CRACCHIOLO JAMES M 4

What Happened

• James M. Cracchiolo, Chairman and CEO of Ameriprise Financial (AMP), had 1,729 shares withheld on Jan 31, 2026 to cover exercise price/tax liability at $527.19 per share (value ≈ $911,512). On Feb 2, 2026 he was reported as acquiring 11,988 shares (award) and 33,299 derivative securities (grant of equity-based awards/options) at $0.00 per share.

Key Details

• Transaction dates and prices:
  • 2026-01-31: 1,729 shares disposed (code F — payment of exercise price/tax) at $527.19 each, total ≈ $911,512.
  • 2026-02-02: 11,988 shares reported as acquired (award) at $0.00.
  • 2026-02-02: 33,299 derivative securities reported as acquired (award) at $0.00.
• Shares owned after transaction: The filing does not disclose total beneficial ownership; F1 notes an estimate of shares held in his Ameriprise 401(k) stock fund as of Feb 2, 2026.
• Footnotes:
  • F1: The 401(k) stock-fund holding is reported as an estimate because the plan uses unit accounting and balances vary with share price.
  • F2: The 33,299 derivative awards vest one‑third after 1 year, one‑third after 2 years and the final third 3 years from Feb 2, 2026.
• Timeliness: Form 4 was filed Feb 3, 2026 and appears to be timely (within required business-day window).

Context

• The 1,729-share disposition was a tax/exercise withholding (routine administrative action), not an open-market sale. The 33,299 item is a time‑vesting equity grant (options/awards) — vesting occurs in three equal annual tranches. The 11,988 shares appear tied to his stock fund/award reporting (see F1) and were reported as acquired at no cash price.