0001127602-13-018268.txt : 20130524
0001127602-13-018268.hdr.sgml : 20130524
20130524161126
ACCESSION NUMBER: 0001127602-13-018268
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130523
FILED AS OF DATE: 20130524
DATE AS OF CHANGE: 20130524
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: 13872226
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
X0306
4
2013-05-23
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
2013-05-23
4
M
0
30000
51.865
A
114123
D
Common Stock
2013-05-23
4
M
0
100000
38.10
A
214123
D
Common Stock
2013-05-23
4
S
0
115869
74.5639
D
98254
D
Common Stock
2013-05-23
4
S
0
40000
74.5639
D
58254
D
Common Stock
20
I
401(k) trust
Employee Stock Option (Right to Buy)
51.865
2013-05-23
4
M
0
30000
0
D
2007-01-23
2016-01-22
Common Stock
30000
0
D
Employee Stock Option (Right to Buy)
38.10
2013-05-23
4
M
0
100000
0
D
2011-01-26
2020-01-26
Common Stock
100000
37795
D
The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock option exercises reported above and the sale of 50% of the net shares acquired from these exercises; 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 $74.17 to $74.95. 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.
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."
The options exercised became exercisable as follows: 34,448 shares on 1/26/2011; 34,449 on 1/26/2012; and 31,103 on 1/29/2013.
/s/ Michael G. Kuchs, attorney-in-fact
2013-05-24