0001127602-17-034586.txt : 20171213 0001127602-17-034586.hdr.sgml : 20171213 20171213191326 ACCESSION NUMBER: 0001127602-17-034586 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171211 FILED AS OF DATE: 20171213 DATE AS OF CHANGE: 20171213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buckminster Douglas E. CENTRAL INDEX KEY: 0001477675 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 171254903 MAIL ADDRESS: STREET 1: 200 VESEY STREET STREET 2: M/S 01-50-01 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 2017-12-11 0000004962 AMERICAN EXPRESS CO AXP 0001477675 Buckminster Douglas E. 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 Pres, Glb Consumer Svcs Grp Common Stock 2017-12-11 4 M 0 100000 49.13 A 152507.168 D Common Stock 2017-12-11 4 S 0 88930 98.87 D 63577.168 D Common Stock 13206.46 I 401(k) Trust Employee Stock Option (Right to Buy) 49.13 2017-12-11 4 M 0 100000 0 D 2009-01-31 2018-01-30 Common Stock 100000 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 reported person will retain the balance of the nets shares in accordance with the Company's retention guidelines for executives. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.79 to $99.00. 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. Includes shares acquired pursuant to dividend reinvestment. 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." /s/ Tangela S. Richter, attorney-in-fact 2017-12-13