Marrs Anna's Form 4/A amendment
AmendedAmerican Express Co (AXP) · filed Feb 2, 2022
- Accession no.
- 0001127602-22-003000
- Filed
- Feb 2, 2022
- Trade date
- Jan 29-31, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 1, 2022
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.31M. It was filed 4 days after the trade.
This filing was later replaced by the amendment 0001127602-22-003597 (Feb 7, 2022). Trade tables on this site use the amended version.
This amendment replaces 0001127602-22-002879 (filed Feb 1, 2022).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Marrs AnnaCIK 0001753557 | Officer (Group Pres., GCS and CFR) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 29, 2022 | Common Stock | AGrant or awardAcquired | +30,507 | $0.00 | $0 | 36,482 | Direct | |
| Jan 29, 2022 | Common Stock | DReturned to the companyDisposed | −17,106 | $177.06 | −$3,028,788.36 | 19,376 | Direct | |
| Jan 31, 2022 | Common Stock | MOption exerciseAcquired | +29,982 | $100.96 | +$3,026,982.72 | 49,358 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −29,982 | $177.14F3 | −$5,311,011.48 | 19,376 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 31, 2022 | Common Stock | MOption exerciseDisposed | −29,982 | $0.00 | $0 | 2,966 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Represents shares acquired pursuant to vesting of Restricted Stock Units that were granted to the reporting person in January 2019 and have vested based on the Company's 2019-21 average return on equity performance.
- F2
The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.01 to $177.33. 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.
Referenced by the price of 1 transaction in Table I.
Remarks
The original Form 4, filed on February 1, 2022, is being amended by this Form 4 amendment to clarify that the sale of 29,982 shares of the Issuer's common stock that occurred on January 31, 2022 were sold as a result of an exercise of the reporting person's stock options that were converted into common stock by virtue of an exercise of Rule 16b-3.