[144] Ameriprise Financial, Inc. SEC Filing

Rhea-AI Filing Summary

Ameriprise Financial, Inc. (AMP) Form 144 shows a proposed sale of 9,929 shares of common stock valued at $5,032,933.59 to be sold on 08/19/2025 on the NYSE through American Enterprise Investment Services in Minneapolis. The filing reports the shares represent part of 94,271,565 shares outstanding and were acquired on 08/19/2025 via employee stock options from Ameriprise Financial, Inc., with the payment method noted as a Non-Qualified Stock Options Net Exercise. The filer indicates no securities sold in the past three months. The notice includes the standard representation that the seller has no undisclosed material adverse information.

Insights

Securities Analyst

TL;DR: Routine insider sale of employee option shares; size is small relative to total float and appears procedural.

The filing documents an insider or person selling 9,929 shares acquired and proposed for sale on the same date via a net exercise of non-qualified stock options. The aggregate market value reported is $5.03 million, which represents a small fraction of the reported 94.27 million shares outstanding. No sales in the prior three months are reported. This pattern is consistent with option exercises followed by immediate sale to cover taxes or exercise costs. There is no disclosure here of any material company developments.

Corporate Governance Expert

TL;DR: Disclosure meets Rule 144 requirements; contains standard certifications and broker details.

The Form 144 includes required broker identification and the seller’s certification about material nonpublic information. Acquisition is identified as an employee stock option with net exercise payment, which is a common mechanism for insiders to monetize vested compensation. The filing does not indicate unusual timing, aggregation of other sellers, or prior sales in the three-month lookback period. From a governance perspective, documentation appears complete for a routine insider disposition under Rule 144.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	American Enterprise Investment Services, Inc. 1350 Ameriprise Financial Center Minneapolis MN 55474	9929	5032933.59	94271565	08/19/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	08/19/2025	Employee Stock Options	Ameriprise Financial, Inc.			9929	08/19/2025	Non-Qualified Stock Options Net Exercise

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What shares are proposed for sale in the AMP Form 144?

The filing proposes sale of 9,929 shares of Ameriprise Financial common stock.

When is the proposed sale date listed in the Form 144 for AMP?

The proposed sale date is 08/19/2025.

How were the shares acquired according to the filing?

The shares were acquired on 08/19/2025 via employee stock options from Ameriprise Financial, Inc.

What is the aggregate market value of the shares to be sold?

The aggregate market value reported is $5,032,933.59.

Did the filer report any sales of AMP securities in the past three months?

No; the filing states Nothing to Report for securities sold during the past three months.

Which broker is handling the proposed sale?

The broker named is American Enterprise Investment Services, Inc. in Minneapolis.