Smyth Gerard P. 4

What Happened Gerard P. Smyth, Executive Vice President & Chief Investment Officer of Ameriprise Financial (AMP), disposed of shares to satisfy tax withholding obligations related to equity compensation. On 2026-01-26 he surrendered 114 shares at $500.53 each ($57,060) and on 2026-01-27 he surrendered 97 shares at $498.33 each ($48,338), for a total of 211 shares and roughly $105,398.

Key Details

• Transaction dates and prices: 2026-01-26 — 114 shares @ $500.53; 2026-01-27 — 97 shares @ $498.33.
• Total disposed: 211 shares for approx. $105,398.
• Transaction code: F — indicates shares were withheld/surrendered to satisfy tax withholding on equity compensation (not an open-market sale for investment purposes).
• Shares owned after transaction: not specified in the provided filing excerpt.
• Filing timeliness: Form filed 2026-01-28 for transactions dated Jan 26–27; appears to be filed promptly per standard Section 16 reporting timelines.

Context These transactions reflect tax-withholding on exercised options or vested awards (cashless/withheld-share settlements), which is routine and does not necessarily indicate a view on the company's outlook. For retail investors, purchase activity is generally more informative than withholding disposals; these entries mainly document compensation-related mechanics rather than active selling in the open market.