0001127602-13-016311.txt : 20130509 0001127602-13-016311.hdr.sgml : 20130509 20130509181310 ACCESSION NUMBER: 0001127602-13-016311 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130509 FILED AS OF DATE: 20130509 DATE AS OF CHANGE: 20130509 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bush James Peter CENTRAL INDEX KEY: 0001540196 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 13830465 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 X0306 4 2013-05-09 0000004962 AMERICAN EXPRESS CO AXP 0001540196 Bush James Peter 200 VESEY STREET 3 WORLD FINANCIAL CENTER NEW YORK NY 10285-5001 1 EVP, World Service Common Stock 2013-05-09 4 M 0 17136 48.083 A 65952.6239 D Common Stock 2013-05-09 4 M 0 55000 51.865 A 120952.6239 D Common Stock 2013-05-09 4 S 0 67387 69.9276 D 53565.6239 D Common Stock 6179 I by 401(k) Plan Employee Stock Option (Right to Buy) 48.083 2013-05-09 4 M 0 17136 0 D 2006-07-25 2015-07-24 Common Stock 17136 0 D Employee Stock Option (Right to Buy) 51.865 2013-05-09 4 M 0 55000 0 D 2007-01-23 2016-01-22 Common Stock 55000 0 D The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock option exercises reported above and the sale of 50% of the net shares acquired from these exercises; the reporting person 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 $69.80 to $70.32. 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 2013-05-09