Berman Walter Stanley's Form 4 filing
Ameriprise Financial Inc (AMP) · filed Dec 15, 2023
- Accession no.
- 0001415889-23-016533
- Filed
- Dec 15, 2023
- Trade date
- Dec 13, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.38M. 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2023 | Common Stock | MOption exerciseAcquired | +25,382 | $179.84 | +$4,564,698.88 | 33,430 | Direct | |
| Dec 13, 2023 | Common Stock | FTax withholdingDisposed | −18,973 | $371.46 | −$7,047,710.58 | 14,457 | Direct | |
| Dec 13, 2023 | Common Stock | SSaleDisposed | −6,409 | $370.81 | −$2,376,521.29 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2023 | Common Stock | MOption exerciseDisposed | −25,382 | $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.