0001127602-12-009567.txt : 20120305 0001127602-12-009567.hdr.sgml : 20120305 20120305165006 ACCESSION NUMBER: 0001127602-12-009567 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120301 FILED AS OF DATE: 20120305 DATE AS OF CHANGE: 20120305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cox L Kevin CENTRAL INDEX KEY: 0001302528 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 12667213 MAIL ADDRESS: STREET 1: THE PEPSI BOTTLING GROUP, INC. STREET 2: ONE PEPSI WAY CITY: SOMERS STATE: NY ZIP: 10589 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 4 1 form4.xml PRIMARY DOCUMENT X0304 4 2012-03-01 0000004962 AMERICAN EXPRESS CO AXP 0001302528 Cox L Kevin 3 WORLD FINANCIAL CENTER 200 VESEY ST, AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 EVP, Human Resources Common Stock 2012-03-01 4 M 0 137088 44.673 A 234103 D Common Stock 2012-03-01 4 M 0 50000 16.71 A 284103 D Common Stock 2012-03-01 4 S 0 171617 53.6544 D 112486 D Common Stock 2012-03-01 4 S 0 13671 53.6544 D 98815 D Common Stock 53 I by 401(k) Trust Employee Stock Option (Right to Buy) 44.673 2012-03-01 4 M 0 137088 0 D 2006-04-04 2015-04-04 Common Stock 137088 0 D Employee Stock Option (Right to Buy) 16.71 2012-03-01 4 M 0 50000 0 D 2010-01-29 2019-01-28 Common Stock 50000 128036 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; Mr. Cox 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 $53.45 to $53.83. 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. 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." Of the 50,000 option shares exercised, 25,433 became exercisable on 1/26/2010, and the balance became exercisable on 1/26/2011. /s/ Michael G. Kuchs, attorney-in-fact 2012-03-05