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