Ameriprise Financial Form 144 covers 472 share resale

Accepted by SEC EDGAR 08/10/2026 - 07:07 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Ameriprise Financial, Inc. insider(s) filed to potentially sell 472 shares of common stock under Rule 144. The shares relate to the vesting of compensatory equity awards dated 08/10/2025, with an indicated aggregate value of $263,815.01, and may be sold through American Enterprise Investment Services, Inc. on the NYSE.

Key Figures

Shares covered: 472 shares Aggregate value: $263,815.01 Award vesting date: 08/10/2025

3 metrics

Shares covered 472 shares Common stock proposed for resale under Rule 144

Aggregate value $263,815.01 Indicated value for the 472 shares of common stock

Award vesting date 08/10/2025 Vesting date of compensatory equity awards underlying the shares

Key Terms

Form 144, Rule 144, compensatory equity awards, vesting

4 terms

Form 144 regulatory

"Filer Information | | | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Rule 144 regulatory

"1350 Ameriprise Financial Center Minneapolis MN 55474 | 472 | 263815.01"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

compensatory equity awards financial

"Vesting of Compensatory Equity Awards (See Remarks)"

vesting financial

"Common Stock | 08/10/2025 | Vesting of Compensatory Equity Awards"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Ameriprise Financial (AMP) disclose in this Form 144 filing?

The filing covers a potential sale of 472 shares of Ameriprise Financial common stock, related to the vesting of compensatory equity awards on 08/10/2025, under Rule 144 resale provisions.

How many Ameriprise Financial (AMP) shares are covered and what is their value?

The Form 144 covers 472 shares of common stock with an indicated aggregate value of $263,815.01. This figure reflects the value associated with the shares proposed for resale under Rule 144.

What is the origin of the Ameriprise Financial (AMP) shares in this Form 144?

The 472 shares originate from the vesting of compensatory equity awards dated 08/10/2025. These are equity-based compensation awards that have vested and are now eligible for potential resale under Rule 144.

Which broker is handling the potential Ameriprise Financial (AMP) Rule 144 sale?

The proposed Rule 144 transaction lists American Enterprise Investment Services, Inc., located at 1350 Ameriprise Financial Center, Minneapolis, MN 55474, as the broker for potential sales on the NYSE.

On which market may the Ameriprise Financial (AMP) Form 144 shares be sold?

The filing indicates that the covered 472 shares of Ameriprise Financial common stock may be sold on the NYSE, using American Enterprise Investment Services, Inc. as broker for any such transactions.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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	0001937010
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	AMERIPRISE FINANCIAL INC.
SEC File Number	001-32525
Address of Issuer	901 THIRD AVENUE SOUTH MINNEAPOLIS MINNESOTA 55402
Phone	612-671-3000
Name of Person for Whose Account the Securities are To Be Sold	Dawn M. Brockman
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	Officer

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	472	263815.01	88333219	08/10/2026	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	08/10/2025	Vesting of Compensatory Equity Awards (See Remarks)	Ameriprise Financial, Inc.			472	08/10/2025	Compensatory Equity Awards

* 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	The shares were acquired through various compensatory awards more than a year ago.
Date of Notice	08/10/2026
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	/s/ Wendy B. Mahling for Dawn M. Brockman
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)