Brockman Dawn M. 4

What Happened

• Dawn M. Brockman, SVP and Controller of Ameriprise Financial, received a derivative award of 8.656 phantom shares on Feb 6, 2026. The award is reported at a per-share value of $542.99, for a total reported value of $4,700. This was an award/acquisition (code A) of phantom stock — not an open-market purchase or sale.

Key Details

• Transaction date and price: Feb 6, 2026; 8.656 phantom shares @ $542.99 each; total $4,700.
• Transaction type/code: Award/acquisition (A); derivative (phantom stock).
• Shares owned after transaction: Not disclosed on this Form 4.
• Footnotes: F1 — each phantom share represents the right to receive one Ameriprise common share; F2 — phantom shares are payable in actual stock following termination of employment or in a specified future year under the Ameriprise Deferred Compensation Plan.
• Filing: Form 4 filed Feb 10, 2026; this appears timely (filed within the SEC’s two-business-day window for a Feb 6 transaction).

Context

• Phantom stock awards are a form of deferred compensation that entitle the recipient to receive common shares (or equivalent value) at a later date per plan rules. This small, routine award (about $4.7K) reflects compensation rather than an immediate market position change.