Ameriprise Financial plans stock sale via option exercise

Ameriprise Financial, Inc. is the issuer of common stock that a related filer, American Enterprise Investment Services, Inc., has noticed for potential sale under a regulatory resale process.

Rhea-AI Filing Summary

Ameriprise Financial, Inc. is the issuer of common stock that a related filer, American Enterprise Investment Services, Inc., has noticed for potential sale under a regulatory resale process. The stock is listed on the NYSE.

The planned resale involves common shares obtained through an employee stock option program, specifically Non-Qualified Stock Options using a net exercise method, with an indicated transaction date of July 28, 2026. No share amount or dollar value is specified.

Key Figures

Exchange listing: NYSE CUSIP: 89897084 Indicated transaction date: 07/28/2026

3 metrics

Exchange listing NYSE Listing venue for Ameriprise Financial, Inc. common stock referenced

CUSIP 89897084 Identifier for the Ameriprise Financial, Inc. common stock

Indicated transaction date 07/28/2026 Date associated with the employee stock option-related common stock sale

Key Terms

Non-Qualified Stock Options, Net Exercise, Employee Stock Option, Form 144

4 terms

Non-Qualified Stock Options financial

"07/28/2026 | Non-Qualified Stock Options Net Exercise"

Non-qualified stock options are a type of employee benefit that gives individuals the right to buy company shares at a set price, usually lower than the market value, within a certain period. Unlike other options that may have special tax advantages, these options are taxed as income when exercised, which can affect how much money the employee or investor ultimately gains. They are important because they can influence company compensation strategies and impact the financial outcomes for employees and investors.

Net Exercise financial

"07/28/2026 | 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.

Employee Stock Option financial

"Common Stock | 07/28/2026 | Employee Stock Option"

An employee stock option is a promise that lets a worker buy company shares later at a predetermined price, often after they stay for a certain period or meet performance goals — think of it like a coupon that locks in today's price for a future purchase. It matters to investors because options align employees’ incentives with company performance, can increase the number of shares outstanding (dilution) when exercised, and represent a compensation cost that affects reported profits and shareholder value.

Form 144 regulatory

"144: Securities To Be Sold Common Stock | 07/28/2026"

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.

FAQ

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

What does Ameriprise Financial (AMP) disclose in this Form 144-related notice?

Ameriprise Financial is listed as issuer of common stock that may be resold by American Enterprise Investment Services, Inc. via employee stock options using a net exercise method, with an indicated date of July 28, 2026.

Which security of Ameriprise Financial (AMP) is covered in this filing?

The filing covers common stock of Ameriprise Financial, Inc., identified with CUSIP 89897084 and listed on the NYSE. The shares are tied to an employee stock option program using Non-Qualified Stock Options.

Who is the selling party associated with Ameriprise Financial (AMP) in this content?

The selling party is American Enterprise Investment Services, Inc., located at 1350 Ameriprise Financial Center, Minneapolis, MN 55474, which has filed to resell Ameriprise Financial common stock obtained via employee stock options.

How are the Ameriprise Financial (AMP) employee stock options being exercised?

The options are identified as Non-Qualified Stock Options and are to be exercised using a net exercise method as of July 28, 2026, meaning only a portion of the underlying shares would be issued after satisfying exercise costs.

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

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Available on EDGAR 07/28/2026 - 07:42 PM Accepted by SEC EDGAR 07/28/2026 - 07:42 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	0001335761
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	Walter Stanley Berman
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	11012	6045030	89897084	07/28/2026	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	07/28/2026	Employee Stock Option	Ameriprise Financial, Inc.			11012	07/28/2026	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
Date of Notice	07/28/2026
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 Walter Stanley Berman
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)