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