0001127602-14-009262.txt : 20140228 0001127602-14-009262.hdr.sgml : 20140228 20140228163619 ACCESSION NUMBER: 0001127602-14-009262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140228 FILED AS OF DATE: 20140228 DATE AS OF CHANGE: 20140228 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: SCHICK THOMAS A CENTRAL INDEX KEY: 0001212290 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 14655991 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-02-28 0000004962 AMERICAN EXPRESS CO AXP 0001212290 SCHICK THOMAS A 3 WORLD FINANCIAL CENTER 200 VESEY ST, AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 EVP-Corp. Affairs Common Stock 2014-02-28 4 M 0 115000 57.77 A 152954.537 D Common Stock 2014-02-28 4 M 0 115000 49.13 A 267954.537 D Common Stock 2014-02-28 4 S 0 208840 91.2637 D 59114.537 D Common Stock 2014-02-28 4 S 0 21160 91.0772 D 37954.537 D Common Stock 1115 I By 401(k) Plan Employee Stock Option (Right to Buy) 57.77 2014-02-28 4 M 0 115000 0 D 2008-01-25 2017-01-24 Common Stock 115000 0 D Employee Stock Option (Right to Buy) 49.13 2014-02-28 4 M 0 115000 0 D 2009-01-31 2018-01-30 Common Stock 115000 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 exercise reported above and the sale of 50% of the net shares acquired from this exercise; 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 $91.01 to $91.64. 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 previous restricted stock vestings, stock option exercises and/or dividend reinvestment. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.02 to $91.18. 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 2014-02-28