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 director Christopher J. Williams reported a routine compensation-related award of derivative securities. On 02/03/2026, he acquired 38.9114 shares of Phantom Stock (Retainer Deferral) at $530.05 per unit, bringing his total to 3,818.6956 phantom stock units held directly.
Each phantom stock unit represents the right to receive one share of Ameriprise Financial common stock, with distributions made according to participant elections under the Ameriprise Financial Deferred Share Plan for Outside Directors.
Ameriprise Financial EVP and General Counsel Heather J. Melloh reported two transactions in Ameriprise Financial common stock. On January 27, 2026, she acquired 999 shares at $0 per share in a transaction coded "A". The same day, she disposed of 306 shares in a transaction coded "F" at $498.33 per share. After these moves, she directly owned 3,684 shares of Ameriprise Financial common stock.
An Ameriprise Financial insider filed a Rule 144 notice to sell 7,000 shares of Ameriprise common stock through American Enterprise Investment Services on the NYSE, with an aggregate market value of 3,809,511.
The shares were acquired on 02/05/2025 via vesting of compensatory equity awards from Ameriprise Financial, Inc. The notice lists 92,905,713 common shares outstanding and targets an approximate sale date of 02/05/2026. The filer represents they are not aware of undisclosed material adverse information about Ameriprise’s current or prospective operations.
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.