0001415889-24-005738.txt : 20240228 0001415889-24-005738.hdr.sgml : 20240228 20240228163829 ACCESSION NUMBER: 0001415889-24-005738 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240226 FILED AS OF DATE: 20240228 DATE AS OF CHANGE: 20240228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smyth Gerard P. CENTRAL INDEX KEY: 0001823254 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32525 FILM NUMBER: 24696173 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CITY: MINNEAPOLIS STATE: MN ZIP: 55474 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERIPRISE FINANCIAL INC CENTRAL INDEX KEY: 0000820027 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] ORGANIZATION NAME: 02 Finance IRS NUMBER: 133180631 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 612-671-8001 MAIL ADDRESS: STREET 1: 1099 AMERIPRISE FINANCIAL CENTER CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL CORP DATE OF NAME CHANGE: 20030513 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EXPRESS FINANCIAL ADVISORS DATE OF NAME CHANGE: 19950711 FORMER COMPANY: FORMER CONFORMED NAME: IDS FINANCIAL CORP/MN/ DATE OF NAME CHANGE: 19920703 4 1 form4-02282024_090208.xml X0508 4 2024-02-26 0000820027 AMERIPRISE FINANCIAL INC AMP 0001823254 Smyth Gerard P. 1098 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS MN 55474 false true false false EVP TECHNOLOGY AND CIO 0 Common Stock 2024-02-26 4 M 0 3199 179.84 A 9165 D Common Stock 2024-02-26 4 M 0 3433 126.89 A 12598 D Common Stock 2024-02-26 4 F 0 4371 408.71 D 8227 D Common Stock 2024-02-26 4 S 0 2261 407.1601 D 5966 D Common Stock 2024-02-26 4 S 0 2179 408.7106 D 3787 D Employee Stock Option (right to buy) 179.84 2024-02-26 4 M 0 3199 0 D 2028-01-26 Common Stock 3199 0 D Employee Stock Option (right to buy) 126.89 2024-02-26 4 M 0 3433 0 D 2029-02-01 Common Stock 3433 0 D Reflects the weighted average price of 2,261 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 26, 2024 with sale prices ranging from $407.158 to $407.23 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Reflects the weighted average price of 2,179 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on February 26, 2024 with sale prices ranging from $408.70 to $408.835 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Fully vested. /s/ Wendy B. Mahling for Gerard P. Smyth 2024-02-28