0001127602-11-014788.txt : 20110503 0001127602-11-014788.hdr.sgml : 20110503 20110503172343 ACCESSION NUMBER: 0001127602-11-014788 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110429 FILED AS OF DATE: 20110503 DATE AS OF CHANGE: 20110503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gupta Ashwini CENTRAL INDEX KEY: 0001405635 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 11807112 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 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 4 1 form4.xml PRIMARY DOCUMENT X0303 4 2011-04-29 0000004962 AMERICAN EXPRESS CO AXP 0001405635 Gupta Ashwini 3 WORLD FINANCIAL CENTER 200 VESEY ST., AMERICAN EXPRESS TOWER NEW YORK NY 10285 1 Pres-Risk/Info Mgmt/Banking Gp Common Stock 2011-04-29 4 M 0 79968 31.941 A 151625 D Common Stock 2011-04-29 4 S 0 72574 49.00 D 79051 D Common Stock 2011-04-29 4 S 0 7394 49.00 D 71657 D Common Stock 760 I custodian for children Common Stock 18074 I by 401(k) Trust Employee Stock Option (Right to Buy) 31.941 2011-04-29 4 M 0 79968 0 D 2003-01-28 2012-01-27 Common Stock 79968 0 D Of the 79,968 shares acquired pursuant to the employee stock option exercise reported above, approximately 65,181 shares were sold to cover the cost of exercise and withholding taxes. Mr. Gupta retained 50% of the net shares acquired from this option exercise. 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 shares become exercisable in three annual installments beginning on date shown as "Date Exercisable." /s/ Michael G. Kuchs, attorney-in-fact 2011-05-03