0001127602-18-018786.txt : 20180524 0001127602-18-018786.hdr.sgml : 20180524 20180524163642 ACCESSION NUMBER: 0001127602-18-018786 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180522 FILED AS OF DATE: 20180524 DATE AS OF CHANGE: 20180524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Petrino Richard CENTRAL INDEX KEY: 0001736600 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-07657 FILM NUMBER: 18858333 MAIL ADDRESS: STREET 1: 200 VESEY STREET 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 2018-05-22 0000004962 AMERICAN EXPRESS CO AXP 0001736600 Petrino Richard 200 VESEY STREET, AMERICAN EXPRESS TOWER NEW YORK NY 10285-5001 1 EVP - Corporate Controller Common Stock 2018-05-22 4 M 0 8126 49.23 A 16198 D Common Stock 2018-05-22 4 S 0 8126 102.89 D 8072 D Common Stock 2018-05-22 4 S 0 1754 102.90 D 6318 D Common Stock 340 I by 401(k) Plan Employee Stock Option (Right to Buy) 49.23 2018-05-22 4 M 0 8126 0 D 2013-01-24 2022-01-24 Common Stock 8126 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 exercise reported above and the sale of 100% of the net shares acquired from this exercise. The reported disposition represents the sale of shares acquired from restricted stock vestings and/or stock option exercises in prior years. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.90 to $102.91. 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/ Tangela S. Richter, attorney-in-fact 2018-05-24