Ameriprise executive sells 472 shares of stock

Ameriprise Financial Inc. executive Dawn M. Brockman, SVP and Controller, reported a sale of 472 shares of Common Stock on August 10, 2026 at $558.9301 per share in an open-market or private transaction.

Rhea-AI Filing Summary

Ameriprise Financial Inc. executive Dawn M. Brockman, SVP and Controller, reported a sale of 472 shares of Common Stock on August 10, 2026 at $558.9301 per share in an open-market or private transaction. Following this sale, she directly holds 713 shares and has an estimated 146.793 shares held indirectly through the Ameriprise Financial Stock Fund in the company 401(k) plan, which uses unit accounting so the deemed share amount varies with the stock price.

Insider Trade Summary

Net Seller: 472 shares

Net Sell 2 txns

Insider Brockman Dawn M.

Role SVP AND CONTROLLER

Sold 472 shs ($264K)

Type	Security	Shares	Price	Value
Sale	Common Stock	472	$558.9301	$264K
holding	Common Stock F1	--	--	--

Holdings After Transaction: Common Stock — 713 shares (Direct); Common Stock — 146.793 shares (Indirect, By 401(k) Plan)

Footnotes (1)

1. 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 August 10, 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.

Key Figures

Shares sold: 472 shares Sale price per share: $558.9301 Direct holdings after sale: 713 shares +1 more

4 metrics

Shares sold 472 shares Common Stock sold on August 10, 2026

Sale price per share $558.9301 Per-share price for the 472-share sale

Direct holdings after sale 713 shares Direct Common Stock owned following the transaction

Indirect 401(k) holdings 146.793 shares Estimated Ameriprise shares in 401(k) Stock Fund as of August 10, 2026

Key Terms

unit accounting, Ameriprise Financial Stock Fund, 401(k) plan

3 terms

unit accounting financial

"This plan uses unit accounting and the number of shares that a participant is deemed to hold varies"

Ameriprise Financial Stock Fund financial

"shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan"

401(k) plan financial

"account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of August 10, 2026"

A 401(k) plan is a workplace retirement account that lets employees set aside part of their pay into a tax-advantaged savings pot, often with employers adding matching contributions — like a workplace piggy bank for future income. It matters to investors because the amount people save and how employers fund these plans influence consumer spending, corporate payroll costs and the flow of money into financial markets, which can affect stock prices and company valuations.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Ameriprise Financial (AMP) report for Dawn M. Brockman?

Dawn M. Brockman, SVP and Controller, sold 472 shares of Ameriprise Financial Common Stock on August 10, 2026 at $558.9301 per share in an open-market or private transaction.

How many Ameriprise Financial (AMP) shares did Dawn M. Brockman retain after the sale?

After the reported sale, Dawn M. Brockman directly holds 713 shares of Ameriprise Financial Common Stock and has an estimated 146.793 shares indirectly through the Ameriprise Financial Stock Fund in the 401(k) plan.

What was the total size of Dawn M. Brockman’s Ameriprise (AMP) stock sale?

Dawn M. Brockman sold 472 shares of Ameriprise Financial Common Stock at $558.9301 per share. The transaction is reported as a sale in an open-market or private transaction, based on the Form 4 coding.

How are Dawn M. Brockman’s Ameriprise (AMP) 401(k) holdings reported?

Her 401(k) position is reported as an estimated 146.793 shares in the Ameriprise Financial Stock Fund. The plan uses unit accounting, so the number of deemed shares varies with the Ameriprise stock price.

Is Dawn M. Brockman’s Ameriprise (AMP) stock ownership direct or indirect?

She has both: a direct holding of 713 shares of Common Stock, and an indirect estimated holding of 146.793 shares through the Ameriprise Financial Stock Fund in the company’s 401(k) plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/12/2026 - 04:56 PM Accepted by SEC EDGAR 08/12/2026 - 04:55 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Brockman Dawn M.

(Last) (First) (Middle)

GENERAL COUNSEL'S OFFICE

1098 AMERIPRISE FINANCIAL CENTER

(Street)

MINNEAPOLIS MINNESOTA 55474

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC [ AMP ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP AND CONTROLLER

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/10/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/10/2026		S		472	D	$558.9301	713	D
Common Stock								146.793(1)	I	By 401(k) Plan

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

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 August 10, 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.

	/s/ Wendy B. Mahling for Dawn M. Brockman	08/12/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)