Ameriprise (NYSE: AMP) executive updates holdings with new stock and option awards

Rhea-AI Filing Summary

Ameriprise Financial executive Joseph E. Sweeney, President – Products & Services, reported routine equity transactions in company stock. On January 31, 2026, he disposed of 235 shares of common stock at $527.19 per share, leaving 9,756 shares owned directly.

On February 2, 2026, he acquired 1,702 shares of common stock at a stated price of $0, increasing his direct common stock holdings to 11,458 shares. He also holds approximately 296.33 shares indirectly through the Ameriprise Financial 401(k) plan, based on unit accounting as of that date.

In addition, Sweeney received 5,561 employee stock options with an exercise price of $532.18 per share, expiring on February 3, 2036. According to the vesting terms, one-third of these options vest after one year, one-third after two years, and the remainder three years from February 2, 2026.

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

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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^*

Sweeney Joseph Edward

(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)
	PRES-AWM PRODUCTS & SERVICES

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		235	D	$527.19	9,756	D
Common Stock	02/02/2026		A		1,702	A	$0	11,458	D
Common Stock								296.33(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
Employee Stock Option (right to buy)	$532.18	02/02/2026		A		5,561		(2)	02/03/2036	Common Stock	5,561	$0	5,561	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 Joseph E. Sweeney	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.

FAQ

What insider transactions did AMP executive Joseph E. Sweeney report on this Form 4?

Joseph E. Sweeney reported both stock and option transactions. He disposed of 235 Ameriprise common shares and acquired 1,702 shares, and also received 5,561 employee stock options. These changes update his direct and indirect ownership in Ameriprise Financial stock-based compensation.

How many Ameriprise (AMP) common shares does Joseph E. Sweeney now own directly?

After the reported transactions, Joseph E. Sweeney directly owns 11,458 Ameriprise common shares. This reflects the sale of 235 shares on January 31, 2026, and the acquisition of 1,702 shares on February 2, 2026, as disclosed in the Form 4 filing.

What stock option grant did AMP’s Joseph E. Sweeney receive and at what exercise price?

Joseph E. Sweeney received 5,561 employee stock options on February 2, 2026, with a conversion or exercise price of $532.18 per share. These options relate to Ameriprise common stock and represent a long-dated equity incentive expiring on February 3, 2036.

What is the vesting schedule for Joseph E. Sweeney’s new Ameriprise stock options?

The 5,561 stock options vest in three equal parts over three years from February 2, 2026. One-third vests after one year, another third after two years, and the final third after three years, aligning with a multi-year retention and incentive structure.

Did Joseph E. Sweeney acquire Ameriprise (AMP) shares at a cost in this filing?

The filing shows Sweeney acquired 1,702 Ameriprise common shares at a stated price of $0 on February 2, 2026. Separately, it reports a disposition of 235 shares at $527.19 per share on January 31, 2026, updating his ownership records.

How many Ameriprise (AMP) shares does Joseph E. Sweeney hold through the 401(k) plan?

The filing estimates Sweeney holds 296.33 Ameriprise shares indirectly via the Ameriprise Financial Stock Fund in the 401(k) plan. This plan uses unit accounting, so the deemed share amount can vary with Ameriprise’s stock price as of February 2, 2026.