0001127602-16-052905.txt : 20160520 0001127602-16-052905.hdr.sgml : 20160520 20160520140026 ACCESSION NUMBER: 0001127602-16-052905 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160519 FILED AS OF DATE: 20160520 DATE AS OF CHANGE: 20160520 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: CHENAULT KENNETH I CENTRAL INDEX KEY: 0001180524 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 161665664 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 X0306 4 2016-05-19 0000004962 AMERICAN EXPRESS CO AXP 0001180524 CHENAULT KENNETH I 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 1 Chairman & CEO Common Stock 2016-05-19 4 M 0 625000 49.13 A 1444572 D Common Stock 2016-05-19 4 M 0 257813 49.13 A 1702385 D Common Stock 2016-05-19 4 S 0 838968 62.65 D 863417 D Common Stock 67568 I by trust fbo children Common Stock 59122 I by trust fbo children Common Stock 26148 I By Wife Common Stock 24321.64 I By 401(k) Plan Common Stock 4158 I Wife As Trustee/custodian Common Stock 2850 I by son Employee Stock Option (Right to Buy) 49.13 2016-05-19 4 M 0 625000 0 D 2009-01-31 2018-01-30 Common Stock 625000 0 D Employee Stock Option (Right to Buy) 49.13 2016-05-19 4 M 0 257813 0 D 2014-01-27 2018-01-30 Common Stock 257813 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 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 $62.33 to $63.20. 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 the date shown as "Date Exercisable." Prior to the transactions reported on this Form 4, Mr. Chenault directly and indirectly beneficially owned a total of 1,003,739.60 common shares. After the transactions reported on this Form 4, Mr. Chenault directly and indirectly beneficially owned a total of 1,047,584.60 common shares. /s/ Emily T. Epstein, attorney-in-fact 2016-05-20