Berman Walter Stanley's Form 4 filing
Ameriprise Financial Inc (AMP) · filed Nov 17, 2022
- Accession no.
- 0001415889-22-011517
- Filed
- Nov 17, 2022
- Trade date
- Nov 15, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.93M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Berman Walter StanleyCIK 0001335761 | Officer (EXECUTIVE VP AND CFO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2022 | Common Stock | MOption exerciseAcquired | +40,000 | $126.89 | +$5,075,600 | 50,751 | Direct | |
| Nov 15, 2022 | Common Stock | FTax withholdingDisposed | −28,017 | $327.06 | −$9,163,240.02 | 22,734 | Direct | |
| Nov 15, 2022 | Common Stock | SSaleDisposed | −8,700 | $327.64F1 | −$2,850,468 | 14,034 | Direct | |
| Nov 15, 2022 | Common Stock | SSaleDisposed | −3,283 | $328.29F2 | −$1,077,776.07 | 10,751 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2022 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 10,025 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Reflects the weighted average price of 8,700 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $327.2381 to $328.0158 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.
Referenced by the price of 1 transaction in Table I.
- F2
Reflects the weighted average price of 3,283 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 15, 2022 with sale prices ranging from $328.2855 to $328.2893 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.
Referenced by the price of 1 transaction in Table I.