Seeger Laureen's Form 4/A amendment
AmendedAmerican Express Co (AXP) · filed Feb 9, 2022
- Accession no.
- 0001127602-22-004053
- Filed
- Feb 9, 2022
- Trade date
- Jan 31-Feb 8, 2022
- Filing delay
- 9 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 2, 2022
This filing lists 9 non-derivative transactions and 1 derivative transaction. Open-market sales total $8.01M. It was filed 9 days after the trade.
This amendment replaces 0001127602-22-003017 (filed Feb 2, 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 |
|---|---|
| Seeger LaureenCIK 0001357325 | Officer (Chief Legal Officer) |
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 31, 2022 | Common Stock | SSaleDisposed | −30,808 | $175.57F1 | −$5,408,960.56 | 30,534.14 | Direct | |
| Jan 31, 2022 | Common Stock | MOption exerciseAcquired | +30,808 | $0.00 | $0 | 61,342.14 | Direct | |
| Feb 8, 2022 | Common Stock | SSaleDisposed | −1,900 | $188.66F3 | −$358,454 | 59,442.14 | Direct | |
| Feb 8, 2022 | Common Stock | SSaleDisposed | −2,282 | $189.76F4 | −$433,032.32 | 57,160.14 | Direct | |
| Feb 8, 2022 | Common Stock | SSaleDisposed | −1,400 | $190.34F5 | −$266,476 | 55,760.14 | Direct | |
| Feb 8, 2022 | Common Stock | SSaleDisposed | −1,086 | $191.61F6 | −$208,088.46 | 54,674.14 | Direct | |
| Feb 8, 2022 | Common Stock | SSaleDisposed | −2,694 | $192.53F7 | −$518,675.82 | 51,980.14 | Direct | |
| Feb 8, 2022 | Common Stock | SSaleDisposed | −2,141 | $193.59F8 | −$414,476.19 | 49,839.14 | Direct | |
| Feb 8, 2022 | Common Stock | SSaleDisposed | −2,075 | $194.15F9 | −$402,861.25 | 47,764.14 | 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 | −30,808 | $0.00 | $0 | 0 | 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
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.23 to $176.00. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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.
- F2
Includes additional shares acquired pursuant to dividend reinvestment.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.18 to $189.13. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.20 to $190.09. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.10 to $190.97. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $191.15 to $192.09. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.15 to $193.10. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.11 to $193.90. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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.
- F9
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.93 to $194.44. The reporting person undertakes to provide to American Express Company, any security holder of American Express, 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 transactions occurring on January 31, 2022 reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person in May 2021. The original Form 4, filed on February 1, 2022, is being amended by this Form 4 amendment to include shares acquired pursuant to dividend reinvestment (as reflected in the footnote above) that were inadvertently omitted in the original filing. The transactions occurring on February 8, 2022 reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person in May 2021.