BROCKMAN DAWN M. (Interim Controller and PAO) received a stock award from AMERIPRISE FINANCIAL INC
Compensation award — not an open‑market transaction. Less informative as a directional signal.
A · 1 award
Filed: 2/3/2026ACC: 0001937010-26-000003
Officer· Interim Controller and PAO
Since Jul 2022
+496.00
Net shares
Net buyer
$10.5K
Total sold
0
Open market trades
0B · 0S
3
Total transactions
516.00 acquired · 20.00 disposed
Non-Derivative Transactions2
Common Stock
Direct
Shares
−20.00
Price / share
$527.19
Trade value
$10.54K
% of position
2.0%
1/31/2026
1.01K→991.00
Common Stock
Direct
Shares
+177.00
Price / share
—
Trade value
—
% of position
17.9%
2/2/2026
991.00→1.17K
Total
Net shares
+157.00
Net value
-$10.54K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 1/31/2026 | F · Tax Withholding | −20.00 | $527.19 | $10.54K | 2.0% | 1.01K | 991.00 |
| Common Stock Direct | 2/2/2026 | A · Award | +177.00 | — | — | 17.9% | 991.00 | 1.17K |
| Total | +157.00 | -$10.54K | ||||||
Derivative Transactions1
Employee Stock Option (right to buy)
Direct
Converts to
Common Stock
339.00 shares
Shares
+339.00
Strike price
532.18
Held after
339.00
Exercisable
—
2/2/2026
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) Direct | Common Stock339.00 shares | 2/2/2026 | A · Award | +339.00 | 532.18 | — | 339.00 |
Non-Derivative Holdings (Post-Transaction)1
Common Stock
IndirectShares owned145.23
Total
145.23 indirect145.23
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 145.23 | Indirect |
| Total | 145.23 | 145.23 indirect |
Derivative Holdings (Post-Transaction)0
No derivative holdings reported