TRUSCOTT WILLIAM F 4

4 · AMERIPRISE FINANCIAL INC · Filed Jul 13, 2026

AI-generated summary of this filing

Updated Jul 13, 2026

Ameriprise (AMP) CEO William Truscott Exercises Phantom Stock

What Happened

William F. Truscott, CEO, Global Asset Management at Ameriprise Financial (AMP), converted 391.64 units of phantom stock into common shares on July 9, 2026. To satisfy tax withholding on the vesting/conversion, 180.64 shares were surrendered (disposed) at $500.16 per share, generating $90,349. The remaining shares were transferred to the reporting person's indirect LLC holdings per the filing footnotes.

Key Details

Transaction date: July 9, 2026; Form 4 filed July 13, 2026 (filed within the standard 2 business days).
Exercise/conversion: 391.64 phantom shares (derivative transaction code M).
Tax withholding/surrender: 180.64 shares disposed at $500.16 each for $90,349 (transaction code F).
Remaining shares: balances reflect transfer of remaining shares to reporting person's indirect LLC holdings (see footnote F2).
Relevant footnotes:
- F1: Each phantom share equals the right to one Ameriprise common share.
- F4: Phantom shares are payable in common stock under the Deferred Compensation Plan.
- F2/F3: Filing notes transfer and 401(k) unit-accounting context for holdings.

Context

This was an exercise/conversion of deferred (phantom) stock, not an open-market purchase or voluntary stock sale; the 180.64-share disposition was to satisfy tax obligations (a routine, cashless withholding/surrender). Such withholding transactions are common following vesting/conversion and do not necessarily indicate a change in the insider’s market view.

Form 4

Period: 2026-07-09

CEO, GLOBAL ASSET MANAGEMENT

Transactions

Exercise/Conversion
Common Stock
[F1]
2026-07-09+391.64→ 5,185.64 total
Tax Payment
Common Stock
[F2]
2026-07-09$500.16/sh−180.64$90,349→ 4,794 total
Exercise/Conversion
Phantom Stock
[F1][F4]
2026-07-09−391.64→ 639.118 total
→ Common Stock (391.64 underlying)

Holdings

Footnotes (4)

[F1]Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
[F2]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.
[F3]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 July 9, 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.
[F4]Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.

Signature

/s/ Wendy B. Mahling for William F. Truscott|2026-07-13

1 file