AMP insider ownership: who sold, why, and what they still hold

Who	Shares	Price	% of total stake	Total stake after	Trade date	Filed
Dawn Brockman SVP and Controller	472	$558.93	36%	857	Aug 10, 2026	Aug 12, 2026

What stands out

Two officers sold more than 25% of vested holdings: Gerard Smyth (68% of holdings, $3.0M, none under a disclosed plan) and William Truscott (31% of holdings, $2.7M, none under a disclosed plan).Gerard Smyth: largest sale, May 14, 2026 · William Truscott: largest sale, Feb 10, 2026

Six insiders sold $60.1M with no disclosed plan: James Cracchiolo ($36.4M), Walter Berman ($9.9M) and William Williams ($8.7M), plus 3 more. The filings don't state a reason.James Cracchiolo: largest such sale, Jul 28, 2026 · Walter Berman: largest such sale, Jul 28, 2026 · William Williams: largest such sale, Jul 27, 2026

Percentages cover 9 of 20 officers and directors. 11 are left out

Left out: James Cracchiolo (holdings couldn't be fully reconciled); William Williams, Gumer Alvero and Deirdre McGraw (most of their shares vested during the period, so a percentage would mislead); Robert Sharpe Jr. and Blixt Neal (most holdings were last confirmed in 2015); Walter Berman (most holdings were last confirmed in 2021); Amy DiGeso (most holdings were last confirmed in 2018); Christopher Williams (most holdings were last confirmed in 2016); Edward Walter (most holdings were last confirmed in 2020); Brian Shea (most holdings were last confirmed in 2019).

Disclosed company stock is not an insider's whole wealth.

Who sold, and how much of their stake

Officers and directors, past 12 months. Each bar is 100% of that person's own stake; not comparable between people. The stake is the vested shares held at the start of the period (Oct 9, 2025); the gold part is what they sold.

SoldRest of starting stakeAdded during the period

James Cracchiolo

Chairman and CEO, Director

Sold $36.4M (plan status beside the amount). Share of stake not shown: holdings couldn't be fully reconciled. Why

$36.4MNo plan disclosed

Walter Berman

Executive VP and CFO

Sold $9.9M (plan status beside the amount). Share of stake not shown: most holdings were last confirmed in 2021. Why

$9.9MNo plan disclosed

William Williams

Pres, Wealth Mgmt Advisor Grp

Sold $8.7M (plan status beside the amount). That is 70% of the shares held or received (after tax withholding) during the period†. A share of the starting stake is not shown: most of these shares arrived during the period. Why

$8.7MNo plan disclosed

Gerard Smyth

EVP & Hd. of Tech. & Serv. Del

68% · $3.0MNo plan disclosed

William Truscott

CEO, Global Asset Management

Sold 31%, but 392 shares were added (mostly vesting), so the stake grew

31% · $2.7MNo plan disclosed

All 9 sellers

Selling by month

Officers and directors, Oct 2025 to Oct 2026. Each sale is counted once: under a disclosed plan, else to cover taxes, else no plan disclosed.

No plan disclosedOne dollar scale for every month; the tallest bar is labeled

Common questions

Is the Ameriprise Financial CEO selling stock?

Yes. James Cracchiolo sold 67K shares ($36.4M) in the past 12 months, none of it under a trading plan disclosed in the filings.

Why are Ameriprise Financial insiders selling?

Filings rarely give a reason, and we don't guess at one. What they show is how the sales were made: 0% of sales by value ran under 10b5-1 trading plans disclosed in the filings and 100% had no disclosed plan. A trading plan schedules sales in advance.

Are any Ameriprise Financial insiders buying?

No. Officers and directors reported no purchases in the past 12 months.

How much of their stake did Ameriprise Financial insiders sell?

About 21% overall. As a group they ended with more shares than they started with. These figures leave out James Cracchiolo, the largest holder (holdings couldn't be fully reconciled). That covers the 12 months to Oct 9, 2026 and counts vested shares reported on SEC Forms 3, 4 and 5, which is not an insider's whole wealth.

