Ameriprise CEO exercises options, sells shares

Ameriprise Financial Chairman and CEO James M. Cracchiolo exercised 52,932 employee stock options on July 28, 2026 at an exercise price of $165.41 per share, receiving the same number of common shares.

Rhea-AI Filing Summary

Ameriprise Financial Chairman and CEO James M. Cracchiolo exercised 52,932 employee stock options on July 28, 2026 at an exercise price of $165.41 per share, receiving the same number of common shares. To satisfy exercise price or tax obligations, 34,912 shares were delivered at $545.83 per share, and he sold 16,120 and 1,900 shares in open-market transactions at weighted average prices of $545.2789 and $546.6658 per share. The exercised options, which were fully vested and scheduled to expire on January 31, 2030, now show zero remaining. An estimated 1,738.321 shares of Ameriprise stock were held indirectly through his 401(k) plan account after these transactions.

Insider Trade Summary

Exercise and sale activity reported; no spread calculated

Exercise and Sale 6 txns

Insider CRACCHIOLO JAMES M

Role CHAIRMAN AND CEO

Sold 18,020 shs ($9.83M)

Approx. gross sale proceeds $9.83M

Approx. exercise cost $8.76M

Type	Security	Shares	Price	Value
Exercise	Employee Stock Option (right to buy) F4	52,932	$0.00	$0.00
Exercise	Common Stock	52,932	$165.41	$8.76M
Exercise Price or Tax Liability	Common Stock	34,912	$545.83	$19.06M
Sale	Common Stock F1	16,120	$545.2789	$8.79M
Sale	Common Stock F2	1,900	$546.6658	$1.04M
holding	Common Stock F3	--	--	--

Holdings After Transaction: Employee Stock Option (right to buy) — 0 contracts (Direct); Common Stock — 107,633 shares (Direct); Common Stock — 1,738.321 shares (Indirect, By 401(k) Plan)

Footnotes (4)

1. F1. Reflects the weighted average price of 16,120 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 28, 2026 with sale prices ranging from $545.00 to $545.585 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
2. F2. Reflects the weighted average price of 1,900 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 28, 2026 with sale prices ranging from $546.62 to $546.67 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
3. F3. 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 July 28, 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.
4. F4. Fully vested.

Key Figures

Options exercised: 52,932 shares Option exercise price: $165.41 per share Shares delivered for obligations: 34,912 shares +4 more

7 metrics

Options exercised 52,932 shares Employee stock options exercised on July 28, 2026

Option exercise price $165.41 per share Exercise price of Employee Stock Option (right to buy)

Shares delivered for obligations 34,912 shares Code F disposition at $545.83 per share

Open-market sale size 1 16,120 shares Weighted average sale price $545.2789 on July 28, 2026

Open-market sale size 2 1,900 shares Weighted average sale price $546.6658 on July 28, 2026

401(k) plan holdings 1,738.321 shares Estimated Ameriprise shares in 401(k) Stock Fund as of July 28, 2026

Option expiration date January 31, 2030 Original expiration of exercised Employee Stock Option

Key Terms

Employee Stock Option (right to buy), weighted average price, unit accounting, Ameriprise Financial Stock Fund, +1 more

5 terms

Employee Stock Option (right to buy) financial

"Security title listed as Employee Stock Option (right to buy)."

weighted average price financial

"Reflects the weighted average price of shares sold in multiple transactions."

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

unit accounting financial

"This plan uses unit accounting and the number of shares varies."

Ameriprise Financial Stock Fund financial

"Shares held in the Ameriprise Financial Stock Fund under the 401(k) plan."

exercise or conversion of derivative security financial

"Transaction code M described as exercise or conversion of derivative security."

FAQ

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

What did Ameriprise Financial (AMP) CEO James Cracchiolo report in this Form 4?

James M. Cracchiolo reported exercising 52,932 stock options and corresponding changes in common stock holdings on July 28, 2026. The filing details option exercise terms, shares delivered for obligations, open-market sales, and remaining 401(k) plan holdings.

How many Ameriprise (AMP) options did the CEO exercise and at what price?

He exercised 52,932 Employee Stock Options at an exercise price of $165.41 per share. These options converted into an equal number of Ameriprise common shares and had been scheduled to expire on January 31, 2030 before exercise.

How many Ameriprise (AMP) shares did James Cracchiolo sell on July 28, 2026?

He sold a total of 18,020 Ameriprise common shares in open-market transactions. This included 16,120 shares at a weighted average price of $545.2789 and 1,900 shares at a weighted average price of $546.6658 per share.

What portion of Ameriprise (AMP) shares covered exercise price or taxes in this Form 4?

A code F transaction shows 34,912 Ameriprise common shares delivered at $545.83 per share. This disposition was reported as payment of the option exercise price or related tax liability by delivering or withholding Ameriprise shares.

Does James Cracchiolo retain Ameriprise (AMP) shares in a 401(k) plan after these transactions?

Yes. The report lists an estimated 1,738.321 Ameriprise shares held indirectly through the Ameriprise Financial Stock Fund in his 401(k) plan account as of July 28, 2026, using unit accounting within the plan structure.

Were any Ameriprise (AMP) derivative positions left after the CEO’s option exercise?

The exercised Employee Stock Option position shows 0 shares remaining following the transaction. No additional derivative holdings are listed in the derivative summary section of this report for James M. Cracchiolo.

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

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Available on EDGAR 07/30/2026 - 05:26 PM Accepted by SEC EDGAR 07/30/2026 - 05:25 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^*

CRACCHIOLO JAMES 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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CHAIRMAN AND CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/28/2026

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	07/28/2026		M		52,932	A	$165.41	160,565	D
Common Stock	07/28/2026		F		34,912	D	$545.83	125,653	D
Common Stock	07/28/2026		S		16,120	D	$545.2789(1)	109,533	D
Common Stock	07/28/2026		S		1,900	D	$546.6658(2)	107,633	D
Common Stock								1,738.321(3)	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
Employee Stock Option (right to buy)	$165.41	07/28/2026		M			52,932	(4)	01/31/2030	Common Stock	52,932	$0	0	D

Explanation of Responses:

1. Reflects the weighted average price of 16,120 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 28, 2026 with sale prices ranging from $545.00 to $545.585 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

2. Reflects the weighted average price of 1,900 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 28, 2026 with sale prices ranging from $546.62 to $546.67 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

3. 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 July 28, 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.

4. Fully vested.

	/s/ Wendy B. Mahling for James M. Cracchiolo	07/30/2026
	** 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)