0001127602-12-015878.txt : 20120504 0001127602-12-015878.hdr.sgml : 20120504 20120504114020 ACCESSION NUMBER: 0001127602-12-015878 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120503 FILED AS OF DATE: 20120504 DATE AS OF CHANGE: 20120504 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GILLIGAN EDWARD P CENTRAL INDEX KEY: 0001209444 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 12812718 MAIL ADDRESS: STREET 1: AMERICAN EXPRESS COMPANY STREET 2: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0305 4 2012-05-03 0000004962 AMERICAN EXPRESS CO AXP 0001209444 GILLIGAN EDWARD P 3 WORLD FINANCIAL CENTER 200 VESEY ST, AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 Vice Chairman Common Stock 2012-05-03 4 M 0 10282 39.876 A 267023 D Common Stock 2012-05-03 4 M 0 195351 43.977 A 462374 D Common Stock 2012-05-03 4 S 0 191141 60.9196 D 271233 D Common Stock 2012-05-03 4 S 0 20000 60.894 D 251233 D Common Stock 1616 I 401(k) Trust Employee Stock Option (Right to Buy) 39.876 2012-05-03 4 M 0 10282 0 D 2004-07-28 2013-07-28 Common Stock 10282 0 D Employee Stock Option (Right to Buy) 43.977 2012-05-03 4 M 0 195351 0 D 2005-01-26 2014-01-26 Common Stock 195351 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. Gilligan 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 $60.78 to $61.24. 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.38 to $60.93. 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. These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." /s/ Michael G. Kuchs, attorney-in-fact 2012-05-04