Marrs Anna 的 Form 4/A 修正申報
修正American Express Co（AXP），2022/2/7 申報
- 申報編號
- 0001127602-22-003597
- 申報時間
- 2022/2/7
- 交易日
- 2022/1/29-2/4
- 申報延遲
- 9 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/1/31
這份申報列了 5 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $654.7 萬。交易後 9 天申報。
這份修正申報取代了 0001127602-22-003000（2022/2/2 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Marrs AnnaCIK 0001753557 | 高階主管（Group Pres., GCS and CFR） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/29 | Common Stock | A公司授予取得 | +30,507 | $0.00 | $0 | 36,482 | 直接 | |
| 2022/1/29 | Common Stock | F扣股繳稅處分 | −17,106 | $177.06 | −$3,028,788.36 | 19,376 | 直接 | |
| 2022/1/31 | Common Stock | M行使選擇權取得 | +32,948 | $100.96 | +$3,326,430.08 | 52,324 | 直接 | |
| 2022/1/31 | Common Stock | S賣出處分 | −29,982 | $177.14F3 | −$5,311,011.48 | 22,342 | 直接 | |
| 2022/2/4 | Common Stock | S賣出處分 | −6,700 | $184.55F5 | −$1,236,485 | 15,642 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/29 | Common Stock | A公司授予取得 | +32,948 | $0.00 | $0 | 32,948 | 直接 | |
| 2022/1/31 | Common Stock | M行使選擇權處分 | −32,948 | $0.00 | $0 | 0 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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 $177.0100 to $177.3350. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F4
This amount reflect 2,966 additional shares that had been previously incorrectly classified as a derivative security (stock option) under Table II.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $184.5392 to $184.6100. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The reported acquisition represents the vesting of Stock Options that were granted to the reported person on 1/29/2019. These options became exercisable on 1/29/2022 based on the Company's positive cumulative net income over the three year performance period.
備註
The original Form 4 and the amended Form 4, filed on February 1, 2022 and February 2, 2022, respectively, had each incorrectly classified 2,966 shares of common stock as derivative securities (stock options) on Table II. The stock options were exercised and they are now properly reflected in the reporting person's common stock balance.