Ameriprise SVP reports two 22-share stock moves

Ameriprise Financial senior vice president and controller Dawn M. Brockman reported two small insider stock dispositions in company common shares.

Rhea-AI Filing Summary

Ameriprise Financial senior vice president and controller Dawn M. Brockman reported two small insider stock dispositions in company common shares. On January 26, 2026 and January 27, 2026, she disposed of 22 shares on each date at prices of $500.53 and $498.33 per share, respectively. After these transactions, she directly held 1,033 and then 1,011 Ameriprise common shares.

The filing also notes an estimated 145.33 Ameriprise shares held indirectly through her account in the Ameriprise Financial Stock Fund under the company’s 401(k) plan as of January 27, 2026. That plan uses unit accounting, so the deemed share count varies with Ameriprise’s stock price.

Insider Trade Summary

Exercise Price or Tax Liability: 44 shares

Exercise Price or Tax Liability 3 txns

Insider Brockman Dawn M.

Role SVP AND CONTROLLER

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	22	$498.33	$11K
Exercise Price or Tax Liability	Common Stock	22	$500.53	$11K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 1,011 shares (Direct); Common Stock — 145.33 shares (Indirect, By 401(k) Plan)

Footnotes (1)

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 January 27, 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.

FAQ

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

What insider activity did Ameriprise Financial (AMP) report for Dawn M. Brockman?

The filing shows Dawn M. Brockman, SVP and Controller, disposed of 22 Ameriprise common shares on January 26, 2026 and another 22 shares on January 27, 2026, as reported on a Form 4 insider transaction statement.

At what prices did Dawn M. Brockman’s Ameriprise (AMP) share dispositions occur?

The reported Ameriprise common stock dispositions occurred at prices of $500.53 per share on January 26, 2026 and $498.33 per share on January 27, 2026, according to the Form 4 filed for Dawn M. Brockman.

How many Ameriprise (AMP) shares does Dawn M. Brockman hold after the reported transactions?

Following the reported dispositions, Dawn M. Brockman directly held 1,033 Ameriprise common shares after the January 26, 2026 transaction and 1,011 shares after the January 27, 2026 transaction, as disclosed in the Form 4 filing.

What indirect Ameriprise (AMP) holdings are reported for Dawn M. Brockman?

The filing reports an estimated 145.33 Ameriprise shares held indirectly for Dawn M. Brockman through the Ameriprise Financial Stock Fund in the company’s 401(k) plan, with the estimate based on unit accounting as of January 27, 2026.

What is Dawn M. Brockman’s role at Ameriprise Financial (AMP) in this insider filing?

Dawn M. Brockman is identified as an officer of Ameriprise Financial, serving as senior vice president and controller. Her status as an officer requires reporting changes in her beneficial ownership of Ameriprise common stock on Form 4.

How is the Ameriprise (AMP) 401(k) plan stock position for Dawn M. Brockman calculated?

The Ameriprise Financial 401(k) plan uses unit accounting for its stock fund. The filing explains Dawn M. Brockman’s estimated 145.33 Ameriprise shares as of January 27, 2026 can vary over time with the Ameriprise stock price.

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

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Accepted by SEC EDGAR 01/28/2026 - 08:09 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)
01/26/2026

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	01/26/2026		F		22	D	$500.53	1,033	D
Common Stock	01/27/2026		F		22	D	$498.33	1,011	D
Common Stock								145.33(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

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 January 27, 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.

	/s/ Wendy B. Mahling for Dawn M. Brockman	01/28/2026
	** 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.