Truscott William F's Form 4 filing
Ameriprise Financial Inc (AMP) · filed Jan 31, 2023
- Accession no.
- 0001415889-23-001695
- Filed
- Jan 31, 2023
- Trade date
- Jan 27-29, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.99M. It was filed 4 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 |
|---|---|
| Truscott William FCIK 0001282835 | Officer (CEO, GLOBAL ASSET MANAGEMENT) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 27, 2023 | Common Stock | MOption exerciseAcquired | +30,841 | $123.37 | +$3,804,854.17 | 41,332 | Direct | |
| Jan 27, 2023 | Common Stock | FTax withholdingDisposed | −19,358 | $347.36 | −$6,724,194.88 | 10,491 | Direct | |
| Jan 27, 2023 | Common Stock | SSaleDisposed | −11,483 | $347.69F2 | −$3,992,524.27 | 16,262 | Indirect | |
| Jan 27, 2023 | Common Stock | AGrant or awardAcquired | +3,057 | $0.00 | $0 | 13,548 | Direct | |
| Jan 28, 2023 | Common Stock | FTax withholdingDisposed | −476 | $344.45 | −$163,958.2 | 12,416 | Direct | |
| Jan 29, 2023 | Common Stock | FTax withholdingDisposed | −732 | $344.45 | −$252,137.4 | 10,675 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 27, 2023 | Common Stock | MOption exerciseDisposed | −30,841 | $0.00 | $0 | 0 | Direct | |
| Jan 27, 2023 | Common Stock | AGrant or awardAcquired | +8,982 | $0.00 | $0 | 8,982 | 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.
- F2
Reflects the weighted average price of 11,483 shares of common stock of Ameriprise Financial, Inc. sold by the reporting person in multiple transactions on January 27, 2023 with sale prices ranging from $347.2426 to $348.2063 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.