Stephen J. Squeri - 31 Jan 2022 Form 4/A - Amendment Insider Report for AMERICAN EXPRESS CO (AXP)

Role
Chairman and CEO, Director
Signature
/s/ Kristina V. Fink, attorney-in-fact
Issuer symbol
AXP
Transactions as of
31 Jan 2022
Transactions value $
-$47,804,524
Form type
4/A - Amendment
Filing time
07 Feb 2022, 17:18:36 UTC
Date Of Original Report
02 Feb 2022
Previous filing
01 Feb 2022
Next filing
29 Apr 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AXP Common Stock Options Exercise $0 +26,260 +30% $0 114,797 31 Jan 2022 Direct
transaction AXP Common Stock Options Exercise $0 +6,777 +6.4% $0 112,482 31 Jan 2022 Direct
transaction AXP Common Stock Options Exercise $0 +175,000 +156% $0 287,482 31 Jan 2022 Direct
transaction AXP Common Stock Options Exercise $0 +59,619 +21% $0 347,101 01 Feb 2022 Direct
transaction AXP Common Stock Sale -$9,424,745 -53,264 -15% $176.94 293,837 01 Feb 2022 Direct F1
transaction AXP Common Stock Sale -$22,809,277 -128,353 -44% $177.71 165,484 01 Feb 2022 Direct F2
transaction AXP Common Stock Sale -$4,712,202 -26,420 -16% $178.36 139,064 01 Feb 2022 Direct F3
transaction AXP Common Stock Sale -$3,369,481 -18,593 -13% $181.22 120,471 01 Feb 2022 Direct F4
transaction AXP Common Stock Sale -$4,148,990 -22,757 -19% $182.32 97,714 01 Feb 2022 Direct F5
transaction AXP Common Stock Sale -$3,339,827 -18,269 -19% $182.81 79,445 01 Feb 2022 Direct F6
holding AXP Common Stock 38,750 31 Jan 2022 by 2020 GRAT F7
holding AXP Common Stock 128,035 31 Jan 2022 by GRAT F8
holding AXP Common Stock 124 31 Jan 2022 401(k) Trust F9

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AXP Employee Stock Option (Right to Buy) Options Exercise $0 -26,260 -100% $0* 0 31 Jan 2022 Common Stock 26,260 $86.64 Direct
transaction AXP Employee Stock Option (Right to Buy) Options Exercise $0 -6,777 -100% $0* 0 31 Jan 2022 Common Stock 6,777 $83.3 Direct
transaction AXP Employee Stock Option (Right to Buy) Options Exercise $0 -175,000 -75% $0 59,619 31 Jan 2022 Common Stock 175,000 $95.52 Direct
transaction AXP Employee Stock Option (Right to Buy) Options Exercise $0 -59,619 -100% $0* 0 01 Feb 2022 Common Stock 59,619 $95.52 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.31 to $177.30. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.3050 to $178.2879. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.29 to $178.49. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F4 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.74 to $181.71. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.72 to $182.62. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $182.63 to $183.0763. The reporting person undertakes to provide to American Express Company, any security holder of American Express Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
F7 Includes shares acquired pursuant to dividend reinvestment.
F8 Includes shares acquired pursuant to dividend reinvestment.
F9 Shares held in reporting person's account under the Company's Retirement Savings Plan. This plan uses unit accounting, and the number of shares that a participant is deemed to hold varies with the unit price of the Company pooled stock fund.

Remarks:

The original Form 4, filed on February 2, 2022, is being amended by this Form 4 amendment to correct the amount of shares in the reporting person's GRAT that had included 9,092 shares as a result of a technical error. The reporting person made a gift of 9,092 shares of common stock and reported such gift on a Form 4 on February 1, 2022. After selling shares of common stock the following day, a software error inadvertently added back the 9,092 gifted shares into the reporting person's GRAT.