AXP 10-K Annual Report Dec. 31, 2021 | Alphaminr
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AXP 10-K Fiscal year ended Dec. 31, 2021

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AMERICAN EXPRESS CO
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TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. [reserved]Item 7. Management S Discussion and Analysis Of Financial Condition and Results Of Operations (md&a)Item 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationItem 9C. Disclosure Regarding Foreign Jurisdictions That Prevent InspectionsPart IIIItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibit and Financial Statement SchedulesItem 16. Form 10-k Summary

Exhibits

3.1 Company's Amended and Restated Certificate of Incorporation as amended throughAugust 2, 2021 (incorporated by reference to Exhibit 3.1 of the Company's QuarterlyReport on Form 10-Q (Commission File No. 1-7657) for the quarter ended September30, 2021). 3.2 Company's By-Laws, as amended through September 26, 2016(incorporated by reference to Exhibit 3.1 of the Company's Current Report on Form 8-K (Commission File No. 1-7657), dated September 26, 2016(filed September 27, 2016)). 4.2 Description of American Express Companys securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (incorporated by reference to Exhibit4.2 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2020). 10.1 American Express Company Deferred Compensation Plan for Directors and Advisors, as amended and restated effective April 1, 2018 (incorporated by reference to Exhibit 10.3 of the Company's Quarterly Report on Form 10-Q (Commission File No. 1-7657) for the quarter ended March 31, 2018). 10.2 American Express Company 2007 Pay-for-Performance Deferral Program Document (incorporated by reference to Exhibit10.1 of the Company's Current Report on Form8-K (Commission File No.1-7657), dated November20, 2006 (filed November22, 2006)). 10.3 Description of amendments to 19942006 Pay-for-Performance Deferral Programs (incorporated by reference to Exhibit10.13 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2006). 10.7 Amendment to the Pre-2008 Nonqualified Deferred Compensation Plans of American Express Company (incorporated by reference to Exhibit10.19 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2008). 10.12 Amendment to American Express Company Key Executive Life Insurance Plan, effective as of January22, 2007 (incorporated by reference to Exhibit10.22 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2006). 10.13 Amendment to American Express Company Key Executive Life Insurance Plan, effective as of January1, 2011 (incorporated by reference to Exhibit10.24 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2010). 10.20 Second Amendment and Restatement of the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (as amended and restated effective as of January1, 2012) (incorporated by reference to Exhibit10.28 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2011). 10.21 Third Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated March 29, 2012) (incorporated by reference to Exhibit10.1 of the Company's Quarterly Report on Form10-Q (Commission File No.1-7657) for the quarter ended March31, 2012). 10.22 Fourth Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated October 24, 2012) (incorporated by reference to Exhibit10.31 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2012). 10.23 Fifth Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated May1, 2013) (incorporated by reference to Exhibit10.1 of the Company's Quarterly Report on Form10-Q (Commission File No.1-7657) for the quarter ended March31, 2013). 10.24 Sixth Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated August 16, 2013) (incorporated by reference to Exhibit10.1 of the Company's Quarterly Report on Form10-Q (Commission File No.1-7657) for the quarter ended September 30, 2013). 10.25 Seventh Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated September 26, 2013) (incorporated by reference to Exhibit10.2 of the Company's Quarterly Report on Form10-Q (Commission File No.1-7657) for the quarter ended September 30, 2013). 10.26 Eighth Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated December 1, 2013) (incorporated by reference to Exhibit10.36 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2013). 10.27 Ninth Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated December 14, 2016) (incorporated by reference to Exhibit 10.30 of the Company's Annual Report on Form 10-K (Commission File No. 1-7657) for the year ended December 31, 2016). 10.28 Tenth Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated December 17, 2018) (incorporated by reference to Exhibit 10.28 of the Company's Annual Report on Form 10-K (Commission File No. 1-7657) for the year ended December 31, 2018). * 10.29 Eleventh Amendment to the American Express Retirement Restoration Plan (f/k/a Supplemental Retirement Plan) (dated December 9, 2021). 10.30 American Express Company 2003Share Equivalent Unit Plan for Directors, as amended and restated, effective January 1, 2015 (incorporated by reference to Exhibit10.38 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2015). 