Ameriprise executive files Form 3 holdings
Ameriprise Financial executive William Jerryl Williams filed an initial ownership report showing direct holdings of 17,242.926 shares of common stock.
Rhea-AI Filing Summary
Ameriprise Financial executive William Jerryl Williams filed an initial ownership report showing direct holdings of 17,242.926 shares of common stock. He also holds 15,115.4173 units of phantom stock, payable in Ameriprise common shares, and several employee stock options covering tens of thousands of shares at exercise prices between $126.89 and $543.36 per share, with expirations from 2029 through 2036. Footnotes explain that some options vest in three annual installments and that each phantom stock unit represents one share of Ameriprise common stock under the company’s deferred compensation plan.
Positive
- None.
Negative
- None.
Insider Trade Summary
10 transactions reported
Mixed
10 txns
Insider
Williams William Jerryl
Role
Pres, Wealth Mgmt Advisor Grp
| 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 | Employee Stock Option (right to buy) | -- | -- | -- |
| holding | Phantom Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Employee Stock Option (right to buy) — 42,963 contracts (Direct);
Phantom Stock — 15,115.4173 contracts (Direct);
Common Stock — 17,242.926 shares (Direct)
Footnotes (6)
- F1. Fully vested.
- F2. 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.
- 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 31, 2025.
- 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 February 2, 2026.
- F5. 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.
- F6. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
Key Figures
Direct common shares: 17,242.926 shares
Phantom stock units: 15,115.4173 units
Option grant 1 exercise price: $543.36/share
+4 more
7 metrics
Direct common shares
17,242.926 shares
Common Stock holdings following transaction
Phantom stock units
15,115.4173 units
Phantom Stock tied to Ameriprise common
Option grant 1 exercise price
$543.36/share
Employee Stock Option expiring 2035-02-01
Option grant 2 exercise price
$532.18/share
Employee Stock Option expiring 2036-02-03
Largest option underlying shares
13,480.0000 shares
Employee Stock Option at $165.41, expiring 2030-02-01
Lowest option exercise price
$126.89/share
Employee Stock Option expiring 2029-02-02, 3,634 shares
Highest option exercise price
$543.36/share
Employee Stock Option on 2,656 shares, expiring 2035-02-01
Key Terms
Phantom Stock, Deferred Compensation Plan, Employee Stock Option (right to buy), vest, +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.
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.
Employee Stock Option (right to buy) financial
"Employee Stock Option (right to buy)"
vest financial
"One-third of the options vest after one year; one-third of the options vest after two years"
A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those benefits.
underlying security financial
"underlying_security_title: "Common Stock", underlying_security_shares"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What does the Ameriprise (AMP) Form 3 filing by William Jerryl Williams show?
The Form 3 shows William Jerryl Williams’ initial ownership in Ameriprise common stock, phantom stock, and stock options. It reports his direct equity position and deferred compensation-linked units, but does not disclose any recent purchases or sales of AMP shares.
What is the phantom stock position reported for Ameriprise (AMP) on this Form 3?
The filing reports 15,115.4173 phantom stock units tied to Ameriprise common stock. Each unit represents the right to receive one AMP share, generally payable after employment ends or in a specified future year under the Ameriprise Deferred Compensation Plan.
What stock options for Ameriprise (AMP) are disclosed for William Jerryl Williams?
The Form 3 lists multiple employee stock options on Ameriprise common stock, with exercise prices from $126.89 to $543.36 and expirations between 2029 and 2036. These options give him the right to buy AMP shares at the stated prices before expiration.
How do the Ameriprise (AMP) option vesting terms work in this Form 3?
Footnotes state that for several grants, one-third of the options vest after one year, another third after two years, and the final third after three years from specific grant dates, creating a staggered vesting schedule over three years for those Ameriprise option awards.
How are Ameriprise (AMP) phantom stock units paid according to this filing?
Phantom stock units are payable in Ameriprise common shares following termination of employment or during a specified future year. The units are governed by The Ameriprise Financial Deferred Compensation Plan and each unit equals one AMP common share when settled.
AI-generated analysis. How Rhea-AI works. Not financial advice.
