0001127602-12-015680.txt : 20120503 0001127602-12-015680.hdr.sgml : 20120503 20120503094718 ACCESSION NUMBER: 0001127602-12-015680 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120502 FILED AS OF DATE: 20120503 DATE AS OF CHANGE: 20120503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Henry Daniel T CENTRAL INDEX KEY: 0001392134 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 12807794 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 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 0001392134 Henry Daniel T 3 WORLD FINANCIAL CENTER 200 VESEY ST., AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 EVP, Chief Financial Officer Common Stock 2012-05-02 4 M 0 2582 31.057 A 64525 D Common Stock 2012-05-02 4 M 0 68544 43.977 A 133069 D Common Stock 2012-05-02 4 M 0 179532 16.71 A 312601 D Common Stock 2012-05-02 4 S 0 210125 60.6301 D 102476 D Common Stock 2012-05-02 4 S 0 40000 60.5614 D 62476 D Common Stock 20 I 401(k) trust Employee Stock Option (Right to Buy) 31.057 2012-05-02 4 M 0 2582 0 D 2007-03-25 2013-03-24 Common Stock 2582 0 D Employee Stock Option (Right to Buy) 43.977 2012-05-02 4 M 0 68544 0 D 2005-01-26 2014-01-25 Common Stock 68544 0 D Employee Stock Option (Right to Buy) 16.71 2012-05-02 4 M 0 179532 0 D 2010-01-29 2019-01-28 Common Stock 179532 59845 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. Henry 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 $60.38 to $60.99. 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 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 $60.51 to $60.63. 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. Three installments of 59,844 shares each vested on 1/29/2010, 1/29/2011, and 1/29/2012, respectively. /s/ Michael G. Kuchs, attorney-in-fact 2012-05-02