Ameriprise Financial Inc. planned insider sales
In the twelve months since 22 September 2025 insiders at Ameriprise Financial Inc. filed 13 Form 144 notices of planned sales, 122,434 shares worth $65.9 million at the time of filing, from 9 sellers. The latest, filed 10 August 2026: Dawn M. Brockman (officer), 472 shares worth $263,815, planned for around 10 August 2026 through American Enterprise Investment Services, Inc..
| Filed | Seller | Relationship | Shares | Value | Planned sale | Broker | How acquired | Filing |
|---|---|---|---|---|---|---|---|---|
| 10 August 2026 | Dawn M. Brockman | Officer | 472 | $263,815 | 10 August 2026 | American Enterprise Investment Services, Inc. | Vesting of Compensatory Equity Awards (See Remarks) | Form 144 |
| 6 August 2026 | Deirdre McGraw | Officer | 2,400 | $1.3 million | 6 August 2026 | American Enterprise Investment Services, Inc. | Vesting of Compensatory Equity Awards (See Remarks) | Form 144 |
| 28 July 2026 | William J. Williams | Officer | 8,210 | $4.4 million | 28 July 2026 | American Enterprise Investment Services, Inc. | Employee Stock Option; Vesting of Compensatory Equity Awards (See Remarks) | Form 144 |
| 28 July 2026 | Walter Stanley Berman | Officer | 11,012 | $6.0 million | 28 July 2026 | American Enterprise Investment Services, Inc. | Employee Stock Option | Form 144 |
| 28 July 2026 | James M. Cracchiolo | Officer, Director | 18,020 | $9.8 million | 28 July 2026 | American Enterprise Investment Services, Inc. | Employee Stock Option | Form 144 |
| 27 July 2026 | William J. Williams | Officer | 7,894 | $4.2 million | 27 July 2026 | American Enterprise Investment Services, Inc. | Employee Stock Option; Vesting of Compensatory Equity Awards (See Remarks) | Form 144 |
| 14 May 2026 | Gerard P. Smyth | Officer | 6,255 | $3.0 million | 14 May 2026 | American Enterprise Investment Services, Inc. | Employee Stock Option; Vesting of Compensatory Equity Awards (See Remarks) | Form 144 |
| 8 May 2026 | Sharpe Robert Francis JR | Director | 1,200 | $554,226 | 8 May 2026 | Wells Fargo Clearing Services | Compensation | Form 144 |
| 10 February 2026 | William Fredrick Truscott | Officer | 5,000 | $2.7 million | 10 February 2026 | American Enterprise Investment Services, Inc. | Vesting of Compensatory Equity Awards - See Remarks | Form 144 |
| 9 February 2026 | Gumer Alvero | Officer | 4,658 | $2.5 million | 9 February 2026 | American Enterprise Investment Services, Inc. | Employee Stock Option; Vesting of Compensatory Equity Awards | Form 144 |
| 5 February 2026 | Walter Stanley Berman | Officer | 7,000 | $3.8 million | 5 February 2026 | American Enterprise Investment Services, Inc. | Vesting of Compensator y Equity Awards | Form 144 |
| 4 February 2026 | James M. Cracchiolo | Officer, Director | 48,813 | $26.6 million | 4 February 2026 | American Enterprise Investment Services, Inc. | Vesting of Compensator y Equity Awards | Form 144 |
| 21 November 2025 | Sharpe Robert Francis JR | Director | 1,500 | $676,060 | 21 November 2025 | Wells Fargo Clearing Services | Compensation | Form 144 |
A Form 144 is the notice an insider files with the SEC before selling restricted or control shares over the Rule 144 thresholds; it says what may be sold, not what was. Value is the filer's own aggregate market value. Whether the sale happened shows up later on Form 4, on the insiders page.
Source
Form 144 filings on EDGAR for Ameriprise Financial Inc.: the company's filing index, each notice read from its own XML.
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