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