Ameriprise Financial director acquires stock units

Each phantom stock share represents a right to receive one common share; distributions of deferred stock units follow participant elections permitted by the outside-director plan.

Available on EDGAR 11/05/2026 - 05:48 PM EST Accepted by SEC EDGAR 11/05/2026 - 05:47 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Ameriprise Financial Inc. director Christopher J. Williams acquired 40.8513 phantom stock units on November 3, 2026, under the Retainer Deferral designation. Each unit represents the right to receive one share of Ameriprise common stock. The reported per-share transaction price was $504.8800, and his resulting direct position was 3,980.2447 phantom stock units.

Insider Trade Summary

Grant/Award: 40.8513 shares

Grant/Award 1 txn

Insider WILLIAMS CHRISTOPHER J

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock (Retainer Deferral) F1, F2	40.8513	$504.88	$21K

Holdings After Transaction: Phantom Stock (Retainer Deferral) — 3,980.2447 contracts (Direct)

Holdings Before and After: Phantom Stock (Retainer Deferral), 3,939.3934 to 3,980.2447 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. Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Outside Directors.

Key Figures

Phantom stock units acquired: 40.8513 phantom stock units Reported per-share transaction price: $504.8800 per share Resulting direct phantom stock position: 3,980.2447 phantom stock units

3 metrics

Phantom stock units acquired 40.8513 phantom stock units November 3, 2026

Reported per-share transaction price $504.8800 per share Phantom Stock (Retainer Deferral) acquisition

Resulting direct phantom stock position 3,980.2447 phantom stock units Following the November 3, 2026 transaction

Key Terms

Phantom Stock (Retainer Deferral), Deferred Stock Units, Ameriprise Financial Deferred Share Plan for Outside Directors

3 terms

Phantom Stock (Retainer Deferral) financial

"Phantom Stock (Retainer Deferral)"

Deferred Stock Units financial

"Distribution of Ameriprise Financial, Inc. Deferred Stock Units"

Deferred stock units are promises from a company to give an employee shares of stock at a future date, often after certain conditions are met or after leaving the company. They function like a form of delayed compensation, allowing employees to earn shares over time. For investors, they represent potential future ownership in the company, but do not provide immediate voting rights or dividends until the shares are actually received.

Ameriprise Financial Deferred Share Plan for Outside Directors financial

"permitted by Ameriprise Financial Deferred Share Plan for Outside Directors"

FAQ

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

How many phantom stock units did AMP director Christopher J. Williams acquire?

Christopher J. Williams acquired 40.8513 phantom stock units on November 3, 2026. The reported per-share transaction price was $504.8800, and his resulting direct position was 3,980.2447 phantom stock units.

How are AMP director deferred stock units distributed?

Distributions are made in accordance with elections made by plan participants, in the manner permitted by the Ameriprise Financial Deferred Share Plan for Outside Directors.

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

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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^*

WILLIAMS CHRISTOPHER 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)
11/03/2026

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 (Retainer Deferral)	(1)	11/03/2026		A		40.8513		(2)	(2)	Common Stock	40.8513	$504.88	3,980.2447	D

Explanation of Responses:

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

2. Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Outside Directors.

	/s/ Wendy B. Mahling for Christopher J. Williams	11/05/2026
	** 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)