0001127602-12-009293.txt : 20120302
0001127602-12-009293.hdr.sgml : 20120302
20120302163100
ACCESSION NUMBER: 0001127602-12-009293
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120229
FILED AS OF DATE: 20120302
DATE AS OF CHANGE: 20120302
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: PARENT LOUISE M
CENTRAL INDEX KEY: 0001209456
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07657
FILM NUMBER: 12663330
MAIL ADDRESS:
STREET 1: 200 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10285
4
1
form4.xml
PRIMARY DOCUMENT
X0304
4
2012-02-29
0000004962
AMERICAN EXPRESS CO
AXP
0001209456
PARENT LOUISE M
3 WORLD FINANCIAL CENTER
200 VESEY ST, AMERICAN EXPRESS TOWER
NEW YORK
NY
10285
1
EVP, General Counsel
Common Stock
2012-02-29
4
M
0
170218
43.977
A
418729.0117
D
Common Stock
2012-02-29
4
M
0
142800
45.768
A
561529.0117
D
Common Stock
2012-02-29
4
M
0
50000
16.71
A
611529.0117
D
Common Stock
2012-02-29
4
S
0
341492
53.0889
D
270037.0117
D
Common Stock
2012-02-29
4
S
0
96000
53.1509
D
174037.0117
D
Common Stock
84
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
43.977
2012-02-29
4
M
0
170218
0
D
2005-01-26
2014-01-25
Common Stock
170218
0
D
Employee Stock Option (Right to Buy)
45.768
2012-02-29
4
M
0
142800
0
D
2006-01-24
2015-01-23
Common Stock
142800
0
D
Employee Stock Option (Right to Buy)
16.71
2012-02-29
4
M
0
50000
0
D
2010-01-29
2019-01-28
Common Stock
50000
159455
D
The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock options exercises reported above and the sale of 50% of the net shares acquired from these exercises; Ms. Parent will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers.
The reported disposition represents the sale of shares acquired from restricted stock vestings and/or stock option exercises in prior years.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.94 to $53.39. 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 $53.00 to $53.38. 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.
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 date shown as "Date Exercisable."
/s/ Michael G. Kuchs, attorney-in-fact
2012-03-02