0001127602-12-016004.txt : 20120507 0001127602-12-016004.hdr.sgml : 20120507 20120507120308 ACCESSION NUMBER: 0001127602-12-016004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120503 FILED AS OF DATE: 20120507 DATE AS OF CHANGE: 20120507 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: 12816685 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 2012-05-03 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 2012-05-03 4 M 0 71971 29.239 A 143668 D Common Stock 2012-05-03 4 M 0 19421 39.876 A 163089 D Common Stock 2012-05-03 4 M 0 51408 39.907 A 214497 D Common Stock 2012-05-03 4 M 0 142800 43.977 A 357297 D Common Stock 2012-05-03 4 S 0 258177 60.9001 D 99120 D Common Stock 18253 I by 401(k) Trust Common Stock 1060 I by family trust Employee Stock Option (Right to Buy) 29.239 2012-05-03 4 M 0 71971 0 D 2004-01-27 2013-01-26 Common Stock 71971 0 D Employee Stock Option (Right to Buy) 39.876 2012-05-03 4 M 0 19421 0 D 2004-07-28 2013-07-27 Common Stock 19421 0 D Employee Stock Option (Right to Buy) 39.907 2012-05-03 4 M 0 51408 0 D 2004-10-01 2013-09-30 Common Stock 51408 0 D Employee Stock Option (Right to Buy) 43.977 2012-05-03 4 M 0 142800 0 D 2005-01-26 2014-01-25 Common Stock 142800 0 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. Gupta 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 $60.90 to $60.91. 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. These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." /s/ Michael G. Kuchs, attorney-in-fact 2012-05-07