0001127602-17-004388.txt : 20170207
0001127602-17-004388.hdr.sgml : 20170207
20170207171615
ACCESSION NUMBER: 0001127602-17-004388
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170203
FILED AS OF DATE: 20170207
DATE AS OF CHANGE: 20170207
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: 17580056
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
2017-02-03
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
2017-02-03
4
M
0
27133
38.10
A
50463
D
Common Stock
2017-02-03
4
S
0
23777
78.00
D
26686
D
Common Stock
2017-02-03
4
S
0
3355
78.01
D
4909
I
By GRAT II
Common Stock
2017-02-06
4
S
0
2797
77.58
D
23889
D
Common Stock
2017-02-06
4
S
0
2797
77.57
D
2112
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)
38.10
2017-02-03
4
M
0
27133
0
D
2013-01-26
2020-01-26
Common Stock
27133
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 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.00 to $78.04. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.00 to $78.03. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.50 to $77.66. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.50 to $77.65. 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.
5,479 of the options exercised became exercisable on 1/26/2013; the balance became exercisable on 1/26/2014.
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
2017-02-07