Ameriprise director granted 182 phantom stock units

Ameriprise Financial director Liane J. Pelletier received a pro rata annual equity grant in the form of 182.3555 phantom stock (annual) units on February 3, 2026, valued at $530.05 per unit.

Rhea-AI Filing Summary

Ameriprise Financial director Liane J. Pelletier received a pro rata annual equity grant in the form of 182.3555 phantom stock (annual) units on February 3, 2026, valued at $530.05 per unit.

Each phantom stock unit represents the right to receive one share of Ameriprise common stock. The units will be settled in Ameriprise common shares on a one-for-one basis in a lump sum after the quarter following the end of her service as a non-employee director.

Insider Trade Summary

Grant/Award: 182.3555 shares

Grant/Award 1 txn

Insider PELLETIER LIANE J

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock (Annual)	182.3555	$530.05	$97K

Holdings After Transaction: Phantom Stock (Annual) — 182.3555 contracts (Direct)

Footnotes (3)

1. F1. The grant is a pro rata annual equity grant made as a result of the reporting person becoming a director effective as of November 12, 2025.
2. F2. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
3. F3. Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

FAQ

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

What insider transaction did Ameriprise Financial (AMP) report for Liane J. Pelletier?

Ameriprise Financial reported that director Liane J. Pelletier received 182.3555 phantom stock (annual) units on February 3, 2026. This is a pro rata annual equity grant awarded after she became a director effective November 12, 2025, as part of non-employee director compensation.

How many phantom stock units did Ameriprise director Liane J. Pelletier receive?

Liane J. Pelletier received 182.3555 phantom stock (annual) units from Ameriprise Financial. Each unit is tied to one share of Ameriprise common stock, giving her deferred equity-based compensation linked directly to the company’s share value over time.

What does Ameriprise phantom stock represent for director compensation at AMP?

Each Ameriprise phantom stock unit represents the right to receive one share of Ameriprise Financial, Inc. common stock. For directors, these units function as deferred share-based compensation that tracks the stock price until they are ultimately settled in actual shares.

When will Liane J. Pelletier’s Ameriprise phantom stock units be settled in common shares?

Pelletier’s phantom stock units will be settled in Ameriprise common stock after she ceases to be a non-employee director. She will receive the shares in a lump sum at the end of the quarter following the quarter when her Board service terminates.

Is the Ameriprise phantom stock grant to Liane J. Pelletier a one-for-one share settlement?

Yes. Each phantom stock unit granted to Liane J. Pelletier converts into one share of Ameriprise Financial common stock. Upon settlement, she will receive a lump-sum distribution of shares equal to the number of deferred share units she holds.

Why did Ameriprise grant a pro rata annual equity award to Liane J. Pelletier?

Ameriprise granted a pro rata annual equity award because Pelletier became a director effective November 12, 2025. The grant aligns her compensation with other non-employee directors while adjusting for her partial year of Board service during the applicable period.

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

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Accepted by SEC EDGAR 02/05/2026 - 05:57 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^*

PELLETIER LIANE J

(Last) (First) (Middle)

GENERAL COUNSEL'S OFFICE

1098 AMERIPRISE FINANCIAL CENTER

(Street)

MINNEAPOLIS MN 55474

(City) (State) (Zip)

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
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
02/03/2026

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

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

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

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

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
Phantom Stock (Annual)(1)	(2)	02/03/2026		A		182.3555		(3)	(3)	Common Stock	182.3555	$530.05	182.3555	D

Explanation of Responses:

1. The grant is a pro rata annual equity grant made as a result of the reporting person becoming a director effective as of November 12, 2025.

2. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

3. Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

	/s/ Wendy B. Mahling for Liane J. Pelletier	02/05/2026
	** 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.