0001127602-16-053347.txt : 20160525 0001127602-16-053347.hdr.sgml : 20160525 20160525132134 ACCESSION NUMBER: 0001127602-16-053347 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160524 FILED AS OF DATE: 20160525 DATE AS OF CHANGE: 20160525 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: O'Neill Michael John CENTRAL INDEX KEY: 0001621075 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 161674127 MAIL ADDRESS: STREET 1: 200 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10285 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-05-24 0000004962 AMERICAN EXPRESS CO AXP 0001621075 O'Neill Michael John 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 EVP, Corp Affairs & Comm Common Stock 2016-05-24 4 M 0 16600 57.77 A 46928.57 D Common Stock 2016-05-24 4 M 0 37500 49.13 A 84428.57 D Common Stock 2016-05-24 4 S 0 51690 64.95 D 32738.57 D Common Stock 1013.345 I by 401(k) Plan Employee Stock Option (Right to Buy) 57.77 2016-05-24 4 M 0 16600 0 D 2010-01-25 2017-01-25 Common Stock 16600 0 D Employee Stock Option (Right to Buy) 49.13 2016-05-24 4 M 0 37500 0 D 2009-01-31 2018-01-31 Common Stock 37500 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 $64.84 to $65.10. 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. Includes shares acquired pursuant to dividend reinvestment. 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. 7,450 of these options became exercisable on January 25, 2010 and 9,150 of these options became exercisable on January 25, 2011. These options became exercisable in four equal annual installments beginning on the date shown as "Date Exercisable." /s/ Emily T. Epstein, attorney-in-fact 2016-05-25