PELLETIER LIANE J 4

What Happened
Liane J. Pelletier, a director of Ameriprise Financial, Inc. (AMP), was granted a derivative award of 182.356 phantom shares (reported as a grant) on February 3, 2026. The award is valued at $530.05 per share, for a reported total of approximately $96,658. This was an equity award (not an open-market purchase or sale) provided as part of director compensation.

Key Details

• Transaction date: 2026-02-03; Filing date: 2026-02-05 (timely Form 4 filing).
• Transaction type/code: Grant/Award (A), reported as a derivative grant.
• Amount: 182.356 phantom shares at $530.05 each; total reported value ≈ $96,658.
• Shares owned after transaction: Not specified in the filing.
• Footnotes from the filing:
  • F1: Grant is a pro rata annual equity grant after Pelletier became a director effective Nov 12, 2025.
  • F2: Each phantom share represents the right to receive one share of Ameriprise common stock.
  • F3: Deferred share units will be settled one-for-one into common stock in a lump sum at the end of the quarter following the quarter in which the director's Board service ends.

Context
This was a deferred/phantom stock award (deferred share units), meaning Pelletier did not receive immediate common shares but a right to common stock upon settlement as described in the footnotes. Such awards are routine director compensation and do not by themselves indicate a buy or sell signal.