Transactions
10
Insider / AMERIPRISE FINANCIAL INC
Brockman Dawn M.
SVP AND CONTROLLER at AMERIPRISE FINANCIAL INC
- Company
- AMERIPRISE FINANCIAL INC
- Ticker
- AMP
- First filing on record
- January 28, 2026
- Latest trade on record
- August 10, 2026
- SEC filings
- EDGAR ↗
Brockman Dawn M., SVP AND CONTROLLER at AMERIPRISE FINANCIAL INC, has disclosed 10 transactions in AMP since January 28, 2026: 0 purchases (0 open-market buys) and 5 sales, worth about $306K at the reported prices. The latest was filed August 12, 2026, 2 days after the trade.
Open-market buys
0
Sales
5
Avg. disclosure lag
2.6d
Trading in charts
Trade timeline
When does this person trade, how big, and in which direction? Every trade in the last 12 months.
Bought (above the line)Sold (below the line)Other transaction
In the last 12 months Brockman Dawn M. made no purchases and 5 sales worth $301K, plus 5 other transactions. Dot size is the dollar amount.
Portfolio mix
Which stocks does this person trade most? Tile size is dollars traded, all time on record.
Brockman Dawn M. has traded 1 stock on record; the largest by dollars is AMP.
Reporting lag
Does this person report on time? One bar per filing against the Form 4 deadline.
On timeLate
0 of 5 filings on record were reported after the Form 4 deadline (two business days, counted here as 4 calendar days).
What kind of transactions
Most Form 4 rows are pay arriving or tax being withheld, not a decision to buy or sell. Only code P is an open-market purchase and code S an open-market sale. What each code means: Form 4 transaction codes.
| Code | Meaning | Rows | Shares | Value |
|---|---|---|---|---|
| F | Shares withheld for tax | 4 | 73 | $37K |
| A | Grant or award | 3 | 525 | $4,700 |
| M | Option exercise or conversion | 2 | 52 | — |
| S | Open-market sale | 1 | 472 | $264K |
| Year | Rows | Bought | Sold |
|---|---|---|---|
| 2026 | 10 | 0 | 5 · $301K |
Transactions
| Security | Side | Trade date | Disclosed | Lag | Shares | Price | Value | Flags | Source | Share |
|---|---|---|---|---|---|---|---|---|---|---|
| AMP | Sell S | August 10, 2026 | August 12, 2026 | 2d | 472 | $559 | $264K | Form 4 ↗ | ||
| AMP | Option / conversion M | July 9, 2026 | July 13, 2026 | 4d | 26 | — | — | derivative | Form 4 ↗ | |
| AMP | Sell F | July 9, 2026 | July 13, 2026 | 4d | 9 | $500 | $4,521 | Form 4 ↗ | ||
| AMP | Option / conversion M | July 9, 2026 | July 13, 2026 | 4d | 26 | — | — | Form 4 ↗ | ||
| AMP | Other A | February 6, 2026 | February 10, 2026 | 4d | 9 | $543 | $4,700 | derivative | Form 4 ↗ | |
| AMP | Other A | February 2, 2026 | February 3, 2026 | 1d | 339 | — | — | derivative | Form 4 ↗ | |
| AMP | Other A | February 2, 2026 | February 3, 2026 | 1d | 177 | — | — | Form 4 ↗ | ||
| AMP | Sell F | January 31, 2026 | February 3, 2026 | 3d | 20 | $527 | $11K | Form 4 ↗ | ||
| AMP | Sell F | January 27, 2026 | January 28, 2026 | 1d | 22 | $498 | $11K | Form 4 ↗ | ||
| AMP | Sell F | January 26, 2026 | January 28, 2026 | 2d | 22 | $501 | $11K | Form 4 ↗ |
Filings
| Filed | Form | Accession | Rows | Status | Source |
|---|---|---|---|---|---|
| August 12, 2026 | Form 4 | 0001937010-26-000012 | 1 | published | EDGAR ↗ |
| July 13, 2026 | Form 4 | 0001937010-26-000008 | 3 | published | EDGAR ↗ |
| February 10, 2026 | Form 4 | 0001937010-26-000005 | 1 | published | EDGAR ↗ |
| February 3, 2026 | Form 4 | 0001937010-26-000003 | 3 | published | EDGAR ↗ |
| January 28, 2026 | Form 4 | 0001937010-26-000002 | 2 | published | EDGAR ↗ |
Other insiders at AMERIPRISE FINANCIAL INC
- WILLIAMS CHRISTOPHER J Director 21 rows
- CRACCHIOLO JAMES M CHAIRMAN AND CEO 20 rows
- Berman Walter Stanley EXECUTIVE VP AND CFO 15 rows
- Williams William Jerryl Pres, Wealth Mgmt Advisor Grp 14 rows
- Alvero Gumer PRESIDENT-INSURANCE&ANNUITIES 13 rows
- Smyth Gerard P. EVP & CIO 11 rows
- TRUSCOTT WILLIAM F CEO, GLOBAL ASSET MANAGEMENT 11 rows
- MELLOH HEATHER J. EVP AND GENERAL COUNSEL 10 rows
- McGraw Deirdre Davey EVP Mktg, Strat. & Comms. 8 rows
- Davies William EXECUTIVE VP, GLOBAL CIO 7 rows
Everyone on file, with contracts and lobbying under the company's name: AMERIPRISE FINANCIAL INC.
Guides for this page
- What is SEC Form 4? Who files: officers, directors and owners of more than 10% of a class of the company's shares.
- Form 4 transaction codes P = purchase. S = sale. These are the two market trades.
- Insider buying vs insider selling Selling outweighs buying by a wide margin in normal times.
- Options and derivatives on Form 4 Table I = shares. Table II = options and other derivatives.
- What disclosure data cannot tell you Filings are late by design: up to 45 days for Congress, two business days for insiders.
Sources and method
| Source | Filings | Rows | First filed | Newest filed | Read the originals |
|---|---|---|---|---|---|
| SEC EDGAR, Form 4 | 5 | 10 | January 28, 2026 | August 12, 2026 | Form 4 list on EDGAR |
Site built October 22, 2026. Every row in the tables above links to its own filing. To quote a figure, use the Cite button at the top of the page; see how to cite and reuse.
Every row comes from the reporting owner's Form 4 as filed with the SEC (EDGAR ownership XML), read daily. "Value" is shares × the reported price; code P is an open-market purchase, S a sale, M an option exercise, A a grant. The lag is the filing date minus the trade date; Form 4 is due within two business days. Amendments (4/A) are not merged. Details on the methodology page; report an error on corrections.
Not investment advice. Figures are public disclosures shown as filed; they may lag the trade and may be amended later. No recommendation is made or implied.