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Ameriprise (NYSE: AMP) director receives deferred phantom stock award

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

Rhea-AI Filing Summary

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

Ameriprise Financial director Christopher J. Williams received a grant of 43.389 shares of phantom stock as retainer deferral. Each phantom share represents the right to receive one share of Ameriprise common stock.

After this award, Williams holds a total of 3,875.0808 phantom stock units.

Positive

  • None.

Negative

  • None.
Insider WILLIAMS CHRISTOPHER J
Role null
Type Security Shares Price Value
Grant/Award Phantom Stock (Retainer Deferral) 43.389 $475.35 $21K
Holdings After Transaction: Phantom Stock (Retainer Deferral) — 3,875.081 shares (Direct, null)
Footnotes (1)
  1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Outside Directors.
Phantom stock granted 43.389 units Retainer deferral grant on April 28, 2026
Reference price per unit $475.35 per unit Transaction price per phantom stock share
Total phantom stock after grant 3,875.0808 units Director holdings of phantom stock following transaction
Underlying common stock 43.389 shares Common stock represented by the new phantom stock units
Phantom Stock financial
"Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock."
A phantom stock is a form of compensation that gives employees or executives the benefits of stock ownership, such as the increase in stock value, without actually giving them real shares. It acts like a promise to pay the employee the equivalent value of company stock later, often as a bonus or incentive. This allows companies to motivate and reward staff without diluting ownership or transferring actual shares.
Retainer Deferral financial
"Phantom Stock (Retainer Deferral)"
Deferred Stock Units financial
"Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants"
Deferred stock units are promises from a company to give an employee shares of stock at a future date, often after certain conditions are met or after leaving the company. They function like a form of delayed compensation, allowing employees to earn shares over time. For investors, they represent potential future ownership in the company, but do not provide immediate voting rights or dividends until the shares are actually received.
Deferred Share Plan for Outside Directors financial
"in the manner permitted by Ameriprise Financial Deferred Share Plan for Outside Directors."
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/28/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Phantom Stock (Retainer Deferral)(1)04/28/2026A43.389 (2) (2)Common Stock43.389$475.353,875.0808D
Explanation of Responses:
1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
2. Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Outside Directors.
/s/ Wendy B. Mahling for Christopher J. Williams04/30/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Ameriprise Financial (AMP) report for Christopher J. Williams?

Ameriprise reported that director Christopher J. Williams received 43.389 shares of phantom stock as a retainer deferral award. This is a compensation-related grant, not an open-market purchase or sale of Ameriprise common stock.

What is the size of Christopher J. Williams’ new phantom stock grant at Ameriprise (AMP)?

Christopher J. Williams was granted 43.389 phantom stock units with a reference price of $475.35 per unit. Each unit represents the right to receive one share of Ameriprise Financial common stock under the company’s deferred share plan for outside directors.

How many phantom stock units does Christopher J. Williams hold after this Ameriprise (AMP) Form 4?

Following the April 28, 2026 grant, Christopher J. Williams holds a total of 3,875.0808 phantom stock units. These units track Ameriprise Financial common stock value and are distributed according to elections made under the deferred share plan for outside directors.

Does the Ameriprise (AMP) Form 4 show an open-market buy or sell by Christopher J. Williams?

No, the Form 4 shows a grant coded as “A” for award or other acquisition of phantom stock, not an open-market transaction. It reflects compensation deferred into phantom stock units rather than a discretionary purchase or sale of Ameriprise shares in the market.

How are Ameriprise (AMP) deferred phantom stock units for outside directors distributed?

Distributions of Ameriprise deferred stock units are made according to elections made by plan participants. The Ameriprise Financial Deferred Share Plan for Outside Directors specifies how and when these phantom units are ultimately settled into Ameriprise common stock.