0001127602-13-018004.txt : 20130523
0001127602-13-018004.hdr.sgml : 20130523
20130523162440
ACCESSION NUMBER: 0001127602-13-018004
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130522
FILED AS OF DATE: 20130523
DATE AS OF CHANGE: 20130523
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AMERICAN EXPRESS CO
CENTRAL INDEX KEY: 0000004962
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 134922250
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 200 VESEY STREET
STREET 2: 50TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10285
BUSINESS PHONE: 2126402000
MAIL ADDRESS:
STREET 1: 200 VESEY STREET
STREET 2: 50TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10285
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HAYES JOHN D
CENTRAL INDEX KEY: 0001209446
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07657
FILM NUMBER: 13868589
MAIL ADDRESS:
STREET 1: AMERICAN EXPRESS COMPANY
STREET 2: 200 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10285
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2013-05-22
0000004962
AMERICAN EXPRESS CO
AXP
0001209446
HAYES JOHN D
3 WORLD FINANCIAL CENTER
200 VESEY ST, AMERICAN EXPRESS TOWER
NEW YORK
NY
10285
1
EVP, Advertising
Common Stock
2013-05-22
4
M
0
131376
45.768
A
212117.873
D
Common Stock
2013-05-22
4
M
0
47876
16.71
A
259993.873
D
Common Stock
2013-05-22
4
S
0
76432
75.6006
D
183561.873
D
Common Stock
2013-05-22
4
S
0
80918
76.2457
D
102643.873
D
Common Stock
2013-05-22
4
S
0
25000
74.3201
D
77643.873
D
Common Stock
3855
I
By 401(k) Trust
Employee Stock Option (Right to Buy)
45.768
2013-05-22
4
M
0
131376
0
D
2006-01-24
2015-01-24
Common Stock
131376
0
D
Employee Stock Option (Right to Buy)
16.71
2013-05-22
4
M
0
47876
0
D
2013-01-29
2019-01-28
Common Stock
47876
0
D
The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock option exercises reported above and the sale of 50% of the net shares acquired from these exercises; the reporting person will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.15 to $76.12. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.16 to $76.55. 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.
The reported disposition represents the sale of shares acquired from restricted stock vestings and/or stock option exercises in prior years.
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.
These options became exercisable in four equal annual installments beginning on the date shown as "Date Exercisable."
/s/ Michael G. Kuchs, attorney-in-fact
2013-05-23