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.
Ameriprise Financial, Inc. filings document financial results, governance, executive and board matters, and shareholder voting for a Delaware financial services company with NYSE-listed common stock. Form 8-K disclosures include quarterly earnings releases, dividend actions, annual meeting results, director appointments, officer transitions and other material corporate events.
The company’s proxy materials cover director elections, board committee matters, executive compensation, equity awards, shareholder voting mechanics and related governance disclosures. Together, the filings describe Ameriprise’s public-company reporting around advice and wealth management, asset management, retirement and protection services, capital returns and oversight practices.
Ameriprise Financial Inc. executive William F. Truscott, CEO of Global Asset Management, reported an open-market sale of 5,000 shares of Ameriprise common stock on February 10, 2026. The shares were sold indirectly through an LLC at a weighted average price of $532.08 per share, with individual sale prices ranging from $531.83 to $532.33 per share.
After these transactions, Truscott indirectly held 12,149 Ameriprise shares through the LLC, held an estimated 308.03 shares in the Ameriprise Financial Stock Fund within his 401(k) plan, and directly held 4,794 shares of common stock.
Ameriprise Financial, Inc. reported that Joseph E. Sweeney, who serves as President, Advice & Wealth Management Products & Service Delivery, has decided to retire from the company.
His retirement is expected to be effective on April 3, 2026, marking a planned leadership transition in a key business area.
Ameriprise Financial, Inc. officer Alvero Gumer reported multiple equity transactions on February 9, 2026. He exercised employee stock options covering 3,428 shares at $179.84 per share and 4,865 shares at $126.89 per share, receiving the same number of Ameriprise common shares.
To cover obligations, 4,950 shares were disposed of as a tax-withholding transaction at $542.779 per share, and 4,658 shares were sold in open-market transactions at a weighted average price of $542.8824 per share, with prices ranging from $542.61 to $542.955. Following these trades, he held 4,621 shares directly and an estimated 1,064.34 shares indirectly through the Ameriprise Financial 401(k) plan as of February 9, 2026.
Ameriprise Financial has a notice under Rule 144 for a planned sale of 5,000 shares of its common stock. The shares are to be sold through American Enterprise Investment Services, Inc. on the NYSE at an aggregate market value of 2,660,400.
The 5,000 shares were acquired on 02/10/2025 through the vesting of compensatory equity awards, with payment described as compensatory equity awards on that same date. The approximate date of sale listed is 02/10/2026, and 92,905,713 shares of common stock were outstanding.
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.
Ameriprise Financial, Inc. common stock is the subject of a planned sale under Rule 144. A shareholder has filed to sell 4,658 shares through American Enterprise Investment Services on the NYSE, with an aggregate market value of $2,528,746.13 and an approximate sale date of February 9, 2026.
The filing notes that 1,315 shares were acquired on February 9, 2025 through vesting of compensatory equity awards, and 3,343 shares were acquired on February 9, 2026 via non-qualified stock options, using a net exercise method. The issuer had 92,905,713 shares outstanding when this notice was prepared.
Ameriprise Financial executive Walter S. Berman, Executive VP and CFO, reported a stock sale. On February 5, 2026, he sold 7,000 shares of Ameriprise Financial common stock at a weighted average price of $544.2159 per share, in multiple trades with prices ranging from $543.98 to $544.645.
After the sale, he beneficially owned 5,609 shares of Ameriprise common stock directly. He also had an estimated 363.83 shares credited to his account through the Ameriprise Financial Stock Fund in the company’s 401(k) plan as of February 5, 2026, which uses unit accounting.
Ameriprise Financial’s chairman and CEO, James M. Cracchiolo, reported a series of open-market sales of Ameriprise common stock on February 4, 2026. The transactions covered multiple blocks of shares, including 7,136 shares at a weighted average price of $540.1052 and 15,696 shares at $548.6051, with several additional sales between those price levels.
After these sales, Cracchiolo directly held 107,633 shares of Ameriprise common stock. The filing also notes an estimated 1,724.844 shares held indirectly through his account in the Ameriprise Financial Stock Fund under the company’s 401(k) plan as of February 4, 2026.
Wix.com Ltd. received an updated beneficial ownership report from Ameriprise-related entities. As of January 31, 2026, Ameriprise Financial, Inc. is deemed to beneficially own 6,019,660 shares of Wix common stock, or 10.8% of the class.
Columbia Management Investment Advisers, LLC reports beneficial ownership of 5,869,661 shares, or 10.5%, largely through accounts it manages, including the Columbia Seligman Technology and Information Fund, which directly holds 3,720,492 shares, or 6.7% of Wix’s common stock.
The firms state the securities are held in the ordinary course of business and not for the purpose of changing or influencing control of Wix. Ameriprise and Columbia Management each disclaim beneficial ownership except to the extent of their pecuniary interest.
Ameriprise Financial director Liane J. Pelletier received a pro rata annual equity grant in the form of 182.3555 phantom stock (annual) units on February 3, 2026, valued at $530.05 per unit.
Each phantom stock unit represents the right to receive one share of Ameriprise common stock. The units will be settled in Ameriprise common shares on a one-for-one basis in a lump sum after the quarter following the end of her service as a non-employee director.