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Ameriprise (AMP) President converts 309 shares, sells 145 for taxes

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Ameriprise Financial, Inc. (AMP) – Form 4 insider transaction

On 10 July 2025, Joseph E. Sweeney, President – AWM Products & Services, reported two transactions involving Ameriprise common stock:

  • Code “M”: conversion of 309.0202 phantom stock units into an equal number of AMP common shares (acquisition).
  • Code “F”: disposition of 145.0202 shares at $542.51 per share to cover withholding taxes.

After these trades, Sweeney directly owns 7,546.0202 AMP shares and indirectly holds an estimated 294.56 shares through the company’s 401(k) plan. He also retains 772.5522 phantom stock units that will be settled in AMP shares upon termination or a future elected date.

The filing reflects a net increase of 164.0 shares in the insider’s direct ownership. No other material corporate events, earnings data, or strategic disclosures are included.

Positive

  • Officer acquired 309.0202 AMP shares through phantom stock conversion, increasing direct holdings to 7,546 shares.

Negative

  • 145.0202 shares were withheld and disposed of to satisfy tax obligations at $542.51 per share.

Insights

TL;DR: Routine insider exercise; net +164 shares; negligible impact on AMP valuation.

The Form 4 shows a standard deferred-compensation conversion and associated tax withholding by a senior officer. The 309-share exercise and 145-share withholding are immaterial relative to Ameriprise’s ~100 million share count. No purchase on the open market occurred, and there are no indications of strategic intent beyond routine plan administration. Therefore, the disclosure is neutral for investors and unlikely to influence AMP’s trading dynamics.

Insider Sweeney Joseph Edward
Role PRES-AWM PRODUCTS & SERVICES
Type Security Shares Price Value
Exercise Phantom Stock 309.02 $0.00 --
Exercise Common Stock 309.02 $0.00 --
Tax Withholding Common Stock 145.02 $542.51 $79K
holding Common Stock -- -- --
Holdings After Transaction: Phantom Stock — 772.552 shares (Direct); Common Stock — 7,546.02 shares (Direct); Common Stock — 294.56 shares (Indirect, By 401(k) Plan)
Footnotes (1)
  1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. 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 10, 2025. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.
Form 4 Insider Transactions: What Each Field Means →
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*
Sweeney Joseph Edward
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
PRES-AWM PRODUCTS & SERVICES
3. Date of Earliest Transaction (Month/Day/Year)
07/10/2025
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
Common Stock 07/10/2025 M 309.0202 A (1) 7,546.0202 D
Common Stock 07/10/2025 F 145.0202 D $542.51 7,401 D
Common Stock 294.56(2) 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
Phantom Stock (1) 07/10/2025 M 309.0202 (3) (3) Common Stock 309.0202 (1) 772.5522 D
Explanation of Responses:
1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
2. 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 10, 2025. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
3. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.
/s/ Wendy B. Mahling for Joseph E. Sweeney 07/14/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

How many AMP shares did Joseph E. Sweeney acquire on July 10, 2025?

He acquired 309.0202 shares via conversion of phantom stock units.

How many shares did the insider dispose of for taxes?

He disposed of 145.0202 shares at $542.51 per share under transaction code "F".

What is Joseph Sweeney's total direct AMP share ownership after the transactions?

His direct ownership stands at 7,546.0202 shares.

Does the Form 4 include any derivative holdings?

Yes, Sweeney retains 772.5522 phantom stock units payable in AMP shares.

Is this filing considered material to AMP investors?

Given the small share amounts relative to AMP’s float, the insider activity is viewed as routine and not materially impactful.