Brockman Dawn M. — SEC Form 4 filings
SEC reporting owner CIK 1937010. 17 Form 4 filings on record with FilingPulse; latest filed 2026-08-12.
Transaction summary — filings shown
Covers all 17 filings on record, filed 2024-01-30 to 2026-08-12. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 3 legs across 3 filings — 1,046 shares, $557,102 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 30.
- Largest priced transaction: sale of 472 shares @ $558.93 ($263,815) in AMERIPRISE FINANCIAL INC, filed 2026-08-12.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL INC (AMP) | SVP AND CONTROLLER | 17 | — | 3 legs · 1,046 sh · $557,102 | 30 |
Form 4 filings — Brockman Dawn M.
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-08-12 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Sale (S): 472 @ $558.93 | EDGAR |
| 2026-07-13 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Option exercise (M): 26.04 · Tax withholding (F): 9.04 @ $500.16 · Option exercise (M): 26.04 (derivative) | EDGAR |
| 2026-02-10 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Grant/award (A): 8.66 (derivative) @ $542.99 | EDGAR |
| 2026-02-03 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Tax withholding (F): 20 @ $527.19 · Grant/award (A): 177 @ $0 · Grant/award (A): 339 (derivative) @ $0 | EDGAR |
| 2026-01-28 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Tax withholding (F): 22 @ $500.53 · Tax withholding (F): 22 @ $498.33 | EDGAR |
| 2025-07-14 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Option exercise (M): 25.68 · Tax withholding (F): 9.68 @ $542.51 · Option exercise (M): 25.68 (derivative) | EDGAR |
| 2025-02-11 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Grant/award (A): 27.15 (derivative) @ $538.60 | EDGAR |
| 2025-02-04 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Grant/award (A): 159 @ $0 · Grant/award (A): 262 (derivative) @ $0 | EDGAR |
| 2025-01-30 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Tax withholding (F): 22 @ $571.84 | EDGAR |
| 2025-01-29 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Tax withholding (F): 21 @ $561.38 | EDGAR |
| 2025-01-28 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Tax withholding (F): 22 @ $563.58 | EDGAR |
| 2024-11-08 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Sale (S): 350 @ $560.12 | EDGAR |
| 2024-07-15 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Option exercise (M): 10.70 @ $0 · Tax withholding (F): 3.70 @ $439.82 · Option exercise (M): 10.70 (derivative) | EDGAR |
| 2024-03-28 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Option exercise (M): 461 @ $128.76 · Tax withholding (F): 237 @ $433.49 · Sale (S): 224 @ $434.13 · Option exercise (M): 461 (derivative) @ $0 | EDGAR |
| 2024-02-13 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Grant/award (A): 31.11 (derivative) @ $396.94 | EDGAR |
| 2024-01-31 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Tax withholding (F): 32 @ $393.11 | EDGAR |
| 2024-01-30 | 4 | AMERIPRISE FINANCIAL INC (AMP) | Grant/award (A): 179 @ $0 · Tax withholding (F): 21 @ $391.40 · Tax withholding (F): 21 @ $391.40 · Grant/award (A): 311 (derivative) @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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