-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CcEXj6BFRY8YKWvzqvH/oZqEQBpO7fgYHKfx76Sxy+cnRBjEFVUa1IlIYZg6eTPK Ig8AEV3qlYYr2EehcWOtCg== 0001127602-06-002675.txt : 20061115 0001127602-06-002675.hdr.sgml : 20061115 20061115184835 ACCESSION NUMBER: 0001127602-06-002675 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061113 FILED AS OF DATE: 20061115 DATE AS OF CHANGE: 20061115 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: HAYES JOHN D CENTRAL INDEX KEY: 0001209446 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 061221185 BUSINESS ADDRESS: STREET 1: C/O AMERICAN EXPRESS CO STREET 2: 200 VESEY STREET MAIL STOP 01-50-01 CITY: NEW YORK STATE: NY ZIP: 10285 BUSINESS PHONE: 2126402000 MAIL ADDRESS: STREET 1: AMERICAN EXPRESS COMPANY STREET 2: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0202 4 2006-11-13 0000004962 AMERICAN EXPRESS CO AXP 0001209446 HAYES JOHN D 3 WORLD FINANCIAL CENTER 200 VESEY ST, AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 EVP, Advertising Common Stock 2006-11-13 4 M 0 171360 31.941 A 250547 D Common Stock 2006-11-13 4 M 0 100000 29.239 A 350547 D Common Stock 2006-11-13 4 S 0 72000 58.91 D 278547 D Common Stock 2006-11-13 4 S 0 42000 58.92 D 236547 D Common Stock 2006-11-13 4 S 0 10000 58.93 D 226547 D Common Stock 2006-11-13 4 S 0 34900 58.94 D 191647 D Common Stock 2006-11-13 4 S 0 19700 58.95 D 171947 D Common Stock 2006-11-13 4 S 0 23800 58.96 D 148147 D Common Stock 2006-11-13 4 S 0 4600 58.97 D 143547 D Common Stock 2006-11-13 4 S 0 14600 58.98 D 128947 D Common Stock 2006-11-13 4 S 0 7000 58.99 D 121947 D Common Stock 2006-11-13 4 S 0 6502 59 D 115445 D Common Stock 2006-11-14 4 S 0 14210 58.89 D 101235 D Common Stock 2653 I By Isp Trust Employee Stock Option (Right to Buy) 31.941 2006-11-13 4 M 0 171360 0 D 2003-01-28 2012-01-27 Common Stock 171360 0 D Employee Stock Option (Right to Buy) 29.239 2006-11-13 4 M 0 100000 0 D 2004-01-27 2013-01-26 Common Stock 100000 27663 D These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." 42,554 of these options became exercisable on 1/27/2004, 42,555 on 1/27/2005, and the balance became exercisable on 1/27/2006. /s/ Stephen P. Norman, attorney-in-fact 2006-11-15 -----END PRIVACY-ENHANCED MESSAGE-----