0001127602-15-023868.txt : 20150803 0001127602-15-023868.hdr.sgml : 20150801 20150803134719 ACCESSION NUMBER: 0001127602-15-023868 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150730 FILED AS OF DATE: 20150803 DATE AS OF CHANGE: 20150803 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: Squeri Stephen J CENTRAL INDEX KEY: 0001326109 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 151021780 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2015-07-30 0000004962 AMERICAN EXPRESS CO AXP 0001326109 Squeri Stephen J 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 Vice Chairman Common Stock 2015-07-30 4 M 0 229621 34.84 A 403103.443 D Common Stock 2015-07-30 4 S 0 199474 76.00 D 203629.443 D Common Stock 2015-07-30 4 S 0 20000 76.00 D 183629.443 D Common Stock 113.83 I 401(k) Trust Employee Stock Option (Right to Buy) 34.84 2015-07-30 4 M 0 229621 0 D 2013-10-30 2019-10-30 Common Stock 229621 0 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; 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 $75.84 to $76.18. 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. These shares were originally acquired from previous stock option exercises or restricted stock vestings under registered Company plans or pursuant to dividend reinvestment. The reporting person's end of period holdings reflects a prior transfer of shares pursuant to a domestic relations order. 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/ Emily T. Epstein, attorney-in-fact 2015-08-03