Ameriprise director granted 441 phantom stock units

Sharpe Robert Francis JR reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Sharpe Robert Francis JR reported acquisition or exercise transactions in this Form 4 filing.

AMERIPRISE FINANCIAL INC director Robert Francis Sharpe Jr. received a grant of 441.7518 shares of Phantom Stock (Annual) on April 29, 2026. Each phantom share represents the right to receive one share of Ameriprise common stock. Following this award, he holds a total of 40,092.3106 phantom stock units.

These deferred share units 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 termination from the Board.

Insider Trade Summary

Grant/Award: 441.7518 shares

Grant/Award 1 txn

Insider Sharpe Robert Francis JR

Role Director

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

Holdings After Transaction: Phantom Stock (Annual) — 40,092.3106 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 grant: 441.7518 units Total phantom stock after grant: 40,092.3106 units Underlying common stock: 1 share per phantom unit +1 more

4 metrics

Phantom stock grant 441.7518 units Phantom Stock (Annual) awarded on April 29, 2026

Total phantom stock after grant 40,092.3106 units Director’s phantom stock holdings following transaction

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

Transaction code A (Grant, award, or other acquisition) Indicates compensation-related acquisition of derivative units

Key Terms

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

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.

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.

non-employee director regulatory

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

FAQ

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

What did Ameriprise Financial (AMP) director Robert Sharpe report in this Form 4?

He reported receiving 441.7518 Phantom Stock (Annual) units as a grant. Each unit tracks one share of Ameriprise common stock and increases his total phantom stock holdings to 40,092.3106 units under the company’s director compensation arrangements.

How many Ameriprise (AMP) phantom stock units does Robert Sharpe now hold?

After the April 29, 2026 grant, Robert Sharpe holds 40,092.3106 phantom stock units. These units represent deferred share-based compensation linked one-for-one to Ameriprise common stock, to be settled after he leaves the Board as a non-employee director.

What does Ameriprise Financial (AMP) phantom stock represent for directors?

Each share of Ameriprise phantom stock represents the right to receive one share of common stock. For non-employee directors, these deferred units function as share-based compensation that mirrors the stock’s value without immediate share issuance or current stock delivery.

When will Ameriprise (AMP) settle Robert Sharpe’s phantom stock units?

Ameriprise will settle his deferred share units after he stops serving as a non-employee director. The common stock is delivered in a lump sum at the end of the quarter following the quarter in which his Board service terminates, based on outstanding deferred units.

Is Robert Sharpe’s Ameriprise (AMP) Form 4 a stock purchase or a grant?

It reflects a grant, not an open-market stock purchase. The transaction is coded as an “A” acquisition, described as a grant or award of 441.7518 Phantom Stock (Annual) units as part of his compensation, rather than a discretionary market buy or sell.

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

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Accepted by SEC EDGAR 05/01/2026 - 06:14 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^*

Sharpe Robert Francis JR

(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	40,092.3106	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 Robert F. Sharpe Jr.	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)