Berman Walter Stanley's Form 4 filing
Ameriprise Financial Inc (AMP) · filed Aug 8, 2023
- Accession no.
- 0001415889-23-011940
- Filed
- Aug 8, 2023
- Trade date
- Aug 4, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $4.58M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2023 | Common Stock | MOption exerciseAcquired | +15,000 | $179.84 | +$2,697,600 | 29,360 | Direct | |
| Aug 4, 2023 | Common Stock | MOption exerciseAcquired | +10,025 | $126.89 | +$1,272,072.25 | 39,385 | Direct | |
| Aug 4, 2023 | Common Stock | FTax withholdingDisposed | −18,295 | $352.08 | −$6,441,303.6 | 21,090 | Direct | |
| Aug 4, 2023 | Common Stock | SSaleDisposed | −6,730 | $350.95 | −$2,361,893.5 | 14,360 | Direct | |
| Aug 4, 2023 | Common Stock | SSaleDisposed | −6,312 | $352.19 | −$2,223,023.28 | 8,048 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2023 | Common Stock | MOption exerciseDisposed | −15,000 | $0.00 | $0 | 25,382 | Direct | |
| Aug 4, 2023 | Common Stock | MOption exerciseDisposed | −10,025 | $0.00 | $0 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.