-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MOw1uIFjVnwvVaviZ2qm7zRpKcTnl5/zCrSLIIpVistLJz5nzSokRJth7yivRQXS loa9rdcR3wpbT5g+znWI4A== 0000004962-03-000217.txt : 20031117 0000004962-03-000217.hdr.sgml : 20031117 20031117092509 ACCESSION NUMBER: 0000004962-03-000217 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20031117 ITEM INFORMATION: Other events FILED AS OF DATE: 20031117 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 031006738 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 8-K 1 covertibledebt.txt 8-K OF AMERICAN EXPRESS COMPANY SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 -------------------------- FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 -------------------------- Date of Report (Date of earliest event reported): November 17, 2003 -------------------------- AMERICAN EXPRESS COMPANY (Exact name of registrant as specified in its charter) -------------------------- New York 1-7657 13-4922250 - ---------------------------- ------------------------ ------------------- (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation or Identification No.) organization) 200 Vesey Street, World Financial Center New York, New York 10285 ---------------------------------------- ---------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (212) 640-2000 --------------------------------------------------- (Former name or former address, if changed since last report) ================================================================================ Item 5. Other events. On November 17, 2003, American Express Company issued a press release announcing that it intends to raise $1.8 billion through an offering of convertible debt securities due 2033. A copy of such press release is filed herein as Exhibit 99.1. Item 7. Financial Statements and Exhibits. (c) Exhibits 99.1 Copy of a press release issued by American Express Company, dated November 17, 2003, announcing that it intends to raise $1.8 billion through an offering of convertible debt securities due 2033. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. AMERICAN EXPRESS COMPANY (REGISTRANT) /s/ Stephen P. Norman ---------------------- Name: Stephen P. Norman Title: Secretary DATE: November 17, 2003 EXHIBIT INDEX Item No. Description - -------- ----------- 99.1 Copy of a press release issued by American Express Company, dated November 17, 2003, announcing that it intends to raise $1.8 billion through an offering of convertible debt securities due 2033. EX-99.1 P RELEASE 3 ex99_1convertibledebt.txt PRESS RELEASE OF AMERICAN EXPRESS COMPANY EXHIBIT 99.1 News Release News Release News Release News Release [LOGO] American Express Contact: Molly Faust 212/640-0624 molly.faust@aexp.com FOR IMMEDIATE RELEASE - -------------------------------------------------------------------------------- AMERICAN EXPRESS TO RAISE $1.8 BILLION FROM SALE OF CONVERTIBLE DEBT SECURITIES - -------------------------------------------------------------------------------- NEW YORK, November 17, 2003 - American Express Company (NYSE: AXP) announced today that it intends to raise $1.8 billion through an offering of convertible debt securities due 2033. American Express may raise up to an additional $200 million upon exercise of an option granted to the initial purchasers in connection with the offering. The convertible debt securities will be issued in a private placement and are expected to be resold by the initial purchasers to qualified institutional buyers under Rule 144A of the Securities Act of 1933, as amended. Neither the convertible debt securities nor the shares of common stock issuable upon conversion have been registered under the Securities Act of 1933 or any state securities laws, and until so registered, may not be offered or sold in the United States or any state absent registration or an applicable exemption from registration requirements. American Express expects to use the proceeds of the offering for general corporate purposes. This announcement is neither an offer to sell nor the solicitation of an offer to buy the convertible debt securities or any other securities and shall not constitute an offer, solicitation or sale in any jurisdiction in which such offer, solicitation or sale is unlawful. American Express Company (www.americanexpress.com) is a diversified worldwide travel, financial and network services company founded in 1850. It is a world leader in charge and credit cards, Travelers Cheques, travel, financial planning, business services, insurance, on-line brokerage and international banking. *** This release contains forward-looking statements about American Express Company's intention to raise funds from the sale of convertible debt securities and its expectations about the use of those funds, which statements are indicated by the words "will," "plan," "expect" and similar expressions. Such forward-looking statements are subject to risks and uncertainties. Readers are cautioned not to place undue reliance on such statements, which speak only as of the date on which they are made. The company undertakes no obligation to update or revise such forward-looking statements. -----END PRIVACY-ENHANCED MESSAGE-----