Sweeney Joseph Edward 4

What Happened
Joseph Edward Sweeney, President — AWM Products & Services at Ameriprise Financial (AMP), had a small disposition and received equity awards. On Jan 31, 2026 he had 235 shares disposed at $527.19 each (total ~$123,890) as a payment of exercise price or to satisfy tax withholding. On Feb 2, 2026 he was granted/awarded 1,702 shares (direct acquisition) and 5,561 derivative shares/units (awarded as a derivative instrument) — together 7,263 shares/units reported at $0.00 acquisition price.

Key Details

• Transactions:
  • 2026-01-31: 235 shares disposed @ $527.19 = $123,890 (code F — payment of exercise price/tax withholding)
  • 2026-02-02: 1,702 shares acquired @ $0.00 (award/grant)
  • 2026-02-02: 5,561 derivative shares acquired @ $0.00 (award/grant; derivative)
• Shares owned after transaction: the filing does not state a precise total; it includes an estimate of shares held in the reporting person's Ameriprise 401(k) stock fund as of Feb 2, 2026 (see footnote F1).
• Footnotes:
  • F1: Estimate of shares in the Ameriprise Financial Stock Fund under the 401(k); plan uses unit accounting so reported units vary with share price.
  • F2: The derivative award vests in three tranches — one‑third after one year, one‑third after two years, and the final third three years from Feb 2, 2026.
• Timeliness: Form filed Feb 3, 2026. The filing does not indicate a late filing flag.

Context

• The Jan 31 disposition was reported as a tax/option-related payment (code F), not an open‑market sale — common when shares are withheld to cover taxes on an award or option exercise.
• The Feb 2 entries are awards/derivatives with a time‑based vesting schedule (see F2); these are not immediate open‑market purchases and reflect granted compensation rather than a personal buy.
• These filings are informational; they document compensation and tax withholding actions rather than necessarily signaling personal bullish or bearish trading intent.