Ameriprise director receives phantom stock grant

WILLIAMS CHRISTOPHER J reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

WILLIAMS CHRISTOPHER J reported acquisition or exercise transactions in this Form 4 filing.

AMERIPRISE FINANCIAL INC director Christopher J. Williams received an annual grant of 441.7518 phantom stock units tied to common shares. Each phantom share represents the right to receive one share of Ameriprise common stock. Following this grant, he holds 9,707.6232 phantom stock units.

The phantom stock will be settled in Ameriprise common stock in a lump sum after he ceases to be a non-employee director, at the end of the quarter following his departure from the Board.

Insider Trade Summary

Grant/Award: 441.7518 shares

Grant/Award 1 txn

Insider WILLIAMS CHRISTOPHER J

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock (Annual)	441.7518	$0.00	$0.00

Holdings After Transaction: Phantom Stock (Annual) — 9,707.6232 contracts (Direct)

Footnotes (2)

1. F1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
2. F2. 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.

Key Figures

Phantom stock units granted: 441.7518 units Total phantom stock after grant: 9,707.6232 units Underlying common stock per unit: 1 share per unit

3 metrics

Phantom stock units granted 441.7518 units Annual phantom stock award on April 29, 2026

Total phantom stock after grant 9,707.6232 units Deferred equity holdings following reported transaction

Underlying common stock per unit 1 share per unit Each phantom share equals one Ameriprise common share

Key Terms

Phantom Stock (Annual), deferred share units, non-employee director, lump sum

4 terms

Phantom Stock (Annual) financial

"security_title: "Phantom Stock (Annual)""

deferred share units financial

"settlement of the reporting director's deferred share units on a one-for-one basis"

Deferred share units are promises that give an executive or director the right to receive company shares or their cash value at a future date, often when they retire or leave the company. Think of them as a paycheck held in a savings account that converts into stock later; they matter to investors because they tie pay to long-term performance, create potential future dilution of shares, and represent a delayed cash or share obligation the company must eventually fulfill.

non-employee director financial

"Upon ceasing to be a non-employee director of Ameriprise Financial, Inc."

lump sum financial

"in a lump sum at the end of the quarter immediately following"

A lump sum is a single, one-time payment of the full amount owed instead of spreading the same money over multiple smaller payments. For investors, receiving or paying a lump sum affects cash flow, reinvestment opportunities and tax timing—like getting a full paycheck at once rather than regular paychecks—so it changes liquidity, risk exposure and the timing of returns.

FAQ

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

What did Ameriprise (AMP) director Christopher J. Williams report on this Form 4?

Christopher J. Williams reported receiving an annual grant of 441.7518 phantom stock units. These units are a form of deferred equity compensation that track Ameriprise common stock and will convert into shares when he leaves the Board, rather than reflecting any open-market stock purchase or sale.

How many phantom stock units does Christopher J. Williams now hold at Ameriprise (AMP)?

After this grant, Christopher J. Williams holds 9,707.6232 phantom stock units. Each phantom unit corresponds to one share of Ameriprise common stock, giving a clear view of his accumulated deferred equity awards as a non-employee director under the company’s compensation arrangements.

What is Ameriprise (AMP) phantom stock as reported in this filing?

In this context, Ameriprise phantom stock represents deferred share units equal to one common share each. They do not involve cash transactions now but promise delivery of Ameriprise common stock on a one-for-one basis when the director’s Board service eventually ends under the plan’s terms.

When will Christopher J. Williams receive Ameriprise (AMP) shares from these phantom stock units?

He will receive Ameriprise common shares after he ceases to be a non-employee director. The phantom units settle in a lump sum at the end of the quarter following the quarter in which his Board service terminates, according to the plan’s described settlement schedule.

Does this Ameriprise (AMP) Form 4 show any open-market stock purchases or sales?

No, this Form 4 only shows a grant of phantom stock units as compensation. The transaction is coded as an acquisition award, with no reported open-market buying or selling of Ameriprise common stock by the director in the disclosed transaction data.

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

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Accepted by SEC EDGAR 05/01/2026 - 06:10 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^*

WILLIAMS CHRISTOPHER J

(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
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/29/2026

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

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)	04/29/2026		A		441.7518		(2)	(2)	Common Stock	441.7518	$0	9,707.6232	D

Explanation of Responses:

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

2. 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 Christopher J. Williams	05/01/2026
	** 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)