Ameriprise SVP reports stock and option awards

Ameriprise Financial SVP and Controller Dawn M. Brockman reported routine equity transactions.

Rhea-AI Filing Summary

Ameriprise Financial SVP and Controller Dawn M. Brockman reported routine equity transactions. On January 31, 2026, 20 shares of Ameriprise common stock were disposed of at $527.19 per share under transaction code F, leaving 991 shares directly owned.

On February 2, 2026, she acquired 177 shares of common stock at a stated price of $0, increasing her direct holdings to 1,168 shares. She also received an employee stock option grant for 339 shares with an exercise price of $532.18 per share, vesting in three equal annual installments starting one year from February 2, 2026.

In addition, the filing notes an estimated 145.23 Ameriprise shares held indirectly through the Ameriprise Financial 401(k) plan as of February 2, 2026, with the amount varying over time due to unit accounting.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider Brockman Dawn M.

Role SVP AND CONTROLLER

Type	Security	Shares	Price	Value
Grant/Award	Employee Stock Option (right to buy)	339	$0.00	$0.00
Grant/Award	Common Stock	177	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	20	$527.19	$11K
holding	Common Stock	--	--	--

Holdings After Transaction: Employee Stock Option (right to buy) — 339 contracts (Direct); Common Stock — 1,168 shares (Direct); Common Stock — 145.23 shares (Indirect, By 401(k) Plan)

Footnotes (2)

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 February 2, 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.
2. F2. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 2, 2026.

FAQ

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

What insider transactions did AMP SVP Dawn M. Brockman report?

Dawn M. Brockman reported three main equity events: a sale of 20 Ameriprise common shares, an acquisition of 177 common shares, and a grant of 339 employee stock options. The filing also updates her Ameriprise stock holdings in the company 401(k) plan.

How many Ameriprise (AMP) shares does Dawn Brockman hold directly after these trades?

After the reported transactions, Dawn Brockman directly owns 1,168 Ameriprise common shares. This reflects a 20-share disposition on January 31, 2026 and a 177-share acquisition on February 2, 2026, as disclosed in the Form 4 filing.

What are the terms of Dawn Brockman’s new Ameriprise stock options?

She received an employee stock option grant for 339 Ameriprise shares with an exercise price of $532.18 per share. One-third vests after one year, another third after two years, and the final third three years from February 2, 2026.

What stock transaction occurred for AMP on January 31, 2026 for Dawn Brockman?

On January 31, 2026, 20 Ameriprise common shares were disposed of for Dawn Brockman at a price of $527.19 per share under transaction code F. Following this transaction, she directly held 991 Ameriprise common shares.

How many Ameriprise (AMP) shares did Dawn Brockman acquire on February 2, 2026?

On February 2, 2026, Dawn Brockman acquired 177 Ameriprise common shares at a stated price of $0 per share. After this acquisition, her directly held Ameriprise common stock position increased to 1,168 shares according to the Form 4.

What Ameriprise (AMP) holdings does Dawn Brockman have in the 401(k) plan?

The filing estimates 145.23 Ameriprise shares in Dawn Brockman’s Ameriprise Financial Stock Fund account within the 401(k) plan as of February 2, 2026. The plan uses unit accounting, so her deemed share count changes with Ameriprise’s stock price.

What is Dawn Brockman’s role at Ameriprise Financial (AMP)?

Dawn M. Brockman is identified as an officer of Ameriprise Financial with the title “SVP AND CONTROLLER.” The Form 4 confirms she is not a director and not a 10% owner, but she is a Section 16 reporting officer of the company.

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

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Accepted by SEC EDGAR 02/03/2026 - 09:04 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^*

Brockman Dawn M.

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
01/31/2026

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
Common Stock	01/31/2026		F		20	D	$527.19	991	D
Common Stock	02/02/2026		A		177	A	$0	1,168	D
Common Stock								145.23(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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	$532.18	02/02/2026		A		339		(2)	02/03/2036	Common Stock	339	$0	339	D

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 February 2, 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.

2. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 2, 2026.

	/s/ Wendy B. Mahling for Dawn M. Brockman	02/03/2026
	** 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.