Welcome to our dedicated page for Ameriprise Finl SEC filings (Ticker: AMP), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Ameriprise Financial, Inc. (NYSE: AMP) SEC filings page brings together the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. As a New York Stock Exchange registrant, Ameriprise submits annual reports on Form 10-K, quarterly reports on Form 10-Q and current reports on Form 8-K, along with proxy statements and other required documents.
Recent Form 8-K filings illustrate how Ameriprise uses current reports to communicate material events. For example, the company has filed 8-Ks to furnish quarterly financial results and to disclose the appointment of a new director to its board and Audit and Risk Committee. These filings provide structured details on segment performance, assets under management and advisement, capital return, and governance developments.
Through its filings, Ameriprise also discloses information about its corporate structure and listing status. The company is incorporated in Delaware, and its common stock, with a par value of $0.01 per share, trades on the New York Stock Exchange under the symbol AMP. Filings identify Ameriprise Financial Services, LLC as a registered investment adviser and a member of FINRA and SIPC, and they include standard risk and regulatory disclosures related to investment products.
On this page, users can review Ameriprise’s 10-K and 10-Q reports to see consolidated financial statements, segment data for Advice & Wealth Management, Asset Management and Retirement & Protection Solutions, and discussions of risk factors and capital management. Form 4 and related ownership filings, when available, offer visibility into insider transactions by directors and officers.
Stock Titan enhances access to these documents with AI-powered summaries that explain key points from lengthy filings, highlight important changes and help readers interpret complex tables and footnotes. Real-time updates from EDGAR ensure that new Ameriprise filings, including earnings 8-Ks and governance updates, are added promptly so investors and researchers can review the latest regulatory information on AMP in one place.
Ameriprise Financial common stockholder has filed a notice of proposed sale of 48,813 shares of common stock through American Enterprise Investment Services, Inc. on the NYSE, with an aggregate market value of 26,601,189 and an approximate sale date of 02/04/2026.
The 48,813 shares were acquired on 02/04/2025 through the vesting of compensatory equity awards from Ameriprise Financial, Inc. Shares of common stock outstanding were 92,905,713 at the time referenced in the notice.
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.
Ameriprise Financial executive Joseph E. Sweeney, President – Products & Services, reported routine equity transactions in company stock. On January 31, 2026, he disposed of 235 shares of common stock at $527.19 per share, leaving 9,756 shares owned directly.
On February 2, 2026, he acquired 1,702 shares of common stock at a stated price of $0, increasing his direct common stock holdings to 11,458 shares. He also holds approximately 296.33 shares indirectly through the Ameriprise Financial 401(k) plan, based on unit accounting as of that date.
In addition, Sweeney received 5,561 employee stock options with an exercise price of $532.18 per share, expiring on February 3, 2036. According to the vesting terms, one-third of these options vest after one year, one-third after two years, and the remainder three years from February 2, 2026.
Ameriprise Financial executive Alvero Gumer, President–Insurance & Annuities, reported several equity transactions in Ameriprise Financial Inc. common stock and options. On January 31, 2026, he disposed of 32 shares of common stock at $527.19 per share, leaving 5,531 shares directly held.
On February 2, 2026, he acquired 405 shares of common stock at $0, increasing his direct common stock holdings to 5,936 shares. He also received an employee stock option grant for 1,326 options with a conversion price of $532.18 per share, vesting in three annual tranches from February 2, 2026 to February 2, 2029, and expiring on February 3, 2036. In addition, an estimated 1,064.63 shares are held indirectly in his Ameriprise Financial 401(k) plan account as of February 2, 2026.
Ameriprise Financial SVP and Controller Dawn M. Brockman reported routine equity transactions. On January 31, 2026, 20 shares of Ameriprise common stock were disposed of at $527.19 per share under transaction code F, leaving 991 shares directly owned.
On February 2, 2026, she acquired 177 shares of common stock at a stated price of $0, increasing her direct holdings to 1,168 shares. She also received an employee stock option grant for 339 shares with an exercise price of $532.18 per share, vesting in three equal annual installments starting one year from February 2, 2026.
In addition, the filing notes an estimated 145.23 Ameriprise shares held indirectly through the Ameriprise Financial 401(k) plan as of February 2, 2026, with the amount varying over time due to unit accounting.
Ameriprise Financial executive Gerard P. Smyth reported equity compensation and a tax-related share withholding. On 01/31/2026, 136 shares of common stock were disposed of at $527.19 per share under code "F," typically used for shares withheld to cover taxes, leaving 10,560 shares directly owned.
On 02/02/2026, Smyth acquired 1,014 shares of Ameriprise common stock at $0, increasing his direct holdings to 11,574 shares. He also received an employee stock option grant for 3,315 shares at an exercise price of $532.18 per share, vesting in three equal annual installments beginning one year from February 2, 2026.
Ameriprise Financial executive vice president and general counsel Heather J. Melloh reported routine equity compensation changes. On January 31, 2026, 46 shares of common stock were withheld at $527.19 per share in a transaction coded “F,” typically used for tax withholding, leaving 2,408 shares directly owned.
On February 2, 2026, Melloh acquired 583 shares of common stock at a stated price of $0, increasing her direct holdings to 2,991 shares. The same day she was granted an employee stock option for 1,906 shares with an exercise price of $532.18 per share and expiration on February 3, 2036. One-third of these options vest after one year, one-third after two years, and the final third three years from February 2, 2026.
Ameriprise Financial executive William F. Truscott, CEO of Global Asset Management, reported equity transactions in company stock. On January 31, 2026, 345 shares of common stock were disposed of at $527.19 per share under code F, which reflects shares withheld to cover taxes on vesting.
On February 2, 2026, he acquired 2,536 shares of common stock at $0 per share and held 4,794 directly afterward. He also received an award of 8,288 employee stock options with a $532.18 exercise price, vesting in thirds over one, two, and three years from February 2, 2026.
In addition to direct holdings, Truscott is reported as indirectly holding 17,149 shares of common stock through an LLC and an estimated 307.19 shares through the Ameriprise Financial 401(k) plan as of February 2, 2026.
Ameriprise Financial executive William Davies, Executive VP and Global CIO, reported several equity transactions in company stock. On January 31, 2026, he disposed of 78.0711 shares of common stock at $527.19 per share, leaving 14,000.3538 shares directly owned.
On February 2, 2026, he acquired 529 common shares at $0, increasing his direct common stock holdings to 14,529.3538 shares. That same day, he was granted 1,729 employee stock options with an exercise price of $532.18 per share, all directly owned.
According to the footnote, one-third of these options vest after one year, another third after two years, and the final third three years from February 2, 2026, creating a three-year, time-based vesting schedule.
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.