[Form 4] Ameriprise Financial, Inc. Insider Trading Activity
Rhea-AI Filing Summary
William F. Truscott, an officer of Ameriprise Financial, Inc. (AMP), reported multiple transactions in the company on August 19, 2025. He exercised employee stock options to acquire 28,546 shares at an exercise price of $165.41, resulting in 28,546 shares underlying the option and 28,546 common shares acquired. On the same day he sold 9,929 shares at a weighted average price of $506.8923 and sold an additional 18,617 shares at $506.57. The filing shows beneficial ownership balances after those transactions of 33,368 shares held directly, 11,047 shares held indirectly via an LLC, and an estimated 306.42 shares held in his Ameriprise 401(k) stock fund account. The reporting person certified the transactions and provided explanatory notes on tax-related forfeiture and 401(k) unit accounting.
Positive
- None.
Negative
- None.
Insights
TL;DR: Insider exercised options and sold shares the same day, converting low-cost options into cash while retaining significant direct and indirect holdings.
The reporting shows an in-the-money exercise of 28,546 option shares at $165.41 followed by contemporaneous sales totaling 28,546 shares (18,617 and 9,929), with sale prices around $506.57–$507.24. This indicates standard option monetization: capture of intrinsic value while maintaining some ownership via direct and indirect holdings. The filing includes clarifying notes on share forfeiture for tax withholding and 401(k) unit accounting, which explains differences between direct and indirect counts. For investors, these are routine insider liquidity actions rather than governance changes.
TL;DR: Transactions appear procedural and documented, with tax withholding and plan accounting noted; no governance concerns disclosed.
The Form 4 documents option exercise and subsequent sales by an officer, and it discloses direct and indirect holdings including an LLC and a 401(k) plan estimate. The explanatory notes clarify forfeiture to satisfy tax withholding and the unit-based nature of the 401(k) stock fund. Signature and certification are present. There is no indication of unusual related-party transfers, departures, or material changes to board/executive roles in this filing.
Insider Trade Summary
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Employee Stock Option (right to buy) | 28,546 | $0.00 | -- |
| Exercise | Common Stock | 28,546 | $165.41 | $4.72M |
| Tax Withholding | Common Stock | 18,617 | $506.57 | $9.43M |
| Sale | Common Stock | 9,929 | $506.8923 | $5.03M |
| holding | Common Stock | -- | -- | -- |
Footnotes (1)
- The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon exercise to the reporting person's indirect LLC holdings. Reflects the weighted average price of 9,929 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on August 19, 2025 with sale prices ranging from $506.4422 to $507.2442 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. 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 August 19, 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. Fully vested.
