Home > Insider Trading > Filing (0001127602-13-029512)

Filing Details

Accession Number:: 0001127602-13-029512
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-10-18 17:02:57
Reporting Period:: 2013-10-18

Filing Date:: 2013-10