Melloh Heather J.'s Form 4 filing
Ameriprise Financial Inc (AMP) · filed Nov 28, 2022
- Accession no.
- 0001415889-22-011796
- Filed
- Nov 28, 2022
- Trade date
- Nov 23, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $54.9K. It was filed 5 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 |
|---|---|
| Melloh Heather J.CIK 0001935239 | Officer (EVP AND GENERAL COUNSEL) |
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 23, 2022 | Common Stock | MOption exerciseAcquired | +1,541 | $126.89 | +$195,537.49 | 4,233 | Direct | |
| Nov 23, 2022 | Common Stock | FTax withholdingDisposed | −880 | $332.54 | −$292,635.2 | 3,353 | Direct | |
| Nov 23, 2022 | Common Stock | SSaleDisposed | −165 | $332.63F1 | −$54,883.95 | 3,188 | 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 23, 2022 | Common Stock | MOption exerciseDisposed | −1,541 | $0.00 | $0 | 0 | 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 165 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on November 23, 2022 with sale prices ranging from $332.6277 to $332.6360 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.