SVP Dawn Brockman (NYSE: AMP) awarded new phantom stock units

Rhea-AI Filing Summary

Ameriprise Financial senior vice president and controller Dawn M. Brockman reported an award of 8.6557 units of phantom stock on February 6, 2026. The filing shows a reference price of $542.99 per unit and a resulting balance of 299.5246 phantom stock units held directly.

Each phantom stock unit represents the right to receive one share of Ameriprise Financial common stock. These phantom shares are payable in Ameriprise common stock after employment ends or in a specified future year under The Ameriprise Financial Deferred Compensation Plan.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Brockman Dawn M.

Role SVP AND CONTROLLER

Type	Security	Shares	Price	Value
Grant/Award	Phantom Stock	8.656	$542.99	$5K

Holdings After Transaction: Phantom Stock — 299.525 shares (Direct)

Footnotes (1)

1. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.

Form 4 Insider Transactions: What Each Field Means →

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)
02/06/2026

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

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	(1)	02/06/2026		A		8.6557		(2)	(2)	Common Stock	8.6557	$542.99	299.5246	D

Explanation of Responses:

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

2. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.

	/s/ Wendy B. Mahling for Dawn M. Brockman	02/10/2026
	** 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 transaction did Ameriprise Financial (AMP) report for Dawn M. Brockman?

Ameriprise Financial reported that SVP and controller Dawn M. Brockman acquired 8.6557 units of phantom stock on February 6, 2026. This is a deferred equity-based award rather than an open-market stock purchase or sale.

What is the total phantom stock holding reported for Dawn M. Brockman at Ameriprise (AMP)?

After the reported transaction, Dawn M. Brockman beneficially held 299.5246 phantom stock units. Each unit is tied to one share of Ameriprise Financial common stock and is settled in stock at a future time under the deferred compensation plan.

What price was used for Dawn M. Brockman’s Ameriprise (AMP) phantom stock award?

The Form 4 lists a reference price of $542.99 per phantom stock unit for the February 6, 2026 award. This price is used for reporting purposes and does not change the deferred nature of the compensation.

How do Ameriprise (AMP) phantom stock units work for Dawn M. Brockman?

Each Ameriprise phantom stock unit gives Dawn M. Brockman the right to receive one share of Ameriprise common stock. Payment occurs after employment ends or in a specified future year under The Ameriprise Financial Deferred Compensation Plan.

Is Dawn M. Brockman’s Ameriprise (AMP) phantom stock award paid in cash or shares?

The filing states that phantom stock units are payable in shares of Ameriprise common stock. Settlement happens following termination of employment or during a specified future year according to the company’s Deferred Compensation Plan.

What role does Dawn M. Brockman hold at Ameriprise Financial (AMP) in this Form 4?

Dawn M. Brockman is identified as an officer of Ameriprise Financial, serving as senior vice president and controller. The reported phantom stock award reflects part of her deferred, equity-linked compensation from the company.