Squeri Stephen J 的 Form 4/A 修正申報
修正American Express Co（AXP），2022/2/7 申報
- 申報編號
- 0001127602-22-003604
- 申報時間
- 2022/2/7
- 交易日
- 2022/1/31-2/1
- 申報延遲
- 7 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/2/2
這份申報列了 10 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $4,780 萬。交易後 7 天申報。
這份修正申報取代了 0001127602-22-003011（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 |
|---|---|
| Squeri Stephen JCIK 0001326109 | 董事、高階主管（董事長、執行長） |
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 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/31 | Common Stock | M行使選擇權取得 | +26,260 | $0.00 | $0 | 114,797 | 直接 | |
| 2022/1/31 | Common Stock | M行使選擇權取得 | +6,777 | $0.00 | $0 | 112,482 | 直接 | |
| 2022/1/31 | Common Stock | M行使選擇權取得 | +175,000 | $0.00 | $0 | 287,482 | 直接 | |
| 2022/2/1 | Common Stock | M行使選擇權取得 | +59,619 | $0.00 | $0 | 347,101 | 直接 | |
| 2022/2/1 | Common Stock | S賣出處分 | −53,264 | $176.94F1 | −$9,424,532.16 | 293,837 | 直接 | |
| 2022/2/1 | Common Stock | S賣出處分 | −128,353 | $177.71F2 | −$22,809,611.63 | 165,484 | 直接 | |
| 2022/2/1 | Common Stock | S賣出處分 | −26,420 | $178.36F3 | −$4,712,271.2 | 139,064 | 直接 | |
| 2022/2/1 | Common Stock | S賣出處分 | −18,593 | $181.22F4 | −$3,369,423.46 | 120,471 | 直接 | |
| 2022/2/1 | Common Stock | S賣出處分 | −22,757 | $182.32F5 | −$4,149,056.24 | 97,714 | 直接 | |
| 2022/2/1 | Common Stock | S賣出處分 | −18,269 | $182.81F6 | −$3,339,755.89 | 79,445 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2022/1/31 | Common Stock | M行使選擇權處分 | −26,260 | $0.00 | $0 | 0 | 直接 | |
| 2022/1/31 | Common Stock | M行使選擇權處分 | −6,777 | $0.00 | $0 | 0 | 直接 | |
| 2022/1/31 | Common Stock | M行使選擇權處分 | −175,000 | $0.00 | $0 | 59,619 | 直接 | |
| 2022/2/1 | Common Stock | M行使選擇權處分 | −59,619 | $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
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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
- 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.
備註
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.