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