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Director Brian Shea awarded phantom stock units at Ameriprise (NYSE: AMP)

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Shea Brian T reported acquisition or exercise transactions in this Form 4 filing.

Ameriprise Financial director Brian T. Shea received a grant of 441.7518 phantom stock units tied to Ameriprise common stock. Each phantom share represents the right to receive one share of Ameriprise common stock. After this award, Shea holds 5,863.1739 phantom stock units. These deferred units will be settled in Ameriprise common shares in a lump sum after he ceases to serve as a non-employee director, at the end of the quarter following his Board service termination.

Positive

  • None.

Negative

  • None.
Insider Shea Brian T
Role null
Type Security Shares Price Value
Grant/Award Phantom Stock (Annual) 441.752 $0.00 --
Holdings After Transaction: Phantom Stock (Annual) — 5,863.174 shares (Direct, null)
Footnotes (1)
  1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. 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.
Phantom stock granted 441.7518 units Grant of phantom stock on April 29, 2026
Phantom stock holdings after grant 5,863.1739 units Total phantom stock units held after transaction
Conversion ratio 1 unit : 1 share Each phantom stock unit equals one Ameriprise common share
Phantom Stock financial
"Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock."
A phantom stock is a form of compensation that gives employees or executives the benefits of stock ownership, such as the increase in stock value, without actually giving them real shares. It acts like a promise to pay the employee the equivalent value of company stock later, often as a bonus or incentive. This allows companies to motivate and reward staff without diluting ownership or transferring actual shares.
deferred share units financial
"in 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.
lump sum financial
"in a lump sum at the end of the quarter immediately following the quarter"
A lump sum is a single, one-time payment of the full amount owed instead of spreading the same money over multiple smaller payments. For investors, receiving or paying a lump sum affects cash flow, reinvestment opportunities and tax timing—like getting a full paycheck at once rather than regular paychecks—so it changes liquidity, risk exposure and the timing of returns.
non-employee director financial
"Upon ceasing to be a non-employee director of Ameriprise Financial, Inc."
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Shea Brian T
(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)
XDirector10% 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)
XForm 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)
CodeVAmount(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Phantom Stock (Annual)(1)04/29/2026A441.7518 (2) (2)Common Stock441.7518$05,863.1739D
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 Brian T. Shea05/01/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Ameriprise Financial (AMP) report for Brian T. Shea?

Ameriprise Financial reported that director Brian T. Shea received 441.7518 phantom stock units as a compensation grant. These units are linked one-for-one to Ameriprise common stock and increase his deferred equity-based holdings in the company as a non-employee director.

What is the size of Brian T. Shea’s new phantom stock award in AMP?

Brian T. Shea was granted 441.7518 shares of phantom stock tied to Ameriprise common stock. This award is part of his non-employee director compensation and represents additional deferred equity that will ultimately settle in Ameriprise common shares in the future.

How many phantom stock units does Brian T. Shea hold after this Ameriprise (AMP) Form 4?

Following the reported transaction, Brian T. Shea holds 5,863.1739 phantom stock units. Each unit represents the right to receive one share of Ameriprise common stock, giving a clear view of the scale of his deferred, equity-linked director compensation position.

How are Ameriprise (AMP) phantom stock units for directors ultimately settled?

Each Ameriprise phantom stock unit entitles the director to receive one share of Ameriprise common stock. Settlement occurs in a lump sum after the director ceases to be a non-employee director, at the end of the quarter following their termination of service on the Board.

Does the Ameriprise (AMP) phantom stock grant involve a cash purchase or sale by Brian T. Shea?

The phantom stock transaction is a grant, not a market purchase or sale. The Form 4 shows a compensation-related acquisition at a price of $0.0000 per unit, indicating there was no cash paid by Shea to acquire these deferred phantom stock units.