0001127602-13-004558.txt : 20130206
0001127602-13-004558.hdr.sgml : 20130206
20130206191355
ACCESSION NUMBER: 0001127602-13-004558
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130204
FILED AS OF DATE: 20130206
DATE AS OF CHANGE: 20130206
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: 13579668
MAIL ADDRESS:
STREET 1: 200 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10285
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2013-02-04
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
2013-02-04
4
M
0
44884
16.71
A
87564.537
D
Common Stock
2013-02-04
4
M
0
12139
38.10
A
99703.537
D
Common Stock
2013-02-04
4
S
0
55408
59.2587
D
44295.537
D
Common Stock
2013-02-04
4
S
0
14550
59.255
D
29745.537
D
Common Stock
1118.54
I
By 401(k) Plan
Employee Stock Option (Right to Buy)
16.71
2013-02-04
4
M
0
44884
0
D
2013-01-29
2019-01-28
Common Stock
44884
0
D
Employee Stock Option (Right to Buy)
38.10
2013-02-04
4
M
0
12139
0
D
2013-01-26
2020-01-26
Common Stock
12139
12139
D
The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock option exercise reported above and the sale of 50% of the net shares acquired from this exercise, along with 50% of the net shares from the vesting of restricted stock units; 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 $59.21 to $59.31. 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 $59.25 to $59.255. 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.
/s/ Michael G. Kuchs, attorney-in-fact
2013-02-06