Ameriprise director receives phantom stock award

Ameriprise Financial director Christopher J. Williams reported a routine compensation-related award of derivative securities.

Rhea-AI Filing Summary

Ameriprise Financial director Christopher J. Williams reported a routine compensation-related award of derivative securities. On 02/03/2026, he acquired 38.9114 shares of Phantom Stock (Retainer Deferral) at $530.05 per unit, bringing his total to 3,818.6956 phantom stock units held directly.

Each phantom stock unit represents the right to receive one share of Ameriprise Financial common stock, with distributions made according to participant elections under the Ameriprise Financial Deferred Share Plan for Outside Directors.

Insider Trade Summary

Grant/Award: 38.9114 shares

Grant/Award 1 txn

Insider WILLIAMS CHRISTOPHER J

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock (Retainer Deferral)	38.9114	$530.05	$21K

Holdings After Transaction: Phantom Stock (Retainer Deferral) — 3,818.6956 contracts (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. Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Outside Directors.

FAQ

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What insider transaction did Ameriprise Financial (AMP) report for Christopher J. Williams?

Ameriprise director Christopher J. Williams acquired 38.9114 phantom stock units on 02/03/2026. These units, priced at $530.05 each, are part of his compensation and bring his total phantom stock holdings to 3,818.6956 units, all reported as directly held.

What is the nature of the phantom stock reported by Ameriprise Financial (AMP)?

The reported phantom stock represents deferred director compensation linked to Ameriprise common shares. Each phantom stock unit gives the right to receive one share of Ameriprise Financial common stock, with distributions governed by the company’s Deferred Share Plan for Outside Directors and the participant’s elected payout schedule.

How many Ameriprise phantom stock units does Christopher J. Williams hold after this Form 4?

After the 02/03/2026 transaction, Christopher J. Williams beneficially owns 3,818.6956 phantom stock units. This reflects the addition of 38.9114 units acquired under the Retainer Deferral arrangement, all reported as directly held derivative securities tied to Ameriprise Financial common stock.

At what price were the Ameriprise phantom stock units granted to Christopher J. Williams?

The phantom stock units were valued at $530.05 per unit in the reported transaction. On 02/03/2026, Williams received 38.9114 units at this reference price as part of his outside director retainer deferral, increasing his total deferred phantom stock holdings.

How do Ameriprise Financial (AMP) deferred stock units for outside directors get distributed?

Deferred stock units for Ameriprise outside directors are distributed based on participant elections. The plan states that distributions are made according to each director’s chosen schedule, as permitted under the Ameriprise Financial Deferred Share Plan for Outside Directors, with each unit tied to one share of common stock.

Is the Ameriprise phantom stock reported by Christopher J. Williams a direct or indirect holding?

The Form 4 reports Christopher J. Williams’ 3,818.6956 phantom stock units as directly held. The ownership form is marked "D" for direct, with no footnotes indicating a trust, partnership, or other indirect ownership structure for this derivative equity-based compensation.

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Accepted by SEC EDGAR 02/05/2026 - 05:56 PM EST 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 CHRISTOPHER J

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
02/03/2026

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

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 (Retainer Deferral)	(1)	02/03/2026		A		38.9114		(2)	(2)	Common Stock	38.9114	$530.05	3,818.6956	D

Explanation of Responses:

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

2. Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Outside Directors.

	/s/ Wendy B. Mahling for Christopher J. Williams	02/05/2026
	** 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.
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