-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P+UbvwFI5TBfFluTqDPXygWadWEiBarJRvB2mye3WvazlcgJ7Bduj9lOe3KxWB0U XD60pTnyleuFw6FwjUH4uQ== 0001127602-11-002752.txt : 20110128 0001127602-11-002752.hdr.sgml : 20110128 20110128185949 ACCESSION NUMBER: 0001127602-11-002752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110126 FILED AS OF DATE: 20110128 DATE AS OF CHANGE: 20110128 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gupta Ashwini CENTRAL INDEX KEY: 0001405635 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 11557208 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 X0303 4 2011-01-26 0000004962 AMERICAN EXPRESS CO AXP 0001405635 Gupta Ashwini 3 WORLD FINANCIAL CENTER 200 VESEY ST., AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 Pres-Risk/Info Mgmt/Banking Gp Common Stock 2011-01-26 5 A 0 E 1722 44.46 A 72339 D Common Stock 2011-01-26 4 F 0 682 44.46 D 71657 D Common Stock 760 I custodian for children Common Stock 18026 I by 401(k) Trust Employee Stock Option (Right to Buy) 44.54 2011-01-27 4 A 0 18130 0 A 2012-01-27 2021-01-27 Common Stock 18130 18130 D Shares acquired pursuant to the vesting of Restricted Stock Units (i.e., "performance units") granted to the reporting person on January 26, 2010. The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. 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 become exercisable in four equal annual installments beginning on date shown as "Date Exercisable." /s/ Michael G. Kuchs, attorney-in-fact 2011-01-28 -----END PRIVACY-ENHANCED MESSAGE-----