Ameriprise (AMP) CFO Walter Berman reports new stock awards and 9,117 options

Rhea-AI Filing Summary

Ameriprise Financial executive Walter S. Berman, Executive VP and CFO, reported routine equity compensation and related share activity. On January 31, 2026, 423 shares of Ameriprise common stock were withheld at $527.19 per share (code F), leaving him with 9,819 directly held shares.

On February 2, 2026, he acquired 2,790 shares of common stock at $0 per share (code A), increasing his direct holdings to 12,609 shares. He also received an employee stock option grant for 9,117 options with a $532.18 exercise price, covering 9,117 shares of common stock. According to the vesting schedule, one-third of these options vest after one year, one-third after two years, and the remainder three years from February 2, 2026. In addition, he has an estimated 363.95 shares indirectly through the Ameriprise Financial 401(k) plan.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider Berman Walter Stanley

Role EXECUTIVE VP AND CFO

Type	Security	Shares	Price	Value
Grant/Award	Employee Stock Option (right to buy)	9,117	$0.00	--
Grant/Award	Common Stock	2,790	$0.00	--
Tax Withholding	Common Stock	423	$527.19	$223K
holding	Common Stock	--	--	--

Holdings After Transaction: Employee Stock Option (right to buy) — 9,117 shares (Direct); Common Stock — 12,609 shares (Direct); Common Stock — 363.95 shares (Indirect, By 401(k) Plan)

Footnotes (1)

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. 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.

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^*

Berman Walter Stanley

(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)
	EXECUTIVE VP AND CFO

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		423	D	$527.19	9,819	D
Common Stock	02/02/2026		A		2,790	A	$0	12,609	D
Common Stock								363.95(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		9,117		(2)	02/03/2036	Common Stock	9,117	$0	9,117	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 Walter S. Berman	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 Ameriprise (AMP) CFO Walter S. Berman report?

Walter S. Berman reported tax withholding of 423 Ameriprise shares, acquisition of 2,790 common shares at $0, and a grant of 9,117 employee stock options. These transactions reflect routine equity compensation and related share withholding, not an open-market purchase or sale.

How many Ameriprise (AMP) shares does CFO Walter S. Berman hold after these transactions?

After the reported transactions, Walter S. Berman directly holds 12,609 Ameriprise common shares. He also has an estimated 363.95 additional shares through the Ameriprise Financial Stock Fund in the company’s 401(k) plan, which uses unit accounting tied to Ameriprise’s stock price.

What are the terms of the 9,117 Ameriprise employee stock options granted to the CFO?

The grant covers 9,117 employee stock options with a $532.18 exercise price per share. One-third vests after one year, another third after two years, and the final portion three years from February 2, 2026, all settling in Ameriprise common stock.

What does the Form 4 transaction code F mean in the Ameriprise (AMP) filing?

Transaction code F indicates shares were disposed of to cover obligations such as taxes upon vesting of equity awards. In this filing, 423 Ameriprise shares were withheld at $527.19 per share, reducing Walter S. Berman’s directly held shares to 9,819 immediately after that transaction.

Were the Ameriprise (AMP) shares acquired by the CFO purchased on the open market?

No, the 2,790 Ameriprise common shares reported as acquired were recorded at $0 per share, indicating they came from equity compensation, such as vesting awards, rather than open-market purchases. They increased his direct holdings to 12,609 shares after the transaction.

How are Ameriprise (AMP) shares held in the CFO’s 401(k) plan reported?

The filing shows an estimated 363.95 Ameriprise shares held indirectly through the Ameriprise Financial Stock Fund in the 401(k) plan. The plan uses unit accounting, so the number of deemed shares changes with the Ameriprise stock price over time.