0001127602-19-002922.txt : 20190129 0001127602-19-002922.hdr.sgml : 20190129 20190129175338 ACCESSION NUMBER: 0001127602-19-002922 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181029 FILED AS OF DATE: 20190129 DATE AS OF CHANGE: 20190129 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: 19549746 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 2018-10-29 0000004962 AMERICAN EXPRESS CO AXP 0001477675 Buckminster Douglas E. 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 Grp Pres, Glb Consumer Svcs Common Stock 2018-10-29 5 G 0 E 500 D 33982.903 D Common Stock 2019-01-26 4 A 0 23505 100.77 A 57501.744 D Common Stock 2019-01-26 4 F 0 11046 100.77 D 46455.744 D Common Stock 32398 I By GRAT Common Stock 13450.63 I 401(k) Trust Employee Stock Option (Right to Buy) 55.09 2019-01-26 4 A 0 23505 0 A 2019-01-26 2026-01-26 Common Stock 23505 23505 D The reported disposition represents a bona fide charitable gift made by the reporting person. Includes the prior transfer of 18,734 shares from the reporting person's GRAT to direct holdings. Represents shares acquired pursuant to vesting of Restricted Stock Units that were granted to the reporting person in January 2016 and have vested based on the Company's 2016-18 return on average equity performance. The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. Includes shares acquired pursuant to dividend reinvestment. This balance reflects the prior transfer of 18,734 shares from the reporting person's GRAT to direct holdings. 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. The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in January 2016. These options became exercisable on January 26, 2019 based on the Company's positive cumulative net income over the three year performance period. /s/ Tangela S. Richter, attorney-in-fact 2019-01-29