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

Role
Chairman and CEO, Director
Signature
/s/ Kristina V. Fink, attorney-in-fact
Stock symbol
AXP
Transactions as of
Jan 31, 2022
Transactions value $
-$47,804,524
Form type
4/A - RESTATEMENT
Date filed
2/7/2022, 05:18 PM
Date Of Original Report
Feb 2, 2022
Previous filing
Feb 1, 2022
Next filing
Apr 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % Price $ Shares After Date Ownership Footnotes
transaction AXP Common Stock Options Exercise $0 +26.3K +29.66% $0.00 115K Jan 31, 2022 Direct
transaction AXP Common Stock Options Exercise $0 +6.78K +6.41% $0.00 112K Jan 31, 2022 Direct
transaction AXP Common Stock Options Exercise $0 +175K +155.58% $0.00 287K Jan 31, 2022 Direct
transaction AXP Common Stock Options Exercise $0 +59.6K +20.74% $0.00 347K Feb 1, 2022 Direct
transaction AXP Common Stock Sale -$9.42M -53.3K -15.35% $176.94 294K Feb 1, 2022 Direct F1
transaction AXP Common Stock Sale -$22.8M -128K -43.68% $177.71 165K Feb 1, 2022 Direct F2
transaction AXP Common Stock Sale -$4.71M -26.4K -15.97% $178.36 139K Feb 1, 2022 Direct F3
transaction AXP Common Stock Sale -$3.37M -18.6K -13.37% $181.22 120K Feb 1, 2022 Direct F4
transaction AXP Common Stock Sale -$4.15M -22.8K -18.89% $182.32 97.7K Feb 1, 2022 Direct F5
transaction AXP Common Stock Sale -$3.34M -18.3K -18.7% $182.81 79.4K Feb 1, 2022 Direct F6
holding AXP Common Stock 38.8K Jan 31, 2022 by 2020 GRAT F7
holding AXP Common Stock 128K Jan 31, 2022 by GRAT F8
holding AXP Common Stock 124 Jan 31, 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 -26.3K -100% $0.00 0 Jan 31, 2022 Common Stock 26.3K $86.64 Direct
transaction AXP Employee Stock Option (Right to Buy) Options Exercise $0 -6.78K -100% $0.00 0 Jan 31, 2022 Common Stock 6.78K $83.30 Direct
transaction AXP Employee Stock Option (Right to Buy) Options Exercise $0 -175K -74.59% $0.00 59.6K Jan 31, 2022 Common Stock 175K $95.52 Direct
transaction AXP Employee Stock Option (Right to Buy) Options Exercise $0 -59.6K -100% $0.00 0 Feb 1, 2022 Common Stock 59.6K $95.52 Direct

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.