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