The evidence

Who sold9 officers and directors: amount, % of holdings, trading plan

Who sold	Amount	% of holdings	Trading plan
James Cracchiolo Chairman and CEO, Director	$36.4M 67K shares	i No percentage: holdings couldn't be fully reconciled.	No plan disclosed
Walter Berman Executive VP and CFO	$9.9M 18K shares	i No percentage: most holdings were last confirmed in 2021.	No plan disclosed
William Williams Pres, Wealth Mgmt Advisor Grp	$8.7M 16K shares	70%† i † Most of the shares William Williams sold arrived during the period, so this is shares sold as a share of the 17K held at the start plus the 15K received, less 9K withheld by the company for taxes.	No plan disclosed
Gerard Smyth EVP & Hd. of Tech. & Serv. Del	$3.0M 6.3K shares	68%	No plan disclosed
William Truscott CEO, Global Asset Management	$2.7M 5K shares	31%	No plan disclosed
Gumer Alvero President-Insurance&Annuities	$2.5M 4.7K shares	45%† i † Most of the shares Gumer Alvero sold arrived during the period, so this is shares sold as a share of the 5.9K held at the start plus the 9.8K received, less 5.4K withheld by the company for taxes.	No plan disclosed
Deirdre McGraw EVP Mktg, Strat. & Comms.	$1.3M 2.4K shares	37%† i † Most of the shares Deirdre McGraw sold arrived during the period, so this is shares sold as a share of the 5.6K held at the start plus the 3K received, less 2.2K withheld by the company for taxes.	No plan disclosed
Robert Sharpe Jr. Director	$1.2M 2.7K shares	i No percentage: most holdings were last confirmed in 2015.	No plan disclosed
Dawn Brockman SVP and Controller	$264K 472 shares	39%	No plan disclosed

The full ownership picture19 of 20 insiders fully reconciled · 15 officers and directors

Vested shares across all share classes, held directly and through trusts, LLCs and family members, as reported on SEC Forms 3, 4 and 5. Unvested awards and options are never counted as owned shares.

Insider

Held Oct 9, 2025

Sold

Held Oct 9, 2026

Still held

James Cracchiolo

Holdings couldn't be fully reconciled. Balance changed with no matching transaction and no footnote: -49,028 shares on Jan 26, 2026 (Direct). See the filing Sales and other transactions for James Cracchiolo are complete.

Chairman and CEO, Director

n/a

−67K

n/a

Vesting, gifts, unvested awards and holding lines for James Cracchiolo

+53Kshares vested or exercised

0gifted (net of own trusts)

−59Kwithheld by the company for taxes

207K → 207Kunvested awards, start → end

Additional holdings last reported more than 3 years ago are shown separately and excluded from totals.

Holdings couldn't be fully reconciled. Balance changed with no matching transaction and no footnote: -49,028 shares on Jan 26, 2026 (Direct). The balances below are as reported, not verified totals.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	181,780	107,633
401(k) Plan	Common Stock	1,705	1,738

Additional holdings last reported Oct 3, 2005, not confirmed since: 955 shares. Not included in any total or percentage on this page.

ISP Trust, Common Stock: 955 shares, last reported Oct 3, 2005

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
29,766	$391.40	Jan 27, 2034	$5.0M
24,258	$543.46	Feb 1, 2035	$375K
33,299	$532.18	Feb 3, 2036	$891K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

William Williams

Started reporting during the period; starting holdings are from the Form 3. New Form 3 filed 2026-06-12; earlier filings set aside.

Pres, Wealth Mgmt Advisor Grp

17K

−16K

6.8K

not meaningful

Vesting, gifts, unvested awards and holding lines for William Williams

+15Kshares vested or exercised

0gifted (net of own trusts)

−9Kwithheld by the company for taxes

15K → 15Kunvested awards, start → end

Started reporting during the period; starting holdings are from the Form 3.
New Form 3 filed 2026-06-12; earlier filings set aside.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	17,243	6,780

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
2,532	$165.41	Feb 1, 2030	$996K
8,601	$197.87	Jan 30, 2031	$3.1M
4,000	$298.09	Jan 29, 2032	$1.0M
3,685	$344.45	Jan 28, 2033	$790K
3,260	$391.40	Jan 27, 2034	$546K
2,656	$543.36	Feb 1, 2035	$41K
3,647	$532.18	Feb 3, 2036	$98K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

William Truscott

Minor difference of 3 shares. Difference is under 0.5% of holdings. An owner entity could not be identified from the footnotes.

