SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Brockman Dawn M.

(Last)

(First)

(Middle)

GENERAL COUNSEL'S OFFICE

1098 AMERIPRISE FINANCIAL CENTER

(Street)

MINNEAPOLIS

55474

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
07/01/2022

3. Issuer Name and Ticker or Trading Symbol
AMERIPRISE FINANCIAL INC [ AMP ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Interim Controller and PAO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	1,285	D
Common Stock	139.7309⁽¹⁾	I	By 401(k) Plan

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Employee Stock Option (right to buy)	⁽²⁾	02/07/2024	Common Stock	420	$107.61	D
Employee Stock Option (right to buy)	⁽²⁾	02/02/2025	Common Stock	461	$128.76	D
Employee Stock Option (right to buy)	⁽²⁾	01/26/2028	Common Stock	914	$179.84	D
Employee Stock Option (right to buy)	⁽²⁾	02/01/2029	Common Stock	1,136	$126.89	D
Employee Stock Option (right to buy)	⁽³⁾	01/31/2030	Common Stock	445	$165.41	D
Employee Stock Option (right to buy)	⁽⁴⁾	01/29/2031	Common Stock	537	$197.87	D
Employee Stock Option (right to buy)	⁽⁵⁾	01/28/2032	Common Stock	324	$298.09	D
Phantom Stock	⁽⁶⁾	⁽⁶⁾	Common Stock	222.2466	⁽⁷⁾	D

Explanation of Responses:

1. Estimate of the number of shares held in the reporting person's account in the Ameriprise Financial Stock Fund under the Ameriprise Financial 401(k) plan as of July 1, 2022. This plan uses unit accounting and the number of shares that a participant is deemed to hold varies with the price of Ameriprise stock.

2. Fully vested.

3. Two-thirds of the options are fully vested; the remaining one-third options vest on January 31, 2023.

4. One-third of the options are fully vested; one-third of the options vest on each of January 29, 2023 and January 29, 2024.

5. One-third of the options vest after one year; one-third of the options vest after two years and the final options vest three years from January 28, 2022.

6. Shares of phantom stock are payable in shares of Ameriprise common stock following termination of employment or during a specified future year in accordance with The Ameriprise Financial Deferred Compensation Plan.

7. Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

	/s/ Wendy B. Mahling for Dawn M. Brockman	07/08/2022
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.