Ameriprise director granted phantom stock units

PELLETIER LIANE J reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

PELLETIER LIANE J reported acquisition or exercise transactions in this Form 4 filing.

Ameriprise Financial director Liane J. Pelletier received a grant of 441.7518 phantom stock units. Each phantom stock unit represents the right to receive one share of Ameriprise Financial common stock. Following this award, she holds a total of 624.7279 phantom stock units.

These deferred share units will be settled in Ameriprise Financial common stock on a one-for-one basis in a lump sum after she ceases to be a non-employee director, at the end of the quarter following her termination of service on the Board of Directors.

Insider Trade Summary

Grant/Award: 441.7518 shares

Grant/Award 1 txn

Insider PELLETIER LIANE J

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock (Annual)	441.7518	$0.00	$0.00

Holdings After Transaction: Phantom Stock (Annual) — 624.7279 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. Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

Key Figures

Phantom stock grant: 441.7518 units Total phantom stock holdings: 624.7279 units Conversion ratio: 1 unit : 1 share

3 metrics

Phantom stock grant 441.7518 units Grant of phantom stock units on 2026-04-29

Total phantom stock holdings 624.7279 units Holdings following this phantom stock award

Conversion ratio 1 unit : 1 share Each phantom stock unit equals one common share upon settlement

Key Terms

Phantom Stock (Annual), deferred share units, non-employee director

3 terms

Phantom Stock (Annual) financial

"security_title: "Phantom Stock (Annual)""

deferred share units financial

"settlement of the reporting director's deferred share units on a one-for-one basis"

Deferred share units are promises that give an executive or director the right to receive company shares or their cash value at a future date, often when they retire or leave the company. Think of them as a paycheck held in a savings account that converts into stock later; they matter to investors because they tie pay to long-term performance, create potential future dilution of shares, and represent a delayed cash or share obligation the company must eventually fulfill.

non-employee director financial

"Upon ceasing to be a non-employee director of Ameriprise Financial, Inc."

FAQ

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

What did Ameriprise Financial (AMP) disclose about director Liane Pelletier?

Ameriprise Financial disclosed that director Liane J. Pelletier received 441.7518 phantom stock units. These units are tied to Ameriprise common stock and increase her total phantom stock holdings to 624.7279 units, reflecting routine equity-based director compensation.

How many phantom stock units did the Ameriprise (AMP) director receive?

Director Liane J. Pelletier received a grant of 441.7518 phantom stock units. Each unit corresponds to one Ameriprise Financial common share, increasing her total phantom stock holdings to 624.7279 units after this award, according to the Form 4 disclosure.

What does Ameriprise Financial (AMP) phantom stock represent for directors?

Each Ameriprise Financial phantom stock unit represents the right to receive one share of common stock. These are deferred share units granted to directors, settling later in actual shares rather than immediate cash, aligning director compensation with future company equity value.

When will Ameriprise (AMP) phantom stock units be settled into common shares?

The phantom stock units will be settled after the director ceases to be a non-employee director. Settlement occurs in a lump sum at the end of the quarter following the quarter in which the director’s Board service terminates, delivering Ameriprise common shares one-for-one.

How many Ameriprise (AMP) phantom stock units does Liane Pelletier hold after this grant?

After the grant, Liane J. Pelletier holds 624.7279 phantom stock units. This total includes the newly awarded 441.7518 units, all representing future rights to receive Ameriprise Financial common stock on a one-for-one basis upon settlement conditions being met.

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

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Accepted by SEC EDGAR 05/01/2026 - 06:12 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^*

PELLETIER LIANE J

(Last) (First) (Middle)

GENERAL COUNSEL'S OFFICE

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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/29/2026

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

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 (Annual)	(1)	04/29/2026		A		441.7518		(2)	(2)	Common Stock	441.7518	$0	624.7279	D

Explanation of Responses:

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

2. Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

	/s/ Wendy B. Mahling for Liane J. Pelletier	05/01/2026
	** 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)