CEO, Global Asset Management

16K

−5K

17K

+8%

Vesting, gifts, unvested awards and holding lines for William Truscott

+392shares vested or exercised

0gifted (net of own trusts)

−5.3Kwithheld by the company for taxes

5.5K → 6.2Kunvested awards, start → end

An owner entity could not be identified from the footnotes.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	4,822	4,794
LLC	Common Stock	11,047	12,360
401(k) Plan	Common Stock	306	310

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
7,386	$391.40	Jan 27, 2034	$1.2M
6,013	$543.46	Feb 1, 2035	$93K
8,288	$532.18	Feb 3, 2036	$222K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Reconciliation: minor difference of 3 shares. Difference is under 0.5% of holdings.

Robert Sharpe Jr.

Most of this insider's holdings were last confirmed in 2015. Confirmed in the last three years: 11,777 shares. Not confirmed since: 19,150 shares, left out of this row. "Still held" is not shown because it would cover only the smaller, confirmed part.

Director

14K

−2.7K

12K

see note

Vesting, gifts, unvested awards and holding lines for Robert Sharpe Jr.

0shares vested or exercised

0gifted (net of own trusts)

77K → 117Kunvested awards, start → end

Additional holdings last reported more than 3 years ago are shown separately and excluded from totals.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	3,625	3,625
Trust for Family Member	Common Stock	9,000	6,300
Irrev Trust for Family Member	Common Stock	1,650	1,650
Rev Trust	Common Stock	202	202

Additional holdings last reported May 19, 2015, not confirmed since: 19,150 shares. Not included in any total or percentage on this page.

Robert F. Sharpe, Sr. Revocable Trust, Common Stock: 19,150 shares, last reported May 19, 2015

William Davies

Minor difference of 14 shares. Difference is under 0.5% of holdings.

Executive VP, Global CIO

13K

15K

no sales

Vesting, gifts, unvested awards and holding lines for William Davies

0shares vested or exercised

0gifted (net of own trusts)

none reportedunvested awards, start → end

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	13,223	14,529

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
1,793	$391.40	Jan 27, 2034	$300K
1,388	$543.36	Feb 1, 2035	$22K
1,729	$532.18	Feb 3, 2036	$46K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Reconciliation: minor difference of 14 shares. Difference is under 0.5% of holdings.

Gerard Smyth

Additional holdings last reported more than 3 years ago are shown separately and excluded from totals.

EVP & Hd. of Tech. & Serv. Del

9.1K

−6.3K

6.1K

67%

Vesting, gifts, unvested awards and holding lines for Gerard Smyth

+2.2Kshares vested or exercised

0gifted (net of own trusts)

−2.9Kwithheld by the company for taxes

3.9K → 3.9Kunvested awards, start → end

Additional holdings last reported more than 3 years ago are shown separately and excluded from totals.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	9,135	6,103

Additional holdings last reported Apr 29, 2021, not confirmed since: 218 shares. Not included in any total or percentage on this page.

401(k) Plan, Common Stock: 218 shares, last reported Apr 29, 2021

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
2,852	$391.40	Jan 27, 2034	$478K
2,517	$543.46	Feb 1, 2035	$39K
3,315	$532.18	Feb 3, 2036	$89K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Joseph Sweeney

Minor difference of 2 shares. Difference is under 0.5% of holdings.

Pres-Awm Products & Services

7.7K

12K

no sales

Vesting, gifts, unvested awards and holding lines for Joseph Sweeney

0shares vested or exercised

0gifted (net of own trusts)

−3.2Kwithheld by the company for taxes

3.8K → 3.8Kunvested awards, start → end

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	7,401	11,458
401(k) Plan	Common Stock	295	296

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
5,246	$391.40	Jan 27, 2034	$879K
4,195	$543.46	Feb 1, 2035	$65K
5,561	$532.18	Feb 3, 2036	$149K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Reconciliation: minor difference of 2 shares. Difference is under 0.5% of holdings.

Gumer Alvero

Minor difference of 12 shares. Difference is under 0.5% of holdings.

