Ameriprise (NYSE: AMP) HR chief details stock, options and phantom units
Filing Impact
Filing Sentiment
Form Type
3
Rhea-AI Filing Summary
Ameriprise Financial’s Executive Vice President of Human Resources, Kelli A. Hunter Petruzillo, filed an initial Form 3 showing her equity interests in the company. She reports 4,099 shares of Ameriprise common stock held directly, plus an estimated 249.701 shares held indirectly through the Ameriprise Financial Stock Fund in the company’s 401(k) plan as of June 9, 2026.
She also holds 1,316.417 phantom stock units, each representing the right to receive one share of Ameriprise common stock, generally payable after employment ends or in a specified future year under the Ameriprise Financial Deferred Compensation Plan. In addition, she has vested and unvested employee stock options covering 2,486 shares at an exercise price of $532.18 expiring on February 3, 2036, 1,957 shares at $543.36 expiring on February 1, 2035, 1,630 shares at $391.40 expiring on January 27, 2034, and 921 shares at $344.45 expiring on January 28, 2033, reflecting a significant portion of her compensation tied to Ameriprise’s long-term stock performance.
Positive
- None.
Negative
- None.
Insider Trade Summary
7 transactions reported
Mixed
7 txns
Insider
HUNTER PETRUZILLO KELLI A.
Role
Exec VP of Human Resources
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Phantom Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Employee Stock Option (right to buy) — 921 shares (Direct);
Phantom Stock — 1,316.417 shares (Direct);
Common Stock — 4,099 shares (Direct);
Common Stock — 249.701 shares (Indirect, By 401(k) Plan)
Footnotes (1)
- Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of June 9, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock. Fully vested. One-half of the options vest after two years and the final one-half of the options vest three years from January 26, 2024. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 31, 2025. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 2, 2026. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Key Figures
Direct common stock: 4,099 shares
401(k) stock fund: 249.701 shares
Phantom stock units: 1,316.417 units
+4 more
7 metrics
Direct common stock
4,099 shares
Total Ameriprise common stock held directly after reporting
401(k) stock fund
249.701 shares
Estimated Ameriprise shares via 401(k) Stock Fund as of June 9, 2026
Phantom stock units
1,316.417 units
Each unit payable in one Ameriprise common share
Option grant 2036
2,486 shares at $532.18
Employee stock option, expiration February 3, 2036
Option grant 2035
1,957 shares at $543.36
Employee stock option, expiration February 1, 2035
Option grant 2034
1,630 shares at $391.40
Employee stock option, expiration January 27, 2034
Option grant 2033
921 shares at $344.45
Employee stock option, expiration January 28, 2033
Key Terms
Phantom Stock, Employee Stock Option (right to buy), Ameriprise Financial 401(k) plan, Ameriprise Financial Deferred Compensation Plan, +1 more
5 terms
Phantom Stock financial
"security_title": "Phantom Stock""
A phantom stock is a form of compensation that gives employees or executives the benefits of stock ownership, such as the increase in stock value, without actually giving them real shares. It acts like a promise to pay the employee the equivalent value of company stock later, often as a bonus or incentive. This allows companies to motivate and reward staff without diluting ownership or transferring actual shares.
Employee Stock Option (right to buy) financial
"security_title": "Employee Stock Option (right to buy)""
Ameriprise Financial 401(k) plan financial
"under the Ameriprise Financial 401(k) plan as of June 9, 2026."
Ameriprise Financial Deferred Compensation Plan financial
"in accordance with The Ameriprise Financial Deferred Compensation Plan."
phantom stock financial
"Shares of phantom stock are payable in shares of Ameriprise common stock"
A phantom stock is a form of compensation that gives employees or executives the benefits of stock ownership, such as the increase in stock value, without actually giving them real shares. It acts like a promise to pay the employee the equivalent value of company stock later, often as a bonus or incentive. This allows companies to motivate and reward staff without diluting ownership or transferring actual shares.
FAQ
What does the Kelli A. Hunter Petruzillo Form 3 for Ameriprise (AMP) show?
The Form 3 reports Kelli A. Hunter Petruzillo’s existing Ameriprise equity holdings, including direct common stock, 401(k) plan units, phantom stock, and multiple option grants. It is an initial ownership statement, not a new buy or sell transaction.
What phantom stock holdings are disclosed for Kelli Hunter Petruzillo in Ameriprise (AMP)?
She holds 1,316.417 phantom stock units, each representing the right to receive one Ameriprise common share. These units are payable after employment ends or in a specified future year under The Ameriprise Financial Deferred Compensation Plan.
What stock options does Kelli Hunter Petruzillo have in Ameriprise (AMP)?
She has several employee stock option positions: 2,486 underlying shares at $532.18 expiring February 3, 2036; 1,957 shares at $543.36 expiring February 1, 2035; 1,630 shares at $391.40 expiring January 27, 2034; and 921 shares at $344.45 expiring January 28, 2033.
Are Kelli Hunter Petruzillo’s Ameriprise (AMP) options fully vested?
One option grant is marked fully vested, while others vest over two- or three-year schedules from dates in 2024, 2025, and 2026. The filing describes vesting in one-half or one-third installments over those multi‑year periods.
What does the Ameriprise (AMP) 401(k) plan disclosure mean in this Form 3?
The Form 3 estimates 249.701 shares held in the Ameriprise Financial Stock Fund under the 401(k) plan as of June 9, 2026. The plan uses unit accounting, so the number of deemed shares varies with Ameriprise’s stock price over time.