0001127602-17-001617.txt : 20170112
0001127602-17-001617.hdr.sgml : 20170112
20170112170945
ACCESSION NUMBER: 0001127602-17-001617
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170110
FILED AS OF DATE: 20170112
DATE AS OF CHANGE: 20170112
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: 17525891
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
2017-01-10
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
2017-01-10
4
M
0
26157
49.13
A
30090
D
Common Stock
2017-01-10
4
S
0
23819
78.00
D
6271
D
Common Stock
2017-01-10
4
M
0
22181
38.10
A
28452
D
Common Stock
2017-01-10
4
S
0
19438
78.00
D
9014
D
Common Stock
2017-01-10
4
S
0
11317
78.00
D
10751
I
By GRAT II
Common Stock
22359
I
By GRAT I
Common Stock
52.63
I
by 401(k) Trust
Employee Stock Option (Right to Buy)
49.13
2017-01-10
4
M
0
26157
0
D
2010-01-31
2018-01-30
Common Stock
26157
45940
D
Employee Stock Option (Right to Buy)
38.10
2017-01-10
4
M
0
22181
0
D
2011-01-26
2020-01-26
Common Stock
22181
64433
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.
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.
9,597 of the options exercised became exercisable on 1/31/2010; the balance became exercisable on 1/31/2011.
21,653 of the options exercised became exercisable on 1/26/2011; the balance became exercisable on 1/26/2012.
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
2017-01-12