Brockman Dawn M. 4

What Happened
Dawn M. Brockman, Senior Vice President and Controller of Ameriprise Financial (AMP), had a total of 44 shares disposed to satisfy tax or exercise-related obligations (transaction code F). On Jan 26, 2026 she surrendered 22 shares at $500.53 each for proceeds of $11,012, and on Jan 27, 2026 she surrendered another 22 shares at $498.33 each for $10,963 — total value about $21,975. These disposals are tax-withholding/settlement transactions rather than open-market sales.

Key Details

• Transaction dates and prices: 2026-01-26 — 22 shares @ $500.53 ($11,012); 2026-01-27 — 22 shares @ $498.33 ($10,963).
• Total shares disposed: 44; total value ≈ $21,975.
• Shares owned after transaction: the Form 4 does not state a precise post-transaction total. Footnote F1 gives an estimate of shares held in the reporting person's Ameriprise 401(k) plan as of Jan 27, 2026 (unit accounting; share count varies with stock price).
• Footnote: F1 — estimate of shares held in the Ameriprise Financial Stock Fund under the 401(k) plan; the plan uses unit accounting and the reported number can vary with stock price.
• Timeliness: Filing (Accession 0001937010-26-000002) was made on 2026-01-28 for transactions on 2026-01-26–27 and appears timely under Form 4 reporting rules.

Context
Transaction code F indicates shares were surrendered to satisfy an exercise price or tax liability (common when options vest or restricted shares settle). These routine withholdings are typically administrative and do not necessarily indicate a change in the insider’s view of the company.