CRACCHIOLO JAMES M 4

What Happened
James M. Cracchiolo, Chairman and CEO of Ameriprise Financial (AMP), was granted 35,534 shares (reported as an award/acquisition) on January 27, 2026. On the same day he disposed of 18,176 shares at $498.33 per share to cover an exercise price or tax liability, totaling approximately $9,057,646. Net effect: he received 35,534 shares and surrendered 18,176, for a net increase of 17,358 shares.

Key Details

• Transaction date: 2026-01-27 (reported in Form 4 filed 2026-01-29). Filing appears timely.
• Award: 35,534 shares reported as acquisition (code A) at $0.00.
• Tax/price payment: 18,176 shares disposed (code F) at $498.33 each = $9,057,646.
• Net change: +17,358 shares (35,534 acquired minus 18,176 surrendered).
• Footnote: F1 notes an estimate of shares held in the reporting person’s Ameriprise 401(k) Stock Fund; the plan uses unit accounting so reported share counts can vary with the stock price.
• No indication this was an open-market sale; the disposed shares were used to satisfy tax/exercise obligations (withholding/surrender).

Context
This appears to be a standard equity award vesting with shares withheld or surrendered to cover taxes or exercise costs, not a market sell reflecting a directional bet. Such withholding is common when executives receive equity awards and does not necessarily signal a view on the company’s prospects.