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Ameriprise Financial (AMP) director receives new phantom stock grant

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

Rhea-AI Filing Summary

NEAL BLIXT DIANNE reported acquisition or exercise transactions in this Form 4 filing.

Ameriprise Financial director Dianne Neal Blixt received a grant of 441.7518 phantom stock units as compensation. Each phantom share represents the right to receive one share of Ameriprise Financial common stock. After this award, she holds a total of 13,122.6137 phantom stock units.

The phantom stock is deferred: when she ceases to be a non-employee director, her deferred share units will be settled in Ameriprise common stock on a one-for-one basis, paid in a lump sum at the end of the quarter following her departure from the board.

Positive

  • None.

Negative

  • None.
Insider NEAL BLIXT DIANNE
Role null
Type Security Shares Price Value
Grant/Award Phantom Stock (Annual) 441.752 $0.00 --
Holdings After Transaction: Phantom Stock (Annual) — 13,122.614 shares (Direct, null)
Footnotes (1)
  1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. 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.
Phantom stock grant 441.7518 units Grant of phantom stock (Annual) on April 29, 2026
Total phantom stock holdings 13,122.6137 units Balance following the reported grant
Grant price per unit $0.0000 Reported transaction price for phantom stock grant
Underlying common stock 441.7518 shares Common stock underlying 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.
deferred share units financial
"in 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."
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*
NEAL BLIXT DIANNE
(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)
04/29/2026		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 (Annual)(1)04/29/2026A441.7518 (2) (2)Common Stock441.7518$013,122.6137D
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 Dianne Neal Blixt05/01/2026
** 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 did Ameriprise Financial (AMP) director Dianne Neal Blixt report in this Form 4?

She reported receiving 441.7518 phantom stock units as a grant. These units are a form of deferred compensation tied one-for-one to Ameriprise common stock and increase her total phantom stock holdings to 13,122.6137 units.

How many Ameriprise Financial phantom stock units does Dianne Neal Blixt hold after this transaction?

After this grant, she holds 13,122.6137 phantom stock units. Each phantom unit is linked to one share of Ameriprise common stock, so this figure reflects her total deferred stock-based compensation balance reported in phantom units.

What does Ameriprise Financial phantom stock represent in this Form 4 for AMP?

Each phantom stock unit represents the right to receive one share of Ameriprise common stock. It is a deferred share unit, meaning the director will receive actual common shares later, rather than immediately at the time of grant.

When will Dianne Neal Blixt receive Ameriprise common stock for her phantom stock units?

She will receive Ameriprise common stock when she stops serving as a non-employee director. The shares are delivered in a lump sum at the end of the quarter after the quarter in which her board service terminates, based on a one-for-one share conversion.

Is this Ameriprise Financial (AMP) Form 4 transaction a market purchase or sale of stock?

No, it is not a market trade. The filing shows a grant of 441.7518 phantom stock units as deferred compensation, with a reported price of $0.0000 per unit, rather than an open-market purchase or sale of Ameriprise common shares.