Ameriprise CFO exercises options, sells 11,012 shares
Ameriprise Financial Executive VP and CFO Walter Stanley Berman exercised employee stock options for 34,111 shares of common stock on July 28, 2026, at exercise prices of $165.41 and $197.87 per share from fully vested awards.
Rhea-AI Filing Summary
Ameriprise Financial Executive VP and CFO Walter Stanley Berman exercised employee stock options for 34,111 shares of common stock on July 28, 2026, at exercise prices of $165.41 and $197.87 per share from fully vested awards. He then disposed of 23,099 shares to pay the exercise price or tax obligations at $550.81 per share and sold 10,590 shares at a weighted average price of $548.9171 (with individual sale prices between $548.5743 and $549.4306) plus 422 shares at $549.7582 in open-market transactions. An estimated 366.8100 shares were held indirectly through the Ameriprise Financial 401(k) plan as of that date.
Positive
- None.
Negative
- None.
Insider Trade Summary
Exercise and sale activity reported; no spread calculated
Exercise and Sale
8 txns
Insider
Berman Walter Stanley
Role
EXECUTIVE VP AND CFO
Sold
11,012 shs ($6.05M)
Approx. gross sale proceeds
$6.05M
Approx. exercise cost
$6.40M
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Employee Stock Option (right to buy) F3 | 10,905 | $0.00 | $0.00 |
| Exercise | Employee Stock Option (right to buy) F3 | 23,206 | $0.00 | $0.00 |
| Exercise | Common Stock | 10,905 | $165.41 | $1.80M |
| Exercise | Common Stock | 23,206 | $197.87 | $4.59M |
| Exercise Price or Tax Liability | Common Stock | 23,099 | $550.81 | $12.72M |
| Sale | Common Stock F1 | 10,590 | $548.9171 | $5.81M |
| Sale | Common Stock | 422 | $549.7582 | $232K |
| holding | Common Stock F2 | -- | -- | -- |
Holdings After Transaction:
Employee Stock Option (right to buy) — 0 contracts (Direct);
Common Stock — 5,609 shares (Direct);
Common Stock — 366.81 shares (Indirect, By 401(k) Plan)
Footnotes (3)
- F1. Reflects the weighted average price of 10,590 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on July 28, 2026 with sale prices ranging from $548.5743 to $549.4306 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.
- F2. 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 July 28, 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.
- F3. Fully vested.
Key Figures
Options exercised: 34,111 shares
Common shares sold: 11,012 shares
Shares withheld for exercise price or taxes: 23,099 shares
+5 more
8 metrics
Options exercised
34,111 shares
Total employee stock options exercised on July 28, 2026
Common shares sold
11,012 shares
Common stock sold in open-market transactions on July 28, 2026
Shares withheld for exercise price or taxes
23,099 shares
Disposition under code F to satisfy exercise price or tax liability
Option exercise price
$165.4100 per share
Exercise price for 10,905 stock options expiring January 31, 2030
Option exercise price
$197.8700 per share
Exercise price for 23,206 stock options expiring January 29, 2031
Weighted average sale price
$548.9171 per share
Average price for 10,590 shares sold in multiple trades on July 28, 2026
Sale price range
$548.5743–$549.4306 per share
Price range for the 10,590-share sale block on July 28, 2026
401(k) plan holdings
366.8100 shares
Estimated Ameriprise stock in the 401(k) plan as of July 28, 2026
Key Terms
Employee Stock Option (right to buy), weighted average price, Ameriprise Financial 401(k) plan, unit accounting
4 terms
Employee Stock Option (right to buy) financial
"Reported as "Employee Stock Option (right to buy)" in derivative transactions."
weighted average price financial
"Reflects the weighted average price of 10,590 shares of common stock..."
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.
Ameriprise Financial 401(k) plan financial
"Number of shares held in the Ameriprise Financial 401(k) plan as of July 28, 2026."
unit accounting technical
"This plan uses unit accounting and the number of shares varies with price."
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What stock option exercises did Ameriprise (AMP) CFO Walter Berman report?
Walter Berman exercised 34,111 employee stock options for Ameriprise common stock on July 28, 2026. The options had exercise prices of $165.41 and $197.87 per share and were reported as fully vested at the time of exercise.
What does the Form 4 show about Walter Berman’s Ameriprise (AMP) 401(k) holdings?
The filing estimates 366.8100 shares of Ameriprise stock held indirectly in Berman’s account in the Ameriprise Financial 401(k) plan. The plan uses unit accounting, so the deemed share count varies with the Ameriprise stock price.
Were Walter Berman’s Ameriprise (AMP) trades under a Rule 10b5-1 plan?
The filing’s Rule 10b5-1 checkbox is not marked, and there is no footnote indicating a trading plan. These transactions are therefore not reported as having been made under a Rule 10b5-1 trading arrangement.
AI-generated analysis. How Rhea-AI works. Not financial advice.