President-Insurance&Annuities

5.9K

−4.7K

5.7K

not meaningful

Vesting, gifts, unvested awards and holding lines for Gumer Alvero

+8.3Kshares vested or exercised

0gifted (net of own trusts)

−5.4Kwithheld by the company for taxes

4.9K → 4.9Kunvested awards, start → end

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	4,866	4,621
401(k) Plan	Common Stock	1,052	1,064

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
1,018	$391.40	Jan 27, 2034	$171K
908	$543.46	Feb 1, 2035	$14K
1,326	$532.18	Feb 3, 2036	$35K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Reconciliation: minor difference of 12 shares. Difference is under 0.5% of holdings.

Deirdre McGraw

Minor difference of 1 share. Difference is under 0.5% of holdings. Started reporting during the period; starting holdings are from the Form 3. New Form 3 filed 2026-06-12; earlier filings set aside.

EVP Mktg, Strat. & Comms.

5.6K

−2.4K

not meaningful

Vesting, gifts, unvested awards and holding lines for Deirdre McGraw

+3Kshares vested or exercised

0gifted (net of own trusts)

−2.2Kwithheld by the company for taxes

2.7K → 2.7Kunvested awards, start → end

Started reporting during the period; starting holdings are from the Form 3.
New Form 3 filed 2026-06-12; earlier filings set aside.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	4,964	3,373
401(k) Plan	Common Stock	635	635

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
1,034	$165.41	Feb 1, 2030	$407K
1,015	$197.87	Jan 30, 2031	$366K
2,143	$298.09	Jan 29, 2032	$559K
2,763	$344.45	Jan 28, 2033	$593K
2,445	$391.40	Jan 27, 2034	$410K
1,957	$543.36	Feb 1, 2035	$30K
2,486	$532.18	Feb 3, 2036	$67K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Reconciliation: minor difference of 1 share. Difference is under 0.5% of holdings.

Petruzillo Hunter

Started reporting during the period; starting holdings are from the Form 3. New Form 3 filed 2026-06-12; earlier filings set aside.

Exec VP of Human Resources

4.3K

4.5K

no sales

Vesting, gifts, unvested awards and holding lines for Petruzillo Hunter

+207shares vested or exercised

0gifted (net of own trusts)

−98withheld by the company for taxes

1.3K → 1.1Kunvested awards, start → end

Started reporting during the period; starting holdings are from the Form 3.
New Form 3 filed 2026-06-12; earlier filings set aside.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	4,099	4,208
401(k) Plan	Common Stock	250	250

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
921	$344.45	Jan 28, 2033	$198K
1,630	$391.40	Jan 27, 2034	$273K
1,957	$543.36	Feb 1, 2035	$30K
2,486	$532.18	Feb 3, 2036	$67K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Heather Melloh

EVP and General Counsel

2.6K

3.9K

no sales

Vesting, gifts, unvested awards and holding lines for Heather Melloh

+722shares vested or exercised

0gifted (net of own trusts)

−929withheld by the company for taxes

827 → 827unvested awards, start → end

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	2,562	3,937

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
1,630	$391.40	Jan 27, 2034	$273K
1,258	$543.46	Feb 1, 2035	$19K
1,906	$532.18	Feb 3, 2036	$51K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Dawn Brockman

Minor difference of 2 shares. Difference is under 0.5% of holdings.

SVP and Controller

1.2K

−472

860

72%

Vesting, gifts, unvested awards and holding lines for Dawn Brockman

+26shares vested or exercised

0gifted (net of own trusts)

−73withheld by the company for taxes

1.2K → 1.8Kunvested awards, start → end

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	1,055	713
401(k) Plan	Common Stock	144	147

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
311	$391.40	Jan 27, 2034	$52K
262	$543.46	Feb 1, 2035	$4K
339	$532.18	Feb 3, 2036	$9K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Reconciliation: minor difference of 2 shares. Difference is under 0.5% of holdings.

Walter Berman

Most of this insider's holdings were last confirmed in 2021. Confirmed in the last three years: 367 shares. Not confirmed since: 22,653 shares, left out of this row. "Still held" is not shown because it would cover only the smaller, confirmed part.

Executive VP and CFO

361

−18K

367

see note

Vesting, gifts, unvested awards and holding lines for Walter Berman

+34Kshares vested or exercised

0gifted (net of own trusts)

−29Kwithheld by the company for taxes

63K → 63Kunvested awards, start → end

Small increase from a 401(k) plan. Filing 1 Filing 2
Additional holdings last reported more than 3 years ago are shown separately and excluded from totals.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
401(k) Plan	Common Stock	361	367

Additional holdings last reported Jan 31, 2021, not confirmed since: 22,653 shares. Not included in any total or percentage on this page.

