Dawn M. Brockman

CIK 1937010 · View on SEC EDGAR ↗

Insider

First SEC filing: July 8, 2022 · Latest: July 8, 2022

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

AMP selling Aug. 10, 2026

Insider transactions

0 buys (P) 1 sells (S) Net: $-263,815 + 21 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

21 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Aug. 10, 2026	AMP	S	472	$558.93	$263,815	713 Direct	-39.83%	Disposed	-0.3% (price as of 2026-08-20)
July 9, 2026	AMP	M	26	—	—	276 Direct	-8.61%	Disposed	(price as of 2026-08-20)
July 9, 2026	AMP	F	9	$500.16	$4,501	1,185 Direct	-0.75%	Disposed	11.4% (price as of 2026-08-20)
July 9, 2026	AMP	M	26	—	—	1,194 Direct	+2.23%	Acquired	(price as of 2026-08-20)
March 26, 2024	AMP	M	461	$128.76	$59,358	1,749 Direct	+35.79%	Acquired	332.6% (price as of 2026-08-20)
March 26, 2024	AMP	F	237	$433.49	$102,737	1,512 Direct	-13.55%	Disposed	28.5% (price as of 2026-08-20)
March 26, 2024	AMP	S	224	$434.13	$97,245	1,288 Direct	-14.81%	Disposed	28.3% (price as of 2026-08-20)
March 26, 2024	AMP	M	461	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Feb. 9, 2024	AMP	A	31	$396.94	$12,305	293 Direct	+11.83%	Acquired	40.3% (price as of 2026-08-20)
Jan. 29, 2024	AMP	F	32	$393.11	$12,580	1,288 Direct	-2.42%	Disposed	41.7% (price as of 2026-08-20)
Jan. 28, 2024	AMP	F	21	$391.40	$8,219	1,320 Direct	-1.57%	Disposed	42.3% (price as of 2026-08-20)
Jan. 27, 2024	AMP	F	21	$391.40	$8,219	1,341 Direct	-1.54%	Disposed	42.3% (price as of 2026-08-20)
Jan. 26, 2024	AMP	A	179	—	—	1,362 Direct	+15.13%	Acquired	(price as of 2026-08-20)
Jan. 26, 2024	AMP	A	311	—	—	311 Direct	—	Acquired	(price as of 2026-08-20)
Dec. 18, 2023	AMP	M	420	$107.61	$45,196	1,396 Direct	+43.03%	Acquired	417.6% (price as of 2026-08-20)
Dec. 18, 2023	AMP	F	213	$375.60	$80,003	1,183 Direct	-15.26%	Disposed	48.3% (price as of 2026-08-20)
Dec. 18, 2023	AMP	M	420	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Feb. 10, 2023	AMP	A	33	$349.73	$11,541	258 Direct	+14.67%	Acquired	59.3% (price as of 2026-08-20)
Jan. 31, 2023	AMP	F	21	$350.12	$7,353	976 Direct	-2.11%	Disposed	59.1% (price as of 2026-08-20)
Jan. 29, 2023	AMP	F	32	$344.45	$11,022	997 Direct	-3.11%	Disposed	61.7% (price as of 2026-08-20)
Jan. 28, 2023	AMP	F	21	$344.45	$7,233	1,029 Direct	-2.00%	Disposed	61.7% (price as of 2026-08-20)
Jan. 27, 2023	AMP	A	175	—	—	1,050 Direct	+20.00%	Acquired	(price as of 2026-08-20)
Jan. 27, 2023	AMP	A	301	—	—	301 Direct	—	Acquired	(price as of 2026-08-20)
Dec. 27, 2022	AMP	S	410	$310.63	$127,358	875 Direct	-31.91%	Disposed	79.3% (price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
July 9, 2026	AMP	Phantom Stock	Common Stock (26)	—	—	26	Disposed
March 26, 2024	AMP	Employee Stock Option (right to buy)	Common Stock (461)	$128.76	Feb. 2, 2025	461	Disposed
Feb. 9, 2024	AMP	Phantom Stock	Common Stock (31)	—	—	31	Acquired
Jan. 26, 2024	AMP	Employee Stock Option (right to buy)	Common Stock (311)	$391.40	Jan. 27, 2034	311	Acquired
Dec. 18, 2023	AMP	Employee Stock Option (right to buy)	Common Stock (420)	$107.61	Feb. 7, 2024	420	Disposed
Feb. 10, 2023	AMP	Phantom Stock	Common Stock (33)	—	—	33	Acquired
Jan. 27, 2023	AMP	Employee Stock Option (right to buy)	Common Stock (301)	$344.45	Jan. 28, 2033	301	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 10 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
July 8, 2022	AMP	Common Stock	1,285	Direct
July 8, 2022	AMP	Common Stock	—	Indirect
July 8, 2022	AMP	Employee Stock Option (right to buy)→ Common Stock (420)	420	Direct
July 8, 2022	AMP	Employee Stock Option (right to buy)→ Common Stock (461)	461	Direct
July 8, 2022	AMP	Employee Stock Option (right to buy)→ Common Stock (914)	914	Direct
July 8, 2022	AMP	Employee Stock Option (right to buy)→ Common Stock (1,136)	1,136	Direct
July 8, 2022	AMP	Employee Stock Option (right to buy)→ Common Stock (445)	445	Direct
July 8, 2022	AMP	Employee Stock Option (right to buy)→ Common Stock (537)	537	Direct
July 8, 2022	AMP	Employee Stock Option (right to buy)→ Common Stock (324)	324	Direct
July 8, 2022	AMP	Phantom Stock→ Common Stock (222)	222	Direct