Notice of Proposed Sale · 144
Ameriprise Financial, Inc.
AMPNYSEEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- AMERIPRISE FINANCIAL INC.
- Issuer CIK
- 0000820027
- SEC file number
- 001-32525
- Phone
- 612-671-3000
- Person for whose account securities are to be sold
- Dawn M. Brockman
- Relationships to issuer
- Officer
- Street
- 901 THIRD AVENUE SOUTH
- City
- MINNEAPOLIS
- State / country code
- MN
- Postal code
- 55402
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common Stock | 472 | 263,815.01 | 88,333,219 | 08/10/2026 | NYSE | American Enterprise Investment Services, Inc. |
Broker / market maker — proposed row 1, entry 1
- Name
- American Enterprise Investment Services, Inc.
- Street
- 1350 Ameriprise Financial Center
- City
- Minneapolis
- State / country code
- MN
- Postal code
- 55474
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common Stock | 08/10/2025 | Vesting of Compensatory Equity Awards (See Remarks) | Ameriprise Financial, Inc. | 472 | N | 08/10/2025 | Compensatory Equity Awards |
Prior-sale reporting
- Nothing to report for the preceding three months
- Y
Remarks
The shares were acquired through various compensatory awards more than a year ago.
Notice signature
- Notice date
- 08/10/2026
- Signed
- /s/ Wendy B. Mahling for Dawn M. Brockman