Ameriprise Financial files Form 144 for share sales

Ameriprise Financial, Inc. submitted a Form 144 notice relating to proposed sales of Common Stock tied to vesting of compensatory equity awards and the net exercise of non-qualified stock options.

Rhea-AI Filing Summary

Ameriprise Financial, Inc. submitted a Form 144 notice relating to proposed sales of Common Stock tied to vesting of compensatory equity awards and the net exercise of non-qualified stock options.

The filing lists line items including 5,471 shares (vesting/compensatory award) and 784 shares (net exercise) and notes 89,897,084 shares outstanding as of 05/14/2026.

Insights

Equity Compensation Counsel

Routine insider resale notice tied to award vesting and option exercise.

The filing documents proposed dispositions of Common Stock associated with vesting of compensatory equity awards and a net exercise of non-qualified stock options. The excerpt lists 5,471 shares and 784 shares as line items.

Timing and exact proceeds are not provided in the excerpt; subsequent Form 4/Form 5 filings or broker records typically disclose completed sale details and cash‑flow treatment.

Key Figures

Compensatory shares listed: 5,471 shares Net exercise shares listed: 784 shares Shares outstanding: 89,897,084 shares

3 metrics

Compensatory shares listed 5,471 shares vesting of compensatory equity awards (05/14/2025 line item)

Net exercise shares listed 784 shares Non-Qualified Stock Options net exercise (05/14/2026 line item)

Shares outstanding 89,897,084 shares as of 05/14/2026 (header field)

Key Terms

Form 144, Vesting of Compensatory Equity Awards, Net Exercise

3 terms

Form 144 regulatory

"submitted a Form 144 notice relating to proposed sales"

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.

Vesting of Compensatory Equity Awards financial

"Vesting of Compensatory Equity Awards (See Remarks)"

Net Exercise financial

"Non-Qualified Stock Options Net Exercise"

A net exercise is a way to convert stock options into shares without paying cash up front: instead of handing over money to buy the optioned shares, the holder receives only the number of shares equal to the option’s value after the company withholds a portion of shares to cover the exercise price and taxes. It matters to investors because it changes how many new shares are issued, affects dilution of existing shareholders, and alters company cash flow compared with a cash exercise.

FAQ

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

What does Ameriprise Financial's (AMP) Form 144 notice report?

It reports a proposed sale of Common Stock linked to equity award vesting and option exercises. The filing lists 5,471 shares and 784 shares as line items and references compensatory awards and net exercise activity.

Does the Form 144 state how many shares are outstanding for AMP?

Yes; the excerpt shows 89,897,084 shares outstanding as of 05/14/2026. This appears as an outstanding share count in the provided header information.

Are proceeds to Ameriprise stated in the Form 144 excerpt?

The excerpt does not specify proceeds or a dollar amount tied to the listed share items. The filing text references the transactions but does not disclose sale proceeds in this excerpt.

What types of awards are involved in the AMP Form 144 filing?

The filing references vesting of compensatory equity awards and Non‑Qualified Stock Options (net exercise), indicating the shares relate to compensation and option exercise events.

Will Form 144 alone confirm completed insider sales for AMP?

No; Form 144 notifies of a proposed sale by an affiliate. Completed sale details are typically reported later on Forms 4 or 5 or in broker settlement records.

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

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Accepted by SEC EDGAR 05/14/2026 - 06:24 PM Learn about SEC filing dates

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	0001823254
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	800-555-9820
Name of Person for Whose Account the Securities are To Be Sold	Gerard P. Smyth
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	6255	2955607.28	89897084	05/14/2026	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	05/14/2025	Vesting of Compensatory Equity Awards (See Remarks)	Ameriprise Financial, Inc.			5471	05/14/2025	Compensatory Equity Awards
Common Stock	05/14/2026	Employee Stock Option	Ameriprise Financial, Inc.			784	05/14/2026	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	The shares were acquired through various compensatory awards more than a year ago.
Date of Notice	05/14/2026
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, as Attorney-in-Fact for Gerard P. Smyth
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)