Ameriprise Financial, Inc. (AMP)

FINANCE: CORPORATE FINANCE
SIC: INVESTMENT ADVICE

1099 AMERIPRISE FINANCIAL CENTER MINNEAPOLIS, MN 55474

Ameriprise Financial is a holding company. Through its subsidiaries, Co. provides financial planning and products and services for clients' cash and liquidity, asset accumulation, income, protection and estate and wealth transfer needs. Co. has five operating segments: Advice & Wealth Management, which provides financial planning and advice, as well as brokerage and banking services; Asset Management, which provides investment advice and investment products; Annuities, which provides variable and fixed annuity products; Protection, which includes life, disability income and property-casualty products; and Corporate & Other, which consists of net investment income on corporate level assets.

Data as of 2021-04-17 09:39:44 -0400
Market Cap29.006 Billion Shares Outstanding116.599 Million Avg 30-day Volume704.245 Thousand
P/E Ratio18.909 Dividend Yield1.658 EPS12.2
Price/Sales2.35 Debt to Equity28.27 EBITDA2.108 Billion
Price to Book Value4.79 Forward PE12.1 Enterprise Value28.12 Billion
Total Cash Current Debt151.142 Billion Gross Profit11.958 Billion
BETA1.44375 52-week High/Low249.27 / 99.37 Next Earnings Date2021-05-05 Price to Cash FLow (P/CF) 261.1852
Data provided by IEX Cloud
View SEC Filings from AMP instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 7 8 -12.5% 4 (0.24%) 4 (0.25%) 0.0%
Funds Holding: 812 752 7.98% 163 (9.8%) 145 (9.03%) 12.41%
13F shares: 95.987 Million 97.819 Million -1.87% 22.683 Million 23.144 Million -1.99%
% Ownership 81.3601 82.9131 -1.87% 19.2268 19.6176 -1.99%
New Positions: 130 79 64.56% 35 21 66.67%
Increased Positions 224 221 1.36% 49 44 11.36%
Closed Positions 52 59 -11.86% 16 16 0.0%
Reduced Positions 308 288 6.94% 56 64 -12.5%
Total Calls 152.148 Thousand 185.347 Thousand -17.91% 72.5 Thousand 87.2 Thousand -16.86%
Total Puts 138.373 Thousand 267.089 Thousand -48.19% 57.1 Thousand 170.2 Thousand -66.45%
PUT/CALL Ratio 0.91 1.44 -36.81% 0.79 1.95 -59.49%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding AMP (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding AMP BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

THISSEN KAREN WILSON EXECUTIVE VP AND GC

  • Officer
13,463 2021-02-17 8

BERMAN WALTER STANLEY EXECUTIVE VP AND CFO

  • Officer
0 2021-02-12 7

CRACCHIOLO JAMES M CHAIRMAN AND CEO

  • Officer
  • Director
0 2021-02-12 8

WOERNER JOHN ROBERT PRES INS & CHIEF STRAT OFFICER

  • Officer
0 2021-02-12 7

TRUSCOTT WILLIAM F CEO, GLOBAL ASSET MANAGEMENT

  • Officer
48,649 2021-02-12 7

HUTT JOHN R. SR VICE PRES AND CONTROLLER

  • Officer
0 2021-02-12 7

SMYTH GERARD P. EVP TECHNOLOGY AND CIO

  • Officer
0 2021-02-12 6

SWEENEY JOSEPH EDWARD PRES-AWM PRODUCTS & SERVICES

  • Officer
17,007 2021-02-11 8

MOORE COLIN EVP & GLOBAL CIO

  • Officer
68,126 2021-02-05 6

WILLIAMS CHRISTOPHER J

  • Director
0 2021-02-01 5

WALTER W EDWARD

  • Director
1,000 2020-11-24 2

SHARPE ROBERT FRANCIS JR

  • Director
5,180 2020-11-02 3

NODDLE JEFFREY

  • Director
0 2020-04-29 1

GREENBERG LON R

  • Director
0 2020-04-29 1

DIGESO AMY

  • Director
0 2020-04-29 1

NEAL BLIXT DIANNE

  • Director
0 2020-04-29 1

SHEA BRIAN T

  • Director
0 2020-04-29 1

KUPPER RANDY EVP TECHNOLOGY AND CIO

  • Officer
19,249 2020-02-20 0

STEWART DAVID KENT SR VICE PRES AND CONTROLLER

  • Officer
0 2019-02-15 0

HUNTER KELLI A EXEC VP OF HUMAN RESOURCES

  • Officer
30,709 2018-02-06 0

MCGRAW DEIRDRE DAVEY EVP CORP COMM/CMNITY RLTNS

  • Officer
11,349 2018-02-06 0

MAGLAQUE CHARLES NEAL PRES. ADVICE & WEALTH MGT, COO

  • Officer
14,764 2018-02-06 0

WILLIAMS WILLIAM JERRYL EVP, AMP FRANCHISE GROUP

  • Officer
13,907 2018-02-06 0

O'CONNELL PATRICK H. EVP, AMP ADVISOR GROUP

  • Officer
7,462 2018-02-06 0

SCRIMGEOUR MICHELLE CEO, GLOBAL ASSET MGMT., EMEA

  • Officer
5,253 2018-01-26 0

SARLES H JAY

  • Director
0 2017-10-26 0

MARSHALL SIRI S

  • Director
0 2017-04-26 0

JUNEK JOHN CARL EXEC VP AND GENERAL COUNSEL

  • Officer
19,667 2016-12-21 0

TURNER WILLIAM H

  • Director
0 2015-04-29 0

FROUDE DONALD E PRES., PERSONAL ADVISORS GROUP

  • Officer
20,125 2015-03-30 0

LEWIS W WALKER

  • Director
0 2014-04-30 0

SHARAN KIM MICHELLE PRES FNCL PLNG & WEALTH & CMO

  • Officer
27,291 2014-02-20 0

KNOWLTON WARREN D

  • Director
0 2013-11-04 0

SALOW GLEN EXEC VP OF SERV DEL & TECH

  • Officer
124,208 2012-02-08 0

HALL IRA D

  • Director
0 2008-11-05 0

POWERS RICHARD F III

  • Director
0 2008-04-23 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

BERMAN WALTER STANLEY - Officer EXECUTIVE VP AND CFO

2021-02-02 18:23:31 -0500 2031-01-29 A 6,630 a 23,558 direct 3.6906 6.534 12.9491 15.5376 15 0.0 1

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 22:15:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 21:45:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 21:15:02 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 20:45:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 20:15:04 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 19:45:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 19:15:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 18:45:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 18:15:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 17:45:02 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 17:15:02 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 16:45:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 16:15:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 15:45:03 UTC -0.19 0.25 2500000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 15:15:02 UTC -0.19 0.25 2400000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 14:45:03 UTC -0.19 0.25 2400000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 14:15:03 UTC -0.19 0.25 2400000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 13:45:03 UTC -0.19 0.25 2400000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 13:15:04 UTC -0.19 0.25 2400000
AMERIPRISE FINANCIAL INC. AMP 2021-04-20 12:45:03 UTC -0.19 0.25 2400000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
Principal Funds, Inc- Global Multi-Strategy Fund AMP 1885.0 shares, $-349177.4 2020-11-30 N-PORT
FundVantage Trust- Gotham Hedged Core Fund AMP -109.0 shares, $-21181.97 2020-12-31 N-PORT
FundVantage Trust- Gotham Absolute 500 Core Fund AMP -30.0 shares, $-3074.4 2020-03-31 N-PORT

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