TRUSCOTT WILLIAM F 4

4 · AMERIPRISE FINANCIAL INC · Filed Feb 3, 2026

AI-generated summary of this filing

Updated Feb 4, 2026

Ameriprise (AMP) William Truscott Receives Awards; 345 Shares Withheld

What Happened

William F. Truscott, CEO, Global Asset Management at Ameriprise (AMP), received equity awards and had a small number of shares withheld to satisfy tax withholding. On Feb 2, 2026 he was granted 2,536 shares (stock award) and 8,288 derivative securities (options/other equity awards). On Jan 31, 2026, 345 shares were disposed/forfeited to cover tax liability at $527.19 per share, totaling $181,881.
Net immediate change: 2,536 awarded − 345 withheld = 2,191 shares added to his indirect LLC holdings; plus 8,288 derivative awards that are subject to vesting.

Key Details

Transaction dates and amounts:
- 2026-01-31: 345 shares surrendered/forfeited to satisfy tax withholding at $527.19 each = $181,881 (code F).
- 2026-02-02: Grant/acquisition of 2,536 shares @ $0.00 (code A).
- 2026-02-02: Grant/acquisition of 8,288 derivative securities @ $0.00 (code A, derivative).
Shares owned after transaction: filing does not list a specific post-transaction total; footnote F2 notes an estimated Ameriprise 401(k) stock-fund holding is reported separately and varies with fund-unit accounting.
Notable footnotes:
- F1: The 345-share forfeiture reflects shares withheld to satisfy tax withholding upon vesting; remaining vested shares were transferred to the reporting person’s indirect LLC holdings.
- F2: Estimate of shares held in the Ameriprise 401(k) fund as of Feb 2, 2026 (unit accounting).
- F3: The 8,288 derivative awards vest one-third after 1 year, one-third after 2 years, and the remainder after 3 years from Feb 2, 2026.
Filing timeliness: Report filed Feb 3, 2026 covering transactions through Feb 2, 2026 — indicated as timely (no late filing flag).

Context

The 2,536-share award is an equity grant; the 8,288 derivative award appears to be option-like and vests over three years (per F3). The 345-share disposition was routine tax withholding tied to vesting, not an open-market sale—common for equity compensation. Awards are compensation, not the same as an open-market purchase, so they do not necessarily signal personal bullish buying.

Form 4

Period: 2026-01-31

CEO, GLOBAL ASSET MANAGEMENT

Transactions

Tax Payment
Common Stock
[F1]
2026-01-31$527.19/sh−345$181,881→ 2,258 total
Award
Common Stock
2026-02-02+2,536→ 4,794 total
Award
Employee Stock Option (right to buy)
[F3]
2026-02-02+8,288→ 8,288 total
Exercise: $532.18Exp: 2036-02-03→ Common Stock (8,288 underlying)

Holdings

Footnotes (3)

[F1]The balances reflect the transfer of the shares remaining following the forfeiture of shares to satisfy tax withholding upon vesting to the reporting person's indirect LLC holdings.
[F2]Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of February 2, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
[F3]One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 2, 2026.

Signature

/s/ Wendy B. Mahling for William Fredrick Truscott|2026-02-03

1 file