0001127602-13-003234.txt : 20130130 0001127602-13-003234.hdr.sgml : 20130130 20130130184152 ACCESSION NUMBER: 0001127602-13-003234 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130128 FILED AS OF DATE: 20130130 DATE AS OF CHANGE: 20130130 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: 13560274 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 X0306 4 2013-01-28 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 2013-01-28 4 F 0 931 59.07 D 100666 D Common Stock 2013-01-28 4 F 0 33839 59.07 D 66827 D Common Stock 2013-01-30 4 M 0 50868 16.71 A 117695 D Common Stock 2013-01-30 4 S 0 43337 59.5136 D 74358 D Common Stock 2013-01-30 4 S 0 1114 59.4718 D 73244 D Common Stock 49.99 I by 401(k) Trust Employee Stock Option (Right to Buy) 16.71 2013-01-30 4 M 0 50868 0 D 2013-01-29 2019-01-28 Common Stock 50868 0 D The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of a Restricted Stock Award. 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; 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 $59.45 to $59.60. 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 the vesting of a restricted stock award on January 26, 2012. 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 2013-01-30