0001127602-13-003234.txt : 20130130
0001127602-13-003234.hdr.sgml : 20130130
20130130184152
ACCESSION NUMBER: 0001127602-13-003234
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130128
FILED AS OF DATE: 20130130
DATE AS OF CHANGE: 20130130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cox L Kevin
CENTRAL INDEX KEY: 0001302528
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07657
FILM NUMBER: 13560274
MAIL ADDRESS:
STREET 1: THE PEPSI BOTTLING GROUP, INC.
STREET 2: ONE PEPSI WAY
CITY: SOMERS
STATE: NY
ZIP: 10589
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
2013-01-28
0000004962
AMERICAN EXPRESS CO
AXP
0001302528
Cox L Kevin
3 WORLD FINANCIAL CENTER
200 VESEY ST, AMERICAN EXPRESS TOWER
NEW YORK
NY
10285
1
EVP, Human Resources
Common Stock
2013-01-28
4
F
0
931
59.07
D
100666
D
Common Stock
2013-01-28
4
F
0
33839
59.07
D
66827
D
Common Stock
2013-01-30
4
M
0
50868
16.71
A
117695
D
Common Stock
2013-01-30
4
S
0
43337
59.5136
D
74358
D
Common Stock
2013-01-30
4
S
0
1114
59.4718
D
73244
D
Common Stock
49.99
I
by 401(k) Trust
Employee Stock Option (Right to Buy)
16.71
2013-01-30
4
M
0
50868
0
D
2013-01-29
2019-01-28
Common Stock
50868
0
D
The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of a Restricted Stock Award.
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 and the sale of 50% of the net shares acquired from this exercise; the reporting person will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.45 to $59.60. 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 reported disposition represents the sale of shares acquired from the vesting of a restricted stock award on January 26, 2012.
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.
/s/ Michael G. Kuchs, attorney-in-fact
2013-01-30