0001127602-17-002623.txt : 20170127 0001127602-17-002623.hdr.sgml : 20170127 20170127160716 ACCESSION NUMBER: 0001127602-17-002623 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170125 FILED AS OF DATE: 20170127 DATE AS OF CHANGE: 20170127 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: 17553793 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 2017-01-25 0000004962 AMERICAN EXPRESS CO AXP 0001302528 Cox L Kevin 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 Chief Human Resources Officer Common Stock 2017-01-25 4 M 0 45940 49.13 A 54954 D Common Stock 2017-01-25 4 S 0 41832 78.01 D 13122 D Common Stock 2017-01-25 4 M 0 37300 38.10 A 50422 D Common Stock 2017-01-25 4 S 0 32687 78.01 D 17735 D Common Stock 2017-01-25 4 S 0 2487 78.00 D 8264 I By GRAT II Common Stock 52.63 I by 401(k) Trust Employee Stock Option (Right to Buy) 49.13 2017-01-25 4 M 0 45940 0 D 2011-01-31 2018-01-30 Common Stock 45940 0 D Employee Stock Option (Right to Buy) 38.10 2017-01-25 4 M 0 37300 0 D 2012-01-26 2020-01-26 Common Stock 37300 27133 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 $78.00 to $78.02. 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. 14,690 of the options exercised became exercisable on 1/31/2011; the balance became exercisable on 1/31/2012. 21,126 of the options exercised became exercisable on 1/26/2012; the balance became exercisable on 1/26/2013. The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 31, 2016. /s/ Carol V. Schwartz, attorney-in-fact 2017-01-27