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