Ameriprise Financial (NYSE: AMP) EVP Davies reports stock sale and option grant

Rhea-AI Filing Summary

Ameriprise Financial executive William Davies, Executive VP and Global CIO, reported several equity transactions in company stock. On January 31, 2026, he disposed of 78.0711 shares of common stock at $527.19 per share, leaving 14,000.3538 shares directly owned.

On February 2, 2026, he acquired 529 common shares at $0, increasing his direct common stock holdings to 14,529.3538 shares. That same day, he was granted 1,729 employee stock options with an exercise price of $532.18 per share, all directly owned.

According to the footnote, one-third of these options vest after one year, another third after two years, and the final third three years from February 2, 2026, creating a three-year, time-based vesting schedule.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Davies William

Role EXECUTIVE VP, GLOBAL CIO

Type	Security	Shares	Price	Value
Grant/Award	Employee Stock Option (right to buy)	1,729	$0.00	--
Grant/Award	Common Stock	529	$0.00	--
Disposition	Common Stock	78.071	$527.19	$41K

Holdings After Transaction: Employee Stock Option (right to buy) — 1,729 shares (Direct); Common Stock — 14,529.354 shares (Direct)

Footnotes (1)

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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^*

Davies William

(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)
	EXECUTIVE VP, GLOBAL CIO

3. Date of Earliest Transaction (Month/Day/Year)
01/31/2026

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	01/31/2026		D		78.0711	D	$527.19	14,000.3538	D
Common Stock	02/02/2026		A		529	A	$0	14,529.3538	D

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
Employee Stock Option (right to buy)	$532.18	02/02/2026		A		1,729		(1)	02/03/2036	Common Stock	1,729	$0	1,729	D

Explanation of Responses:

1. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 2, 2026.

	/s/ Wendy B. Mahling for William Davies	02/03/2026
	** 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.

FAQ

What insider transactions did William Davies report in Ameriprise Financial (AMP) stock?

William Davies reported one sale, one stock acquisition, and one stock option grant. He sold 78.0711 common shares, received 529 common shares at no cost, and was granted 1,729 employee stock options with a $532.18 exercise price, all in early 2026.

How many Ameriprise Financial (AMP) shares does William Davies own after these transactions?

After the reported transactions, William Davies directly owns 14,529.3538 Ameriprise Financial common shares. This reflects the sale of 78.0711 shares on January 31, 2026, followed by the acquisition of 529 shares at no cost on February 2, 2026.

At what price did William Davies sell Ameriprise Financial (AMP) shares?

William Davies sold 78.0711 Ameriprise Financial common shares at a price of $527.19 per share. The sale occurred on January 31, 2026, and left him with 14,000.3538 directly owned common shares immediately following that transaction.

What stock options were granted to William Davies at Ameriprise Financial (AMP)?

On February 2, 2026, William Davies received 1,729 employee stock options to buy Ameriprise Financial common stock at an exercise price of $532.18. These options were granted at no cost and are held directly, with time-based vesting over three years.

How do William Davies’s Ameriprise Financial (AMP) stock options vest?

The 1,729 stock options vest in three equal parts over three years. One-third vests after one year from February 2, 2026, another third after two years, and the final third three years from that date, creating a staged vesting schedule.

What role does William Davies hold at Ameriprise Financial (AMP)?

William Davies serves as an officer of Ameriprise Financial with the title Executive Vice President, Global Chief Investment Officer. The reported stock and option transactions reflect equity interests directly associated with his executive position at the company.