New insider Hunter Petruzillo Kelli A. claimed ownership of 4,349 shares (SEC Form 3)
$AMP
Investment Managers
Finance
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
(Country) | 2. Date of Event Requiring Statement
(Month/Day/Year) 06/02/2026 | 3. Issuer Name and Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC [ AMP ] | |||||||||||||||
| 3a. Foreign Trading Symbol
| 5. If Amendment, Date of Original Filed
(Month/Day/Year) | ||||||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 4,099 | D | |
| Common Stock | 249.701(1) | I | By 401(k) Plan |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee Stock Option (right to buy) | (2) | 01/28/2033 | Common Stock | 921 | $344.45 | D | |
| Employee Stock Option (right to buy) | (3) | 01/27/2034 | Common Stock | 1,630 | $391.4 | D | |
| Employee Stock Option (right to buy) | (4) | 02/01/2035 | Common Stock | 1,957 | $543.36 | D | |
| Employee Stock Option (right to buy) | (5) | 02/03/2036 | Common Stock | 2,486 | $532.18 | D | |
| Phantom Stock | (6) | (6) | Common Stock | 1,316.417 | (7) | D | |
| Explanation of Responses: |
| 1. 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 June 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. |
| 2. Fully vested. |
| 3. One-half of the options vest after two years and the final one-half of the options vest three years from January 26, 2024. |
| 4. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 31, 2025. |
| 5. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from February 2, 2026. |
| 6. 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. |
| 7. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock. |
| Remarks: |
| Exhibit List: Exhibit 24-Power of Attorney |
| /s/ Wendy B. Mahling for Kelli Hunter Petruzillo | 06/12/2026 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
| * Form 3: SEC 1473 (03-26) | ||