Direct, Common Stock: 22,653 shares, last reported Jan 31, 2021

Stock options (not counted as shares):

Options held	Strike price	Expires	Intrinsic value (estimate)
9,169	$391.40	Jan 27, 2034	$1.5M
6,991	$543.46	Feb 1, 2035	$108K
9,117	$532.18	Feb 3, 2036	$244K

Estimate: options held × ($558.93 − strike price), using the most recent insider trade price on Form 4 (Aug 10, 2026), not a market close.

Reconciliation: minor difference of 564 shares. Small increase from a 401(k) plan.

Glynis Bryan

Director

200

no sales

Vesting, gifts, unvested awards and holding lines for Glynis Bryan

0shares vested or exercised

0gifted (net of own trusts)

661 → 1.7Kunvested awards, start → end

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Family Trust	Common Stock	200	200

Liane Pelletier

Started reporting during the period; starting holdings are from the Form 3.

Director

200

no sales

Vesting, gifts, unvested awards and holding lines for Liane Pelletier

0shares vested or exercised

0gifted (net of own trusts)

0 → 807unvested awards, start → end

Started reporting during the period; starting holdings are from the Form 3.

Held through	Share class	Oct 9, 2025	Oct 9, 2026
Direct	Common Stock	200	200

19 of 20 insiders fully reconciled: starting holdings plus reported transactions match ending holdings (12 exactly, 7 with a minor or footnoted difference). For 1 we show sales but not holdings; the ! icon on that row explains why. Percentages cover 9 of 20 officers and directors. Left out: James Cracchiolo (holdings couldn't be fully reconciled); William Williams, Gumer Alvero and Deirdre McGraw (most of their shares vested during the period, so a percentage would mislead); Robert Sharpe Jr. and Blixt Neal (most holdings were last confirmed in 2015); Walter Berman (most holdings were last confirmed in 2021); Amy DiGeso (most holdings were last confirmed in 2018); Christopher Williams (most holdings were last confirmed in 2016); Edward Walter (most holdings were last confirmed in 2020); Brian Shea (most holdings were last confirmed in 2019). "Still held" compares ending with starting vested shares; a plus sign means the holding grew.

What explains the selling$65.9M of sales by plan status, purpose, seller and month

Officer and director open-market sales: $65.9M across 122,434 shares. Plan status and stated purpose are separate questions, and a sale can have both.

By plan status

No plan disclosed · $65.9M

Sales with no 10b5-1 plan and no tax reference in the filing. $36.4M of it is James Cracchiolo. No plan disclosed is a statement about the filing, not about why the sale happened. Largest such sale: James Cracchiolo, Jul 28, 2026

Taxes

117,258 shares ($62.1M) were withheld by the company for taxes, which isn't a market sale.

Seller	Shares sold	Proceeds	Under a disclosed plan	Share of total	Sales dates
James Cracchiolo Chairman and CEO, Director	67K	$36.4M	0%	55%	Feb 4, 2026 to Jul 28, 2026
Walter Berman Executive VP and CFO	18K	$9.9M	0%	15%	Feb 5, 2026 to Jul 28, 2026
William Williams Pres, Wealth Mgmt Advisor Grp	16K	$8.7M	0%	13%	Jul 27, 2026 to Jul 28, 2026
Gerard Smyth EVP & Hd. of Tech. & Serv. Del	6.3K	$3.0M	0%	4%	May 14, 2026 to May 14, 2026
William Truscott CEO, Global Asset Management	5K	$2.7M	0%	4%	Feb 10, 2026 to Feb 10, 2026
Gumer Alvero President-Insurance&Annuities	4.7K	$2.5M	0%	4%	Feb 9, 2026 to Feb 9, 2026
Deirdre McGraw EVP Mktg, Strat. & Comms.	2.4K	$1.3M	0%	2%	Aug 6, 2026 to Aug 6, 2026
Robert Sharpe Jr. Director	2.7K	$1.2M	0%	2%	Nov 21, 2025 to May 8, 2026
Dawn Brockman SVP and Controller	472	$264K	0%	0.4%	Aug 10, 2026 to Aug 10, 2026

