Brockman Dawn M. 4

What Happened

• Dawn M. Brockman, SVP and Controller at Ameriprise Financial (AMP), had 20 shares disposed on Jan 31 to cover exercise price or tax liability (code F) at $527.19 per share (20 x $527.19 ≈ $10,544). On Feb 2 she was granted/awarded 177 shares (acquired) and 339 derivative shares (acquired, $0 price), for a total of 516 shares reported as awards/grants.

Key Details

• Transaction dates and prices:
  • 2026-01-31: 20 shares withheld/disposed @ $527.19 each to satisfy exercise/tax liability (total ≈ $10,544).
  • 2026-02-02: 177 shares granted @ $0 (acquired); 339 derivative shares granted @ $0 (acquired).
• Shares owned after transaction: the filing does not list a specific total; footnote F1 states an estimate was used for shares held in the Ameriprise Financial Stock Fund (401(k)) as of Feb 2, 2026, and that unit accounting causes the reported amount to vary with the stock price.
• Vesting/derivative detail: footnote F2 indicates the derivative/option awards vest one‑third after 1 year, one‑third after 2 years, and the final third after 3 years from Feb 2, 2026.
• Filing/timeliness: transaction dates are Jan 31 and Feb 2; the Form 4 was filed on Feb 3, 2026. No late‑filing flag is indicated on the report.

Context

• The 20‑share disposition was a tax/price withholding tied to an exercise or tax liability (routine withholding), not necessarily an open‑market sale. The 339 "derivative" shares reflect awards subject to future vesting (see F2), so they do not represent immediately tradable common shares until they vest.