0001127602-13-029554.txt : 20131021 0001127602-13-029554.hdr.sgml : 20131021 20131021161213 ACCESSION NUMBER: 0001127602-13-029554 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131018 FILED AS OF DATE: 20131021 DATE AS OF CHANGE: 20131021 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glenn William H CENTRAL INDEX KEY: 0001446121 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 131161587 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2013-10-18 0000004962 AMERICAN EXPRESS CO AXP 0001446121 Glenn William H 200 VESEY STREET NEW YORK NY 10285 1 Pres, Global Corp Payments Common Stock 2013-10-18 4 M 0 26275 45.768 A 96537 D Common Stock 2013-10-18 4 M 0 34272 45.768 A 130809 D Common Stock 2013-10-18 4 M 0 19421 48.083 A 150230 D Common Stock 2013-10-18 4 M 0 110000 51.865 A 260230 D Common Stock 2013-10-18 4 S 0 172452 79.7542 D 87778 D Common Stock 169.45 I 401(k) Plan Employee Stock Option (Right to Buy) 45.768 2013-10-18 4 M 0 26275 0 D 2006-01-24 2015-01-23 Common Stock 26275 0 D Employee Stock Option (Right to Buy) 45.768 2013-10-18 4 M 0 34272 0 D 2006-01-24 2015-01-23 Common Stock 34272 0 D Employee Stock Option (Right to Buy) 48.083 2013-10-18 4 M 0 19421 0 D 2006-07-25 2015-07-24 Common Stock 19421 0 D Employee Stock Option (Right to Buy) 51.865 2013-10-18 4 M 0 110000 0 D 2007-01-23 2016-01-22 Common Stock 110000 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 exercises reported above and the sale of 50% of the net shares acquired from these exercises; 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 $79.58 to $79.91. 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. 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. These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." /s/ Michael G. Kuchs, attorney-in-fact 2013-10-21