Berman Walter Stanley 4

What Happened
Walter Stanley Berman, Executive Vice President and CFO of Ameriprise Financial (AMP), had shares disposed to cover a tax or exercise obligation. On 2026-01-26 he disposed of 387 shares at $500.53 (≈ $193,705) and on 2026-01-27 he disposed of 429 shares at $498.33 (≈ $213,784), for a combined total of 816 shares and about $407,489. These transactions are coded (F) — payment of exercise price or tax liability — and represent routine withholding/dispositions rather than open-market investment purchases.

Key Details

• Transaction dates and prices:
  • 2026-01-26: 387 shares @ $500.53 — $193,705 (disposed)
  • 2026-01-27: 429 shares @ $498.33 — $213,784 (disposed)
• Total disposed: 816 shares for roughly $407,489.
• Shares owned after transaction: Not specified in the Form 4 (no exact post-transaction holding reported).
• Footnote: F1 notes the share count estimate reflects the Ameriprise Financial Stock Fund under the company 401(k) plan (unit accounting); participant share counts can vary with the stock price.
• Filing: Report filed 2026-01-28 for transactions dated Jan 26–27; the filing does not indicate lateness.

Context
These were tax-withholding/obligation dispositions (code F), commonly used to satisfy tax liabilities from option exercises or vested awards. Such transactions are typically routine and do not necessarily indicate a personal view on the company’s prospects. The form does not show an open-market sale for investment purposes or a new purchase.