Davies William 4

What Happened

• William Davies, Executive Vice President & Global CIO of Ameriprise Financial (AMP), reported a small disposition and two award transactions. On 2026-01-31 he disposed of 78.071 shares at $527.19 each for proceeds of $41,158. On 2026-02-02 he was granted 529 shares (no cash price) and 1,729 derivative shares (recorded as acquired at $0.00).

Key Details

• Dates and prices:
  • 2026-01-31: Disposition to issuer — 78.071 shares at $527.19, total $41,158.
  • 2026-02-02: Award — 529 shares @ $0.00 (no cash paid).
  • 2026-02-02: Award (derivative) — 1,729 shares @ $0.00 (derivative grant).
• Shares owned after transaction: Not disclosed in the filing provided.
• Footnote: The 1,729 derivative awards are subject to vesting: one-third vests after 1 year, one-third after 2 years, and the final third after 3 years from February 2, 2026.
• Filing timeliness: Form filed 2026-02-03 for transactions on 2026-01-31 and 2026-02-02; the filing does not indicate a late report.

Context

• The disposition was recorded as "to the issuer" (D), and the two entries on 2026-02-02 are awards (A), one of which is a derivative grant (options or similar) with a multi-year vesting schedule. There is no indication the awards were immediately sold (no cashless exercise or sale reported). Awards and withholding-related dispositions are common for executive compensation and do not by themselves indicate a trading signal.