Ameriprise EVP McGraw reports initial holdings
Ameriprise Financial EVP Deirdre Davey McGraw filed an initial Form 3 reporting her equity interests in the company.
Rhea-AI Filing Summary
Ameriprise Financial EVP Deirdre Davey McGraw filed an initial Form 3 reporting her equity interests in the company. She holds 4,964 shares of common stock directly and an estimated 634.523 shares indirectly through the Ameriprise Financial 401(k) plan. She also has 2,650.9381 phantom stock units, each representing one share of Ameriprise common stock payable after employment ends, plus several employee stock options to buy common shares at exercise prices between $165.41 and $543.36 with expirations from 2030 to 2036.
Positive
- None.
Negative
- None.
Insider Trade Summary
10 transactions reported
Mixed
10 txns
Insider
McGraw Deirdre Davey
Role
EVP Mktg, Strat. & Comms.
| 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 | 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) — 16,843 contracts (Direct);
Phantom Stock — 2,650.9381 contracts (Direct);
Common Stock — 4,964 shares (Direct);
Common Stock — 634.523 shares (Indirect, By 401(k) Plan)
Footnotes (7)
- F1. 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.
- F2. Fully vested.
- F3. 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 26, 2024.
- F4. 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.
- F5. 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.
- F6. 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.
- F7. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Key Figures
Direct common shares: 4,964 shares
401(k) plan holdings: 634.5230 shares
Phantom stock units: 2,650.9381 units
+5 more
8 metrics
Direct common shares
4,964 shares
Common Stock held directly following transactions
401(k) plan holdings
634.5230 shares
Estimated Ameriprise Financial Stock Fund units in 401(k) as of June 9, 2026
Phantom stock units
2,650.9381 units
Phantom Stock representing equal number of Ameriprise common shares
Option grant 1
2,486 shares at $532.18
Employee Stock Option, exercise price $532.1800, expires February 3, 2036
Option grant 2
1,957 shares at $543.36
Employee Stock Option, exercise price $543.3600, expires February 1, 2035
Option grant 3
2,445 shares at $391.40
Employee Stock Option, exercise price $391.4000, expires January 27, 2034
Option grant 4
2,763 shares at $344.45
Employee Stock Option, exercise price $344.4500, expires January 28, 2033
Option grant 5
3,143 shares at $298.09
Employee Stock Option, exercise price $298.0900, expires January 29, 2032
Key Terms
Phantom Stock, Employee Stock Option (right to buy), Ameriprise Financial 401(k) plan, Deferred Compensation Plan, +1 more
5 terms
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.
Employee Stock Option (right to buy) financial
"Employee Stock Option (right to buy) with underlying Ameriprise common stock"
Ameriprise Financial 401(k) plan financial
"held in the reporting person's account in the Ameriprise Financial 401(k) plan"
Deferred Compensation Plan financial
"in accordance with The Ameriprise Financial Deferred Compensation Plan"
A deferred compensation plan is an arrangement where an employer agrees to pay part of an employee’s pay or bonus at a later date instead of immediately, often to reduce current tax bills or to tie rewards to long-term performance. For investors it matters because these promises create future cash obligations and influence executive incentives and retention; they can affect a company’s reported liabilities, cash flow planning and the risk profile if the business faces financial trouble.
unit accounting financial
"This plan uses unit accounting and the number of shares varies"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What does Deirdre McGraw’s Form 3 filing show for Ameriprise (AMP)?
The Form 3 shows EVP Deirdre McGraw’s initial equity holdings in Ameriprise. She reports direct common shares, 401(k) plan holdings, phantom stock units, and multiple employee stock options with different exercise prices and expiration dates, establishing her baseline ownership as an executive.
What phantom stock does Deirdre McGraw report in her Ameriprise (AMP) Form 3?
She reports 2,650.9381 shares of phantom stock linked to Ameriprise common stock. Each phantom share represents the right to receive one Ameriprise common share, generally payable after employment ends or in a specified future year under the Deferred Compensation Plan.
What stock options does Deirdre McGraw hold in Ameriprise (AMP)?
McGraw holds several employee stock options to buy Ameriprise common stock, covering thousands of underlying shares. Exercise prices range from $165.41 to $543.36 per share, with expiration dates between 2030 and 2036, reflecting long-term equity-based compensation awards.
Are Deirdre McGraw’s Ameriprise (AMP) phantom stock and options fully vested?
Footnotes indicate at least one grant is fully vested, while others vest in thirds over one-, two-, and three-year periods from specific grant dates. Phantom stock is payable in common shares after employment ends or in a designated future year, according to plan terms.
Does Deirdre McGraw’s Form 3 for Ameriprise (AMP) show recent stock buys or sells?
The Form 3 functions as an initial ownership report and lists holdings rather than recent transactions. It shows her existing common stock, 401(k) plan position, phantom stock units, and stock options, without identifying open-market purchases or sales in the provided data.
AI-generated analysis. How Rhea-AI works. Not financial advice.