Sales by month

Month	Sale proceeds	Disclosed plan	To cover taxes	No plan disclosed
Oct 2025	$0	$0	$0	$0
Nov 2025	$676K	$0	$0	$676K
Dec 2025	$0	$0	$0	$0
Jan 2026	$0	$0	$0	$0
Feb 2026	$35.6M	$0	$0	$35.6M
Mar 2026	$0	$0	$0	$0
Apr 2026	$0	$0	$0	$0
May 2026	$3.5M	$0	$0	$3.5M
Jun 2026	$0	$0	$0	$0
Jul 2026	$24.5M	$0	$0	$24.5M
Aug 2026	$1.6M	$0	$0	$1.6M
Sep 2026	$0	$0	$0	$0
Oct 2026	$0	$0	$0	$0

Is this normal? Selling year by year5 earlier years to compare with

Less than usual: about two-thirds of the 5-year average. 9 insiders sold; the average is 9 a year.

12 months ending	Shares sold	Insiders who sold	Proceeds
Oct 9, 2026 Latest 12 months	122K	9	$65.9M
Oct 9, 2025 1 year earlier	63K	8	$34.1M
Oct 9, 2024 2 years earlier	139K	9	$56.1M
Oct 10, 2023 3 years earlier	141K	8	$48.8M
Oct 10, 2022 4 years earlier	190K	8	$58.8M
Oct 10, 2021 5 years earlier	395K	10	$79.5M

Open-market sales (Form 4 code S) by people who were officers or directors, in split-adjusted shares. Earlier years include people who have since left. A sale that an outside holder also reports (a family trust, a fund) is counted with outside holders in every year. Shares, not dollars, are compared, so a change in the stock price doesn't look like a change in selling. Years the filings don't fully cover are shown but left out of the average.

Known gaps and uncertainty1 insider whose holdings couldn't be fully reconciled

James Cracchiolo: holdings couldn't be fully reconciled (difference of -48,994 shares). Balance changed with no matching transaction and no footnote: -49,028 shares on Jan 26, 2026 (Direct). Filing, Jan 26, 2026

William Truscott: minor difference of 3 shares. Difference is under 0.5% of holdings.

William Davies: minor difference of 14 shares. Difference is under 0.5% of holdings.

Joseph Sweeney: minor difference of 2 shares. Difference is under 0.5% of holdings.

Gumer Alvero: minor difference of 12 shares. Difference is under 0.5% of holdings.

Deirdre McGraw: minor difference of 1 share. Difference is under 0.5% of holdings.

Dawn Brockman: minor difference of 2 shares. Difference is under 0.5% of holdings.

Walter Berman: minor difference of 564 shares. Small increase from a 401(k) plan.

Inferred rename: "ISP Trust" is treated as the same holder as "401(k) Plan", because the old name was never reported again and the new one opened with the same balance (38 shares). Old name, new name

Inferred rename: "ISP Trust" is treated as the same holder as "401(k) Plan", because the old name was never reported again and the new one opened with the same balance (4 shares). Old name, new name

Inferred rename: "ISP Trust" is treated as the same holder as "401(k) Plan", because the old name was never reported again and the new one opened with the same balance (6 shares). Old name, new name

Inferred rename: "ISP Trust" is treated as the same holder as "401(k) Plan", because the old name was never reported again and the new one opened with the same balance (12 shares). Old name, new name

Inferred rename: "ISP Trust" is treated as the same holder as "401(k) Plan", because the old name was never reported again and the new one opened with the same balance (13 shares). Old name, new name

Inferred rename: "following subsidiaries of Berkshire Hathaway Inc.: OBH, Inc" is treated as the same holder as "; National Indemnity Company", because the old name was never reported again and the new one opened with the same balance (30,322,137 shares). Old name, new name

Inferred typo: the share class "Common Stoack" is treated as the same class as "Common Stock" on 1 holding line, because the two spellings are nearly identical and each balance carried over exactly. Example (Kim Sharan, 240 shares): old title, new title

External context: we only cite outside events when a documented connection exists. None is shown for this period.

Sources and methodology1,695 filings from SEC EDGAR, and how we read them

All 1,695 Forms 3, 4 and 5 filed for Ameriprise Financial (SEC CIK 820027) from Aug 23, 2005 to Aug 12, 2026, retrieved from SEC EDGAR on Oct 9, 2026. Prices are the ones reported in each filing, often weighted averages. 9 filings were left out because Ameriprise Financial filed them as an owner of another company's stock.

