0001127602-14-004895.txt : 20140206
0001127602-14-004895.hdr.sgml : 20140206
20140206164449
ACCESSION NUMBER: 0001127602-14-004895
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140204
FILED AS OF DATE: 20140206
DATE AS OF CHANGE: 20140206
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: Cox L Kevin
CENTRAL INDEX KEY: 0001302528
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07657
FILM NUMBER: 14580702
MAIL ADDRESS:
STREET 1: THE PEPSI BOTTLING GROUP, INC.
STREET 2: ONE PEPSI WAY
CITY: SOMERS
STATE: NY
ZIP: 10589
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2014-02-04
0000004962
AMERICAN EXPRESS CO
AXP
0001302528
Cox L Kevin
3 WORLD FINANCIAL CENTER
200 VESEY ST, AMERICAN EXPRESS TOWER
NEW YORK
NY
10285
1
Chief Human Resources Officer
Common Stock
2014-02-04
4
M
0
62500
51.865
A
106255
D
Common Stock
2014-02-04
4
M
0
62500
57.77
A
168755
D
Common Stock
2014-02-04
4
S
0
114580
83.9062
D
54175
D
Common Stock
2014-02-04
4
S
0
25820
83.9062
D
28355
D
Common Stock
50.33
I
by 401(k) Trust
Employee Stock Option (Right to Buy)
51.865
2014-02-04
4
M
0
62500
0
D
2009-01-23
2016-01-23
Common Stock
62500
0
D
Employee Stock Option (Right to Buy)
57.77
2014-02-04
4
M
0
62500
0
D
2008-01-25
2017-01-24
Common Stock
62500
62500
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 $83.87 to $83.97. 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.
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.
One half of the options exercised became exercisable on 1/23/2009 and the other half on 1/23/2010.
One half of the options exercised became exercisable on 1/23/2008 and the other half on 1/23/2009.
/s/ Michael G. Kuchs, attorney-in-fact
2014-02-06