0001127602-12-031704.txt : 20121120 0001127602-12-031704.hdr.sgml : 20121120 20121120162804 ACCESSION NUMBER: 0001127602-12-031704 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121119 FILED AS OF DATE: 20121120 DATE AS OF CHANGE: 20121120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buckminster Douglas E. CENTRAL INDEX KEY: 0001477675 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 121218307 MAIL ADDRESS: STREET 1: 200 VESEY STREET STREET 2: M/S 01-50-01 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 2012-11-19 0000004962 AMERICAN EXPRESS CO AXP 0001477675 Buckminster Douglas E. BELGRAVE HOUSE 76 BUCKINGHAM PALACE ROAD LONDON 1 Pres, Int'l Consumer & SBS Common Stock 2012-11-19 4 M 0 37128 29.239 A 81280.967 D Common Stock 2012-11-19 4 S 0 27880 55.0945 D 53400.967 D Common Stock 12045 I 401(k) Trust Employee Stock Option (Right to Buy) 29.239 2012-11-19 4 M 0 37128 0 D 2004-01-27 2013-01-26 Common Stock 37128 0 D Shares sold to cover the cost of exercise and taxes due upon exercise of employee stock options; Mr. Buckminster has retained all of the net shares acquired from this exercise. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.02 to $55.17. 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. Includes shares acquired pursuant to dividend reinvestment. 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 the date shown as "Date Exercisable." /s/ Michael G. Kuchs, attorney-in-fact 2012-11-20