0001127602-17-034614.txt : 20171214
0001127602-17-034614.hdr.sgml : 20171214
20171214102254
ACCESSION NUMBER: 0001127602-17-034614
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171212
FILED AS OF DATE: 20171214
DATE AS OF CHANGE: 20171214
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gupta Ashwini
CENTRAL INDEX KEY: 0001405635
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07657
FILM NUMBER: 171255378
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
2017-12-12
0000004962
AMERICAN EXPRESS CO
AXP
0001405635
Gupta Ashwini
200 VESEY STREET, AMERICAN EXPRESS TOWER
NEW YORK
NY
10285-5001
1
Pres, Crdt Risk/Glbl Info Mgt
Common Stock
2017-12-12
4
M
0
30000
16.71
A
262032
D
Common Stock
2017-12-12
4
M
0
30000
16.71
A
292032
D
Common Stock
2017-12-12
4
M
0
29533
16.71
A
321565
D
Common Stock
2017-12-12
4
S
0
18992
99.09
D
302573
D
Common Stock
2017-12-12
4
S
0
18992
99.37
D
283581
D
Common Stock
2017-12-12
4
S
0
18696
99.46
D
264885
D
Employee Stock Option (Right to Buy)
16.71
2017-12-12
4
M
0
30000
0
D
2010-01-29
2019-01-29
Common Stock
30000
59533
D
Employee Stock Option (Right to Buy)
16.71
2017-12-12
4
M
0
30000
0
D
2010-01-29
2019-01-29
Common Stock
30000
29533
D
Employee Stock Option (Right to Buy)
16.71
2017-12-12
4
M
0
29533
0
D
2010-01-29
2019-01-29
Common Stock
29533
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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.01 to $99.26. 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 $99.17 to $99.60. 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 $99.37 to $99.57. 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.
These options became exercisable in four annual installments beginning on date shown as "Date Exercisable."
/s/ Tangela S. Richter, attorney-in-fact
2017-12-14