Insider transactions

Dawn M. Brockman

CIK 1937010 · SVP AND CONTROLLER · last filed 2026-08-12

Dawn M. Brockman is a SVP AND CONTROLLER who has filed 25 SEC Form 4 insider transactions across 1 company since 2022. The most recent filing shows the insider sold $263.8K of AMP on Aug 12, 2026. Across all open-market trades the lifetime net is −$684.5K, making them a net seller over the disclosed history. Current disclosed insider exposure totals $430.6K across reported positions. 26 SEC filings were submitted jointly with AMERIPRISE FINANCIAL INC.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

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Disclosed Exposure
$430.6K
Companies
1
Total Filings
25
Lifetime Open-Market Net
-$684.5K

Charts

Trading activity, where the exposure sits, and each trade against the stock price.

AMP price and trades

Daily close with each Form 4 filing on this company marked: green = open-market buy, red = open-market sale, purple = grants, exercises, gifts and other non-market transactions. Marker size scales with the dollar value.

Shares held

Shares owned after each reported transaction on this company (direct holdings as reported).

Open-market buying and selling

by month

Dollar value of open-market purchases (code P, up) and sales (code S, down) across all companies, by filing month. Grants, exercises and gifts are excluded.

Exposure by company

latest
OfficerDirector10% owner* stale (no filing in 3 yrs)

Most recently reported shares × current price. Faded bars (*) have had no filing in 3 years, so the person may no longer hold them. Click a bar to chart that company.

Filer Profile

Reported Address
GENERAL COUNSEL'S OFFICE
1098 AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS, MN 55474
Related Filers
AMERIPRISE FINANCIAL INC — 26 joint filings, latest 2026-08-12
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
AMP SVP AND CONTROLLER 859 $500.80 $430.6K -$684.5K 22 2026-08-12

Recent Filings

25 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2026-08-12 AMP Sell (S) −472 -$263.8K EDGAR
2026-08-10 AMP Notice (144) −472 -$263.8K EDGAR
2026-07-13 AMP Mixed +17 -$4.5K EDGAR
2026-02-10 AMP Grant (A) — $0 EDGAR
2026-02-03 AMP Mixed +157 -$10.5K EDGAR
2026-01-28 AMP Tax (F) −44 -$22.0K EDGAR
2025-07-14 AMP Mixed +16 -$5.3K EDGAR
2025-02-11 AMP Grant (A) — $0 EDGAR
2025-02-04 AMP Grant (A) +159 $0 EDGAR
2025-01-30 AMP Tax (F) −22 -$12.6K EDGAR
Showing 1–10 of 25
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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.