0001127602-13-002435.txt : 20130123 0001127602-13-002435.hdr.sgml : 20130123 20130123170716 ACCESSION NUMBER: 0001127602-13-002435 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130122 FILED AS OF DATE: 20130123 DATE AS OF CHANGE: 20130123 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: SCHICK THOMAS A CENTRAL INDEX KEY: 0001212290 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 13543348 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2013-01-22 0000004962 AMERICAN EXPRESS CO AXP 0001212290 SCHICK THOMAS A 3 WORLD FINANCIAL CENTER 200 VESEY ST, AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 EVP-Corp. Affairs Common Stock 2013-01-22 4 M 0 131376 45.768 A 196121.537 D Common Stock 2013-01-22 4 M 0 24278 38.10 A 220399.537 D Common Stock 2013-01-22 4 S 0 145715 59.6176 D 74684.537 D Common Stock 2013-01-22 4 S 0 44939 59.4902 D 29745.537 D Common Stock 1118.54 I By 401(k) Plan Employee Stock Option (Right to Buy) 45.768 2013-01-22 4 M 0 131376 0 D 2006-01-24 2015-01-24 Common Stock 131376 0 D Employee Stock Option (Right to Buy) 38.10 2013-01-22 4 M 0 24278 0 D 2011-01-26 2020-01-26 Common Stock 24278 24278 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; Mr. Schick 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 $59.37 to $59.82. 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 previous restricted stock vestings, stock option exercises and/or dividend reinvestment. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.19 to $59.83. 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. Includes shares acquired pursuant to dividend reinvestment. 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." 12,139 of the options exercised became exercisable on 1/26/2011; the balance became exercisable on 1/26/2012. /s/ Michael G. Kuchs, attorney-in-fact 2013-01-23