Ameriprise (NYSE: AMP) CFO reports small Form 4 stock moves

(Moderate)

(Negative)

Form Type

Rhea-AI Filing Summary

Ameriprise Financial executive VP and CFO Walter Stanley Berman reported two transactions in Ameriprise common stock. On January 26, 2026 he reported a transaction coded F for 387 shares at $500.53, leaving 5,780 shares directly owned. On January 27, 2026 he reported another F-coded transaction for 429 shares at $498.33, with 5,351 shares then directly owned. He also reports 364.21 shares held indirectly through the Ameriprise Financial Stock Fund in the company 401(k) plan as of January 27, 2026, an amount described as an estimate because the plan uses unit accounting.

Insider Trade Summary

Net Seller: 816 shares

Net Sell 3 txns

Insider Berman Walter Stanley

Role EXECUTIVE VP AND CFO

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	429	$498.33	$214K
Exercise Price or Tax Liability	Common Stock	387	$500.53	$194K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 5,351 shares (Direct); Common Stock — 364.21 shares (Indirect, By 401(k) Plan)

Footnotes (1)

F1. 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 January 27, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 01/28/2026 - 08:12 PM

FAQ

What insider stock transactions did Ameriprise (AMP) CFO Walter Berman report?

Walter Berman reported two F-coded transactions in Ameriprise common stock. He reported 387 shares at $500.53 on January 26, 2026 and 429 shares at $498.33 on January 27, 2026, both affecting his directly owned share balance.

How many Ameriprise (AMP) shares does CFO Walter Berman own after these Form 4 trades?

After the January 27, 2026 transaction, Walter Berman directly owns 5,351 Ameriprise shares. Following the January 26, 2026 transaction, he held 5,780 shares, and the later F-code transaction reduced his directly held balance to 5,351 shares of common stock.

What Ameriprise (AMP) shares does Walter Berman hold through the 401(k) plan?

Berman reports an estimated 364.21 Ameriprise shares through the company’s 401(k) plan. The filing explains this is an estimate of units in the Ameriprise Financial Stock Fund as of January 27, 2026, because the plan uses unit accounting tied to the stock price.

Are Walter Berman’s Ameriprise (AMP) Form 4 holdings direct or indirect?

The Form 4 shows both direct and indirect ownership for Walter Berman. He directly owns 5,351 Ameriprise common shares after the latest transaction and indirectly owns an estimated 364.21 shares through the Ameriprise Financial Stock Fund in the company 401(k) plan.

What is the role of Walter Berman at Ameriprise (AMP) in this Form 4 filing?

Walter Stanley Berman is identified as Ameriprise’s Executive VP and CFO. The Form 4 indicates he is an officer of Ameriprise Financial Inc., not a director or 10% owner, and reports his transactions and holdings in the company’s common stock accordingly.

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^*

Berman Walter Stanley

(Last)

(First)

(Middle)

GENERAL COUNSEL'S OFFICE

1098 AMERIPRISE FINANCIAL CENTER

(Street)

MINNEAPOLIS

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 AND CFO

3. Date of Earliest Transaction (Month/Day/Year)
01/26/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	01/26/2026		F		387	D	$500.53	5,780	D
Common Stock	01/27/2026		F		429	D	$498.33	5,351	D
Common Stock								364.21⁽¹⁾	I	By 401(k) Plan

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. 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 January 27, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.

	/s/ Wendy B. Mahling for Walter S. Berman	01/28/2026
	** 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.

Source: View Original Filing on SEC EDGAR