[144] Ameriprise Financial, Inc. SEC Filing

Rhea-AI Filing Summary

Ameriprise Financial, Inc. (AMP) Form 144 notifies the market of a proposed sale of 1,500 shares of Common Stock on 09/04/2025 on the NYSE. The filing reports an aggregate market value of $768,502.50 for the shares and states there are 94,271,565 shares outstanding. The shares were acquired on 09/04/2025 through the vesting of compensatory equity awards from Ameriprise Financial, Inc., with payment characterized as Compensatory Equity Awards. The filer reports no securities sold by the same person in the past three months and affirms they are not aware of undisclosed material adverse information.

Insights

Securities Analyst

TL;DR: A small, routine insider sale notice tied to vested compensatory awards; disclosure appears procedural and compliant.

The Form 144 documents a proposed sale of 1,500 shares arising from vesting of compensatory equity awards. The filing provides key transaction details: acquisition and intended sale date (09/04/2025), exchange (NYSE), aggregate market value ($768,502.50), and total shares outstanding (94,271,565). The filer states no sales in the past three months and makes the standard certification regarding undisclosed material information. Given the size of the position relative to outstanding shares and the explicit compensatory source, this reads as a routine compliance disclosure rather than a material event.

Corporate Governance Specialist

TL;DR: Filing meets Rule 144 disclosure requirements for a compensatory award sale and includes required representations.

The notice identifies the nature of acquisition as vesting of compensatory equity awards and specifies the broker, sale date, and market value, aligning with Rule 144 requirements. The signature/remarks section includes the required representation about lack of undisclosed material adverse information. No additional disclosures (such as trading-plan dates or aggregated sales) are included, and the filer reports no sales in the prior three months, which simplifies aggregation considerations under Rule 144(e).

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	1500	768502.50	94271565	09/04/2025	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	09/04/2025	Vesting of Compensator y Equity Awards	Ameriprise Financial, Inc.			1500	09/04/2025	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

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 does the AMP Form 144 dated 09/04/2025 disclose?

The filing discloses a proposed sale of 1,500 common shares on 09/04/2025 on the NYSE with an aggregate market value of $768,502.50.

How were the 1,500 AMP shares acquired?

The shares were acquired on 09/04/2025 through the vesting of compensatory equity awards from Ameriprise Financial, Inc.

Does the filer report other sales in the past three months on this Form 144?

No. The filing states "Nothing to Report" for securities sold during the past three months by the person for whose account the securities are to be sold.

What representation does the filer make about material information?

By signing, the filer represents they do not know of any material adverse information regarding the issuer that has not been publicly disclosed.

Which broker is named in the Form 144 for this proposed sale?

The broker listed is American Enterprise Investment Services, Inc., 1350 Ameriprise Financial Center, Minneapolis MN 55474.