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