0001127602-17-029261.txt : 20171004 0001127602-17-029261.hdr.sgml : 20171004 20171004175828 ACCESSION NUMBER: 0001127602-17-029261 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171002 FILED AS OF DATE: 20171004 DATE AS OF CHANGE: 20171004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bush James Peter CENTRAL INDEX KEY: 0001540196 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 171122780 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-10-02 0000004962 AMERICAN EXPRESS CO AXP 0001540196 Bush James Peter 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 President, GNICS Common Stock 2017-10-02 4 M 0 8000 34.84 A 85247.6239 D Common Stock 2017-10-02 4 M 0 4000 34.84 A 89247.6239 D Common Stock 2017-10-02 4 S 0 3410 90.44 D 85837.6239 D Common Stock 2017-10-02 4 S 0 6820 90.61 D 79017.6239 D Common Stock 6895.97 I by 401(k) Plan Employee Stock Option (Right to Buy) 34.84 2017-10-02 4 M 0 8000 0 D 2013-10-30 2019-10-30 Common Stock 8000 78108 D Employee Stock Option (Right to Buy) 34.84 2017-10-02 4 M 0 4000 0 D 2013-10-30 2019-10-30 Common Stock 4000 74108 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 $90.35 to $90.90. 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 on the date shown as "Date Exercisable." The transactions reported on this Form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on September 1, 2017. /s/ Carol V. Schwartz, attorney-in-fact 2017-10-04