Berman Walter Stanley 4

What Happened Walter Stanley Berman, Executive Vice President and Chief Financial Officer of Ameriprise Financial, received an award of 9,993 shares (grant, $0.00 acquisition price) on January 27, 2026. On the same date 5,102 shares were disposed at $498.33 per share to satisfy a tax liability (total value reported $2,542,480). The disposal is coded as a tax/payment transaction rather than an open-market sale.

Key Details

• Transaction date: January 27, 2026.
• Grant: 9,993 shares @ $0.00 (award/acquisition).
• Disposal (tax withholding): 5,102 shares @ $498.33 = $2,542,480.
• Shares owned after the transactions: not specified in the provided filing excerpt.
• Footnote: F1 notes the number of shares in the reporting person’s Ameriprise 401(k) Stock Fund is an estimate and uses unit accounting (shares vary with stock price).
• Filing date: January 29, 2026 — appears to be filed within the normal 2-business-day Form 4 window (no late filing indicated).

Context The disposal is reported under code F (payment of exercise price or tax liability), which commonly reflects withholding of shares to cover taxes on a grant or award. This is a routine administrative step and not the same as an open-market sale that might signal a change in insider sentiment. The key takeaway for investors: Berman received a stock award and a portion of those (or other holdings) were withheld/used to meet tax obligations.