13F Pro

SEC Form 4 reporting owner

Brockman Dawn M.

Brockman Dawn M. has filed 9 Form 4 transactions reported between January 26, 2026 and August 10, 2026, as SVP AND CONTROLLER of AMERIPRISE FINANCIAL INC.

Name as filed: Brockman Dawn M.

Open-market buys, 24 mo
None
reported
Open-market sales, 24 mo
$264K
1 lines
Companies
1
with Form 4 filings
Latest transaction
Aug 10, 2026
transaction date

Roles and reported holdings

  • AMPAMERIPRISE FINANCIAL INC
    Jan 26, 2026 – Aug 10, 2026

    SVP AND CONTROLLER

    Held directly713 sh as of Aug 10, 2026 · Form 4

    24 months: $264K sold

Transaction history

All 9 reported transactions, newest first. Every row links to the Form 4 on SEC EDGAR.

DateCompanyTypeSharesValueFiling
Aug 10, 2026AMPSVP AND CONTROLLEROpen-market saleCode S · direct472$264K@ $558.93Form 4
Jul 9, 2026AMPSVP AND CONTROLLERShares withheld for tax or exercise priceCode F · direct9$5K@ $500.16Form 4
Jul 9, 2026AMPSVP AND CONTROLLEROption exerciseCode M · direct26—Form 4
Feb 6, 2026AMPSVP AND CONTROLLERGrant or awardCode A · direct9$5K@ $542.99Form 4
Feb 2, 2026AMPSVP AND CONTROLLERGrant or awardCode A · direct339—Form 4
Feb 2, 2026AMPSVP AND CONTROLLERGrant or awardCode A · direct177—Form 4
Jan 31, 2026AMPSVP AND CONTROLLERShares withheld for tax or exercise priceCode F · direct20$11K@ $527.19Form 4
Jan 27, 2026AMPSVP AND CONTROLLERShares withheld for tax or exercise priceCode F · direct22$11K@ $498.33Form 4
Jan 26, 2026AMPSVP AND CONTROLLERShares withheld for tax or exercise priceCode F · direct22$11K@ $500.53Form 4

How this page is built

Every row comes from a Form 4 filed with the SEC, which officers, directors and holders of more than 10% of a company’s stock must file within two business days of a trade. Transactions are grouped by the reporting owner’s name as filed (spacing, capitals and punctuation ignored); two different people filing under an identical name would appear together, and one person filing under two spellings appears on two pages.

Open-market totals count code P purchases and code S sales over the last 24 months. The same trade reported on more than one filing is counted once; when another owner (for example a fund and its general partner) reports the identical trade, they are listed beside it. Holdings are the shares owned after the latest purchase, sale, gift or tax-withholding line, shown separately for direct and indirect ownership; an indirect figure is one holding line, not a total across every trust or entity.

This page describes what was filed with the SEC; it is not investment advice or a recommendation to buy or sell any security.