Statement of Changes in Beneficial Ownership (4)
November 29 2021 - 01:52PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * Marrs Anna |
2. Issuer Name and Ticker or Trading
Symbol AMERICAN EXPRESS CO [ AXP ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Group Pres., GCS and CFR |
|
(Last)
(First)
(Middle)
200 VESEY STREET, AMERICAN EXPRESS TOWER |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/24/2021
|
|
(Street)
NEW YORK, NY 10285-5001
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
11/24/2021 |
|
M |
|
21572 |
A |
$102.73 |
32069 |
D |
|
|
Common Stock |
11/24/2021 |
|
S(1) |
|
19880 |
D |
$171.22 |
12189 |
D |
|
|
Common Stock |
11/24/2021 |
|
S |
|
6214 |
D |
$171.22 |
5975 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Employee Stock Option (Right to
Buy) |
$102.73 |
11/24/2021 |
|
M |
|
|
21572 |
10/31/2021 |
10/31/2028 |
Common Stock |
21572 |
$0 |
0 |
D |
|
| Explanation of
Responses: |
| (1) |
The reported disposition
represents the sale of shares to cover the cost of exercise and
withholding tax obligations arising from the stock option exercise
reported above and the sale of 50% of the net shares acquired from
this exercise. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
Marrs Anna
200 VESEY STREET, AMERICAN EXPRESS TOWER
NEW YORK, NY 10285-5001 |
|
|
Group Pres., GCS and CFR |
|
Signatures
|
|
/s/ Kristina V. Fink,
attorney-in-fact |
|
11/29/2021 |
| **Signature of Reporting
Person |
Date |
American Express (NYSE:AXP)
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