10.31 Description of Compensation Payable to Non-Management Directors effective January 1, 2015 (incorporated by reference to Exhibit10.39 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2014). 10.33 American Express Company 2007 Incentive Compensation Plan Master Agreement (as amended and restated effective January 23, 2012) (incorporated by reference to Exhibit10.1 of the Company's Current Report on Form8-K (Commission File No.1-7657), dated January 23, 2012 (filed January 27, 2012)). 10.34 Form of nonqualified stock option award agreement for executive officers under the American Express Company 2007 Incentive Compensation Plan (for awards made after January26, 2016) (incorporated by reference to Exhibit10.43 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2015). 10.35 American Express Company 2016 Incentive Compensation Plan (as amended and restated effective May 5, 2020) (incorporated by reference to Exhibit 10.1 of the Company's Current Report on Form 8-K (Commission File No. 1-7657), dated May 5, 2020(filed May 7, 2020)). 10.36 Form of nonqualified stock option award agreement for executive officers under the American Express Company 2016 Incentive Compensation Plan (for awards made after May 2, 2016) (incorporated by reference to Exhibit 10.41 of the Company's Annual Report on Form 10-K (Commission File No. 1-7657) for the year ended December 31, 2016). 10.37 Form of restricted stock unit award agreement for executive officers under the American Express Company 2016 Incentive Compensation Plan (for awards made after May 2, 2016) (incorporated by reference to Exhibit10.42 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2016). 10.38 Form of award agreement for executive officers in connection with Performance Grant awards (a/k/a Executive Annual Incentive Awards) under the American Express Company 2016 Incentive Compensation Plan (for awards made after May 2, 2016) (incorporated by reference to Exhibit 10.43 of the Company's Annual Report on Form 10-K (Commission File No. 1-7657) for the year ended December 31, 2016). 10.39 Amendment to the Form of nonqualified stock option award agreement and Form of restricted stock unit award for executive officers under the American Express Company 2016 Incentive Compensation Plan (for awards made after January 29, 2020) (incorporated by reference to Exhibit10.41 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2019). 10.40 Form of notice agreement in connection with Annual Incentive Awards under the American Express Company 2016 Incentive Compensation Plan (incorporated by reference to Exhibit10.42 of the Company's Annual Report on Form10-K (Commission File No.1-7657) for the year ended December31, 2019). 10.41 Restated Letter Agreement, dated May 6, 2019, between American Express Company and Berkshire Hathaway Inc., on behalf of itself and its subsidiaries (incorporated by reference to Exhibit 10.1 of the Company's Current Report on Form 8-K (Commission File No. 1-7657), dated May 6, 2019(filed May 6, 2019)). 10.43 Amendment No. 1, dated March 29, 2019, to the Time Sharing Agreement, dated February 13, 2018, by and between American Express Travel Related Services Company, Inc. and Stephen J. Squeri (incorporated by reference to Exhibit10.1 of the Company's Quarterly Report on Form10-Q (Commission File No.1-7657) for the quarter ended March31, 2019). 10.44 Amendment No. 2, dated July 26, 2019, to the Time Sharing Agreement, dated February 13, 2018, by and between American Express Travel Related Services Company, Inc. and Stephen J. Squeri (incorporated by reference to Exhibit 10.1 of the Company's Quarterly Report on Form 10-Q (Commission File No. 1-7657) for the quarter ended September 30, 2019). 10.45 Amendment No. 3, dated December 15, 2020, to the Time Sharing Agreement, dated February 13, 2018, by and between American Express Travel Related Services Company, Inc. and Stephen J.Squeri (incorporated by reference to Exhibit 10.46 of the Company's Annual Report on Form 10-K (Commission File No. 1-7657) for the year ended December 31, 2020). * 10.46 Amendment No. 4, dated December 28, 2021, to the Time Sharing Agreement, dated February 13, 2018, by and between American Express Travel Related Services Company, Inc. and Stephen J. Squeri. * 21 Subsidiaries of the Company. * 23 Consent of PricewaterhouseCoopers LLP. * 31.1 Certification of Stephen J. Squeri, Chief Executive Officer, pursuant to Rule13a-14(a) promulgated under the Securities Exchange Act of 1934, as amended. * 31.2 Certification of Jeffrey C. Campbell, Chief Financial Officer, pursuant to Rule13a-14(a) promulgated under the Securities Exchange Act of 1934, as amended. * 32.1 Certification of Stephen J. Squeri, Chief Executive Officer, pursuant to 18U.S.C. Section1350, as adopted pursuant to Section906 of the Sarbanes-Oxley Act of 2002. * 32.2 Certification of Jeffrey C. Campbell, Chief Financial Officer, pursuant to 18U.S.C. Section1350, as adopted pursuant to Section906 of the Sarbanes-Oxley Act of 2002.