EVP & CIO Gerard Smyth adds Ameriprise (NYSE: AMP) shares

Rhea-AI Filing Summary

Ameriprise Financial EVP & CIO Gerard P. Smyth reported two transactions in Ameriprise Financial common stock dated January 27, 2026. He acquired 2,887 shares at a stated price of $0, increasing his directly held position.

On the same date, Smyth disposed of 1,115 shares at a price of $498.33 per share. After these transactions, he directly owned 10,696 shares of Ameriprise Financial common stock.

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^*

Smyth Gerard P.

(Last) (First) (Middle)

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)
	EVP & CIO

3. Date of Earliest Transaction (Month/Day/Year)
01/27/2026

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	01/27/2026		A		2,887	A	$0	11,811	D
Common Stock	01/27/2026		F		1,115	D	$498.33	10,696	D

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:

	/s/ Wendy B. Mahling for Gerard P. Smyth	01/29/2026
	** 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 Gerard Smyth report on January 27, 2026?

Gerard P. Smyth reported acquiring 2,887 Ameriprise (AMP) shares and disposing of 1,115 shares on January 27, 2026. Both transactions involved common stock and were reported as directly owned positions following the activity in this Form 4 filing.

How many Ameriprise (AMP) shares does Gerard Smyth own after this Form 4?

After the reported transactions, Gerard P. Smyth directly owns 10,696 Ameriprise (AMP) common shares. His holdings reflect the net effect of acquiring 2,887 shares at $0 and disposing of 1,115 shares at $498.33 on January 27, 2026.

What were the prices for Gerard Smyth’s Ameriprise (AMP) Form 4 share transactions?

Smyth’s 2,887 Ameriprise shares were acquired at a stated price of $0, while 1,115 shares were disposed of at $498.33 per share. Both prices come directly from the transaction details reported in the Form 4.

What is Gerard Smyth’s role at Ameriprise (AMP) in this insider filing?

Gerard P. Smyth is reported as an Officer of Ameriprise Financial with the title EVP & CIO. The Form 4 identifies him as a reporting person in his capacity as Executive Vice President and Chief Investment Officer, not as a director or 10% owner.

Are Gerard Smyth’s Ameriprise (AMP) Form 4 holdings reported as directly or indirectly owned?

All reported Ameriprise (AMP) holdings for Gerard P. Smyth in this Form 4 are listed as directly owned. The filing shows ownership form as “D” (Direct) for both transactions and for the 10,696 shares held after the reported activity.