Holdings. Each holding line (a share class plus an owner, such as a trust or LLC) carries its last reported balance forward. Entities first reported during the period start at zero, so transfers between an insider's own trusts don't count as selling. Lines not reported for three years or more are listed separately and left out of totals.

Sales. A sale counts as under a 10b5-1 plan if its footnote cites one or the filing's Rule 10b5-1 box is checked, and as tax-related if its footnote cites tax obligations or sell-to-cover. Shares withheld by the company for taxes are listed separately. Sales with neither attribute are labeled "no plan disclosed".

Full methodology

Former or inactive filers (28)No filing in 18 months; last reported balances, not in any total

Name	Last filed	Last reported balance
Armando Pimentel Jr.	Apr 26, 2024	2,650 shares, last reported balance as of Sep 15, 2022
Lon Greenberg	Apr 29, 2022	5,500 shares, last reported balance as of Sep 20, 2021
John Woerner	Feb 15, 2022	34,606 shares, last reported balance as of Feb 2, 2022
Karen Thissen	Feb 15, 2022	10,472 shares, last reported balance as of Feb 11, 2022
John Hutt	Feb 15, 2022	3,088 shares, last reported balance as of Feb 10, 2022
Colin Moore	Feb 1, 2022	66,517 shares, last reported balance as of Jan 31, 2022
Jeffrey Noddle	Apr 30, 2021	500 shares, last reported balance as of Feb 15, 2007
Randy Kupper	Feb 24, 2020	19,249 shares, last reported balance as of Feb 20, 2020
David Stewart	Feb 20, 2019	18,507 shares, last reported balance as of Feb 6, 2019
Charles Maglaque	Feb 8, 2018	14,764 shares, last reported balance as of Feb 6, 2018
Patrick O'Connell	Feb 8, 2018	7,462 shares, last reported balance as of Feb 6, 2018
Michelle Scrimgeour	Jan 30, 2018	5,253 shares, last reported balance as of Jan 26, 2018
Jay Sarles	Nov 13, 2017	17,218 shares, last reported balance as of Feb 28, 2017
Siri Marshall	Apr 28, 2017	500 shares, last reported balance as of Aug 3, 2006
John Junek	Dec 22, 2016	21,513 shares, last reported balance as of Dec 21, 2016
William Turner	May 1, 2015	6,296 shares, last reported balance as of Oct 27, 2005
Donald Froude	Apr 1, 2015	20,125 shares, last reported balance as of Mar 30, 2015
Walker Lewis	May 2, 2014	1,895 shares, last reported balance as of Nov 21, 2006
Kim Sharan	Feb 24, 2014	27,291 shares, last reported balance as of Feb 20, 2014
Warren Knowlton	Nov 5, 2013	5,000 shares, last reported balance as of Feb 13, 2008
Glen Salow	Feb 10, 2012	124,265 shares, last reported balance as of Feb 8, 2012
Ira Hall	Nov 6, 2008	500 shares, last reported balance as of Feb 20, 2007
Richard Powers III	Apr 25, 2008	500 shares, last reported balance as of Feb 1, 2007
Brian Heath	Feb 19, 2008	27,153 shares, last reported balance as of Jan 30, 2008
Mark Schwarzmann	Feb 1, 2007	14,352 shares, last reported balance as of Jan 30, 2007
BERKSHIRE HATHAWAY INC	Mar 31, 2006	23,922,137 shares, last reported balance as of Mar 29, 2006
Andrew MacMillan	Jan 30, 2006	2,108 shares, last reported balance as of Jan 26, 2006
AMERICAN EXPRESS CO	Sep 21, 2005	No balance on record

Spotted something wrong on this page? Report an error. We check every report against the SEC filing and list what we fix in the corrections log.

Ameriprise Financial insiders sold $65.9M in the past 12 months. How much of their stake is that?

What stands out

Who sold, and how much of their stake

Selling by month

Common questions

Is the Ameriprise Financial CEO selling stock?

Why are Ameriprise Financial insiders selling?

Are any Ameriprise Financial insiders buying?

How much of their stake did Ameriprise Financial insiders sell?

The evidence

No plan disclosed · $65.9M

Taxes

Sales by month