-011348 · edgar.xml · nonDerivative · entry 2 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,304 Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 22:40 UTC | AMERIPRISE FINANCIAL INC AMP · Entity 3035 | Exercise / conversionCommon Stock | 2,936 | $107.61 | $315,942.96 |
DisclosureSEC source: 0001179110-20-011348 · edgar.xml · nonDerivative · entry 1 Smyth Gerard P. · CIK 0001823254 · EVP Technology and CIO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,397 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.