Ameriprise (AMP) CEO reports stock grants and 33,299 new options

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Ameriprise Financial Chairman and CEO James M. Cracchiolo reported routine equity compensation changes. On January 31, 2026, he disposed of 1,729 shares of common stock at $527.19 per share, leaving 144,458 shares of common stock held directly afterward.

On February 2, 2026, he acquired 11,988 shares of common stock at $0 per share, increasing his direct holdings to 156,446 shares. He also received an award of 33,299 employee stock options with an exercise price of $532.18 per share, vesting in three equal annual installments from February 2, 2026, and expiring on February 3, 2036. Separately, an estimated 1,724.75 shares are held indirectly through the Ameriprise Financial 401(k) plan as of February 2, 2026.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider CRACCHIOLO JAMES M

Role CHAIRMAN AND CEO

Type	Security	Shares	Price	Value
Grant/Award	Employee Stock Option (right to buy)	33,299	$0.00	--
Grant/Award	Common Stock	11,988	$0.00	--
Tax Withholding	Common Stock	1,729	$527.19	$912K
holding	Common Stock	--	--	--

Holdings After Transaction: Employee Stock Option (right to buy) — 33,299 shares (Direct); Common Stock — 156,446 shares (Direct); Common Stock — 1,724.75 shares (Indirect, By 401(k) Plan)

Footnotes (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 →

02/03/2026 - 08:58 PM

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^*

CRACCHIOLO JAMES M

(Last)

(First)

(Middle)

GENERAL COUNSEL'S OFFICE

1098 AMERIPRISE FINANCIAL CENTER

(Street)

MINNEAPOLIS

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)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	CHAIRMAN AND CEO

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	01/31/2026		F		1,729	D	$527.19	144,458	D
Common Stock	02/02/2026		A		11,988	A	$0	156,446	D
Common Stock								1,724.75⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Employee Stock Option (right to buy)	$532.18	02/02/2026		A		33,299		⁽²⁾	02/03/2036	Common Stock	33,299	$0	33,299	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 James M. Cracchiolo	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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Ameriprise (AMP) CEO James Cracchiolo report?

James Cracchiolo reported one sale and one grant of Ameriprise stock. He disposed of 1,729 common shares on January 31, 2026, and received 11,988 common shares plus 33,299 employee stock options on February 2, 2026, as part of equity compensation.

How many Ameriprise (AMP) shares does the CEO own after these Form 4 transactions?

James Cracchiolo directly owns 156,446 Ameriprise common shares after these transactions. He also has an estimated 1,724.75 shares held indirectly through the Ameriprise Financial 401(k) plan as of February 2, 2026, according to the filing detail.

What stock option grant did the Ameriprise (AMP) CEO receive on February 2, 2026?

He received 33,299 employee stock options with a $532.18 exercise price. These options relate to Ameriprise common stock, vest in three equal annual installments starting one year from February 2, 2026, and expire on February 3, 2036, if not exercised.

What does the transaction code F mean in the Ameriprise (AMP) CEO’s Form 4?

The filing shows a transaction coded "F" for 1,729 common shares. This occurred on January 31, 2026 at $527.19 per share, reducing direct holdings to 144,458 shares immediately after that transaction, before later share awards increased the direct balance.

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

The Form 4 reports 1,724.75 Ameriprise shares held indirectly via a 401(k) plan. This amount is an estimate under the Ameriprise Financial Stock Fund, which uses unit accounting, so the deemed share count changes with Ameriprise’s stock price over time.

When do the Ameriprise (AMP) CEO’s new stock options vest and expire?

The 33,299 options vest in three yearly installments and have a long life. One-third vests after one year, another third after two years, and the final third three years from February 2, 2026. All unexercised options expire on February 3, 2036.