0001127602-16-039036.txt : 20160202 0001127602-16-039036.hdr.sgml : 20160202 20160202155421 ACCESSION NUMBER: 0001127602-16-039036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160129 FILED AS OF DATE: 20160202 DATE AS OF CHANGE: 20160202 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: 161380784 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-01-29 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 2016-01-29 4 A 0 34762 53.50 A 218584.178 D Common Stock 2016-01-29 4 F 0 15278 53.50 D 203306.178 D Common Stock 2016-01-29 4 A 0 8410 53.50 A 211716.178 D Common Stock 2016-01-29 4 F 0 4363 53.50 D 207353.178 D Common Stock 115.04 I 401(k) Trust Employee Stock Option (Right to Buy) 59.45 2016-01-29 4 A 0 33652 0 A 2016-01-29 2023-01-29 Common Stock 33652 33652 D Represents shares acquired pursuant to vesting of Restricted Stock Units ("performance units") that were granted to the reporting person in January 2013 and have vested based on the Company's 2013-15 return on average equity performance. The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. Represents shares acquired pursuant to vesting of Restricted Stock Units that were granted to the reporting person in January 2013 and have vested based on the Company's positive cumulative net income over the three year performance period. Includes shares acquired pursuant to dividend reinvestment. 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. The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in January 2013. These options became exercisable on January 29, 2016 based on the Company's positive cumulative net income over the three year performance period. /s/ Emily T. Epstein, attorney-in-fact 2016-02-02