0001127602-12-015889.txt : 20120504 0001127602-12-015889.hdr.sgml : 20120504 20120504120851 ACCESSION NUMBER: 0001127602-12-015889 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120502 FILED AS OF DATE: 20120504 DATE AS OF CHANGE: 20120504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Williams Anre D CENTRAL INDEX KEY: 0001303170 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 12812922 MAIL ADDRESS: STREET 1: ILLINOIS TOOL WORKS INC. STREET 2: 3600 WEST LAKE AVENUE CITY: GLENVIEW STATE: IL ZIP: 60026 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 X0305 4 2012-05-02 0000004962 AMERICAN EXPRESS CO AXP 0001303170 Williams Anre D AMERICAN EXPRESS TOWER, 200 VESEY ST. 3 WORLD FINANCIAL CENTER NEW YORK NY 10285 1 Pres. Global Merchant Services Common Stock 2012-05-02 4 M 0 22848 43.977 A 83786 D Common Stock 2012-05-02 4 M 0 30845 45.768 A 114631 D Common Stock 2012-05-02 4 M 0 29700 51.865 A 144331 D Common Stock 2012-05-02 4 M 0 30000 57.77 A 174331 D Common Stock 2012-05-02 4 M 0 20000 58.54 A 194331 D Common Stock 2012-05-02 4 M 0 50000 49.13 A 244331 D Common Stock 2012-05-02 4 S 0 174974 61.1754 D 69357 D Common Stock 9.08 I by 401(k) Trust Employee Stock Option (Right to Buy) 43.977 2012-05-02 4 M 0 22848 0 D 2005-01-26 2014-01-26 Common Stock 22848 0 D Employee Stock Option (Right to Buy) 45.768 2012-05-02 4 M 0 30845 0 D 2006-01-24 2015-01-24 Common Stock 30845 0 D Employee Stock Option (Right to Buy) 51.865 2012-05-02 4 M 0 29700 0 D 2007-01-23 2016-01-23 Common Stock 29700 0 D Employee Stock Option (Right to Buy) 57.77 2012-05-02 4 M 0 30000 0 D 2008-01-25 2017-01-25 Common Stock 30000 0 D Employee Stock Option (Right to Buy) 58.54 2012-05-02 4 M 0 20000 0 D 2008-07-31 2017-07-31 Common Stock 20000 0 D Employee Stock Option (Right to Buy) 49.13 2012-05-02 4 M 0 50000 0 D 2009-01-31 2018-01-31 Common Stock 50000 0 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. Williams 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 $61.01 to $61.29. 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." /s/ Michael G. Kuchs, attorney-in-fact 2012-05-03