Alvero Gumer 4

What Happened

• Alvero Gumer, President—Insurance & Annuities at Ameriprise Financial (AMP), received stock awards on Feb 2, 2026 totaling 1,731 shares (405 shares and 1,326 derivative units) at no cash cost. Separately, on Jan 31, 2026 he disposed of 32 shares at $527.19 each to satisfy tax or exercise obligations, netting about $16,870 (transaction code F indicates payment of exercise price or tax liability).

Key Details

• Transaction dates and prices:
  • 2026-01-31: Sold/withheld 32 shares at $527.19/share for tax/payment = $16,870 (F).
  • 2026-02-02: Award/acquisition of 405 shares @ $0.00 (A).
  • 2026-02-02: Award/acquisition of 1,326 derivative shares @ $0.00 (A, derivative).
• Shares owned after transaction: Not specified in the provided extract; the filing notes estimated 401(k) holdings vary with Ameriprise Stock Fund unit accounting (see F1).
• Notable footnotes:
  • F1: The filing estimates shares held in the Ameriprise Financial Stock Fund under the company 401(k) plan as of Feb 2, 2026; those numbers float with the fund/unit price.
  • F2: The derivative award vests in three equal installments — one-third after 1 year, one-third after 2 years, and the final third after 3 years from Feb 2, 2026.
• Filing timeliness: No late filing indicator was provided in the summary you gave.

Context

• The 32-share disposition appears to be a tax-withholding or exercise payment (common and routine) rather than an open-market sell for investment reasons. The larger entries on Feb 2 are grants/awards (one is a derivative award with a multi-year vesting schedule), which are acquisitions and generally viewed differently from discretionary purchases or sales.