Ameriprise Financial (NYSE: AMP) files Form 144 for stock tied to equity awards

Rhea-AI Filing Summary

Ameriprise Financial’s affiliate has filed a notice covering potential sales of Common Stock in connection with employee compensation programs. The securities relate to vesting of compensatory equity awards dated 07/28/2025 and employee stock options dated 07/28/2026, including a non-qualified stock option net exercise. American Enterprise Investment Services, Inc. is listed as the broker, with trading on the NYSE.

Key Figures

Equity award date: 07/28/2025 Employee stock option date: 07/28/2026 Transaction code for equity awards: 4102 +1 more

4 metrics

Equity award date 07/28/2025 Date tied to vesting of compensatory equity awards in the securities-to-be-sold section

Employee stock option date 07/28/2026 Date tied to employee stock options and a non-qualified stock options net exercise

Transaction code for equity awards 4102 Code associated with vesting of compensatory equity awards

Transaction code for options 4108 Code associated with non-qualified stock options net exercise

Key Terms

Form 144, compensatory equity awards, employee stock option, non-qualified stock options net exercise

4 terms

Form 144 regulatory

"144: Securities To Be Sold"

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.

compensatory equity awards financial

"Vesting of Compensatory Equity Awards (See Remarks)"

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.

non-qualified stock options net exercise financial

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

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Available on EDGAR 07/28/2026 - 07:48 PM Accepted by SEC EDGAR 07/28/2026 - 07:47 PM Learn about SEC filing dates

FAQ

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

Ameriprise Financial (AMP) discloses a notice covering potential sales of Common Stock tied to employee compensation. The securities relate to compensatory equity awards vesting and employee stock options, including a non-qualified stock option net exercise, to be traded on the NYSE.

Which securities are involved in Ameriprise Financial (AMP)’s Form 144?

The Form 144 involves Common Stock of Ameriprise Financial, Inc. linked to compensatory equity awards and employee stock options. One entry specifies a non-qualified stock options net exercise, indicating stock issuable from option exercises may be eligible for sale.

What key dates are associated with AMP’s Form 144 transactions?

The notice references compensatory equity awards dated 07/28/2025 and employee stock options dated 07/28/2026. These dates indicate when the underlying awards or options are tied to, including a net exercise of non-qualified stock options on 07/28/2026.

How are the Ameriprise Financial (AMP) Form 144 shares being sold?

The shares are associated with compensatory equity awards and non-qualified employee stock options, including a net exercise. American Enterprise Investment Services, Inc. is identified as the broker, with planned trades on the NYSE under standard market mechanisms.

Who is the broker listed in Ameriprise Financial (AMP)’s Form 144?

The broker listed is American Enterprise Investment Services, Inc., located at 1350 Ameriprise Financial Center, Minneapolis, MN 55474. The securities referenced are Common Stock of Ameriprise Financial, Inc., with trades expected on the NYSE.

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	8210	4428085.47	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	07/28/2025	Vesting of Compensatory Equity Awards (See Remarks)	Amerprise Financial, Inc.			4102	07/28/2025	Compensatory Equity Awards
Common Stock	07/28/2026	Employee Stock Option	Ameriprise Financial, Inc.			4108	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

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)