Brockman Dawn M. 4

4 · AMERIPRISE FINANCIAL INC · Filed Jul 13, 2026

AI-generated summary of this filing

Updated Jul 13, 2026

Ameriprise (AMP) SVP Dawn Brockman Exercises Phantom Stock, Withholds Shares

What Happened

Dawn M. Brockman, Senior Vice President and Controller at Ameriprise Financial (AMP), converted 26.04 phantom stock units into common shares on July 9, 2026 (derivative exercise/conversion).
To cover tax withholding, 9.04 of those shares were surrendered at $500.16 per share, for a withholding value of $4,521. That leaves a net receipt of about 17.00 shares (26.04 − 9.04), based on the reported entries.

Key Details

Transaction date: July 9, 2026. Form 4 filed July 13, 2026 (the filing reports the July 9 transaction).
Entries reported: M = exercise/conversion of 26.04 phantom shares; F = tax withholding disposal of 9.04 shares at $500.16/share ($4,521 total).
Shares owned after the transaction: not specified in the filing (no post-transaction total reported).
Footnotes: F1/F3 note these were "phantom stock" units (each unit equals the right to one Ameriprise common share and are payable in shares per the Deferred Compensation Plan). F2 relates to an unrelated 401(k) share estimate method.
No 10b5-1 plan or other trading plan is disclosed in the filing. The Form 4 was filed on July 13 for a July 9 transaction (Form 4s are generally due within two business days), so review the filing date if timeliness is a concern.

Context

This was a conversion of phantom stock units into shares with shares withheld to satisfy tax withholding—a routine, non-open-market event (common for deferred-compensation payouts). Such withholdings are standard and do not necessarily indicate a buy or sell signal about the insider’s view of the stock.
Derivative code M denotes an option/derivative exercise or conversion; code F denotes shares withheld/used to pay tax obligations.

Form 4

Period: 2026-07-09

SVP AND CONTROLLER

Transactions

Exercise/Conversion
Common Stock
[F1]
2026-07-09+26.04→ 1,194.04 total
Tax Payment
Common Stock
2026-07-09$500.16/sh−9.04$4,521→ 1,185 total
Exercise/Conversion
Phantom Stock
[F1][F3]
2026-07-09−26.04→ 275.601 total
→ Common Stock (26.04 underlying)

Holdings

Footnotes (3)

[F1]Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.
[F2]Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of July 9, 2026. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.
[F3]Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.

Signature

/s/ Wendy B. Mahling for Dawn M. Brockman|2026-07-13

1 file