BROCKMAN DAWN M. (Interim Controller and PAO) exercised options at AMERIPRISE FINANCIAL INC
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 1 exercise
Filed: 7/13/2026ACC: 0001937010-26-000008
Officer· Interim Controller and PAO
Since Jul 2022
-9.04
Net shares
Net seller
$4.5K
Total sold
0
Open market trades
0B · 0S
3
Total transactions
26.04 acquired · 35.08 disposed
Non-Derivative Transactions2
Common Stock
Direct
Shares
+26.04
Price / share
—
Trade value
—
% of position
2.2%
7/9/2026
1.17K→1.19K
Common Stock
Direct
Shares
−9.04
Price / share
$500.16
Trade value
$4.52K
% of position
0.8%
7/9/2026
1.19K→1.19K
Total
Net shares
+17.00
Net value
-$4.52K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 7/9/2026 | M · Option Exercise | +26.04 | — | — | 2.2% | 1.17K | 1.19K |
| Common Stock Direct | 7/9/2026 | F · Tax Withholding | −9.04 | $500.16 | $4.52K | 0.8% | 1.19K | 1.19K |
| Total | +17.00 | -$4.52K | ||||||
Derivative Transactions1
Phantom Stock
Direct
Converts to
Common Stock
26.04 shares
Shares
−26.04
Strike price
Held after
275.60
Exercisable
—
7/9/2026
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Phantom Stock Direct | Common Stock26.04 shares | 7/9/2026 | M · Option Exercise | −26.04 | — | 275.60 |
Non-Derivative Holdings (Post-Transaction)1
Common Stock
IndirectShares owned146.46
Total
146.46 indirect146.46
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 146.46 | Indirect |
| Total | 146.46 | 146.46 indirect |
Derivative Holdings (Post-Transaction)0
No derivative holdings reported