Ameriprise executive exercises phantom stock awards

Ameriprise Financial Inc executive William Jerryl Williams, President, Wealth Management Advisor Group, exercised 53.9843 phantom stock units into common stock on July 9, 2026.

Rhea-AI Filing Summary

Ameriprise Financial Inc executive William Jerryl Williams, President, Wealth Management Advisor Group, exercised 53.9843 phantom stock units into common stock on July 9, 2026. To cover related tax obligations, 23.9843 common shares were withheld, leaving 17,272.9260 common shares held directly and 15,061.4331 phantom stock units outstanding.

Filing Explained

After the July 9 transactions, the reporting person held 17,272.926 direct common shares and 15,061.4331 phantom-stock units.

A Form 4 reports an insider's transaction within two business days. The July 13, 2026 filing reports July 9, 2026 transactions by William J. Williams, President of the Wealth Management Advisor Group.

The filing records 53.9843 phantom-stock units exercised into common stock and 23.9843 common shares withheld at $500.16; the structural change disclosed is to the reporting person's holdings.

Each phantom-stock unit represents the right to receive one Ameriprise common share, but the filing states that payment occurs after termination of employment or during a specified future year under the deferred compensation plan.

The M code identifies an option or derivative exercise, while F identifies shares withheld to cover taxes on vesting.

Following the reported transactions, Williams held 17,272.926 common shares directly and 15,061.4331 phantom-stock units directly.

The plan's stated future payment timing is the specific item to track; this filing does not establish that the remaining phantom-stock units have already been issued as common shares.

Insider Trade Summary

53.9843 shares exercised/converted

Exercise 3 txns

Insider Williams William Jerryl

Role Pres, Wealth Mgmt Advisor Grp

Type	Security	Shares	Price	Value
Exercise	Phantom Stock F1, F2	53.9843	--	--
Exercise	Common Stock F1	53.9843	--	--
Exercise Price or Tax Liability	Common Stock	23.9843	$500.16	$12K

Holdings After Transaction: Phantom Stock — 15,061.4331 contracts (Direct); Common Stock — 17,272.926 shares (Direct)

Footnotes (2)

1. F1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
2. F2. 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.

Key Figures

Common shares from phantom stock exercise: 53.9843 shares Shares withheld for taxes: 23.9843 shares Direct common stock holdings: 17,272.9260 shares +1 more

4 metrics

Common shares from phantom stock exercise 53.9843 shares Common shares acquired via phantom stock exercise on 2026-07-09

Shares withheld for taxes 23.9843 shares Common shares delivered to satisfy tax liability on 2026-07-09

Direct common stock holdings 17,272.9260 shares Ameriprise common shares held directly after transactions on 2026-07-09

Phantom stock units remaining 15,061.4331 units Phantom stock balance after exercise on 2026-07-09

Key Terms

Phantom Stock, tax-withholding disposition, derivative security, Deferred Compensation Plan

4 terms

Phantom Stock financial

"Security title reported as Phantom Stock linked to Ameriprise common shares"

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.

tax-withholding disposition financial

"Transaction coded F described as a tax-withholding disposition of shares"

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

derivative security financial

"Code M is defined as an exercise or conversion of a derivative security"

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

Deferred Compensation Plan financial

"Units are payable under The Ameriprise Financial Deferred Compensation Plan"

A deferred compensation plan is an arrangement where an employer agrees to pay part of an employee’s pay or bonus at a later date instead of immediately, often to reduce current tax bills or to tie rewards to long-term performance. For investors it matters because these promises create future cash obligations and influence executive incentives and retention; they can affect a company’s reported liabilities, cash flow planning and the risk profile if the business faces financial trouble.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider equity transactions did Ameriprise Financial (AMP) report for William Jerryl Williams?

Ameriprise reported that William Jerryl Williams exercised 53.9843 phantom stock units into common stock on July 9, 2026, and had 23.9843 common shares withheld to satisfy tax obligations related to this compensation-linked transaction.

How many Ameriprise (AMP) common shares does William Jerryl Williams hold after these transactions?

Following the July 9, 2026 activity, Williams directly holds 17,272.9260 Ameriprise common shares. This figure reflects the net position after exercising phantom stock units and the 23.9843 shares withheld for tax liabilities.

What happened to William Jerryl Williams’s Ameriprise (AMP) phantom stock position?

After exercising 53.9843 phantom stock units into common stock, Williams continues to hold 15,061.4331 phantom stock units. Each phantom stock unit represents the right to receive one Ameriprise common share under the company’s deferred compensation arrangements.

Is the Ameriprise (AMP) Form 4 transaction a market sale or tax withholding event?

The Form 4 shows a tax-withholding disposition of 23.9843 common shares, coded “F,” meaning shares were delivered to cover tax liabilities. It does not reflect an open-market sale initiated for portfolio or valuation reasons.

How do Ameriprise (AMP) phantom stock units work for William Jerryl Williams?

Each phantom stock unit represents the right to receive one Ameriprise common share. Units are payable in stock after termination of employment or in a specified future year under The Ameriprise Financial Deferred Compensation Plan, aligning compensation with long-term share performance.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 07/13/2026 - 07:46 PM Accepted by SEC EDGAR 07/13/2026 - 07:45 PM Learn about SEC filing dates

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^*

Williams William Jerryl

(Last) (First) (Middle)

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Pres, Wealth Mgmt Advisor Grp

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/09/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	07/09/2026		M		53.9843	A	(1)	17,296.9103	D
Common Stock	07/09/2026		F		23.9843	D	$500.16	17,272.926	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
Phantom Stock	(1)	07/09/2026		M			53.9843	(2)	(2)	Common Stock	53.9843	(1)	15,061.4331	D

Explanation of Responses:

1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

2. 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 William J. Williams	07/13/2026
	** 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.
* Form 4: SEC 1474 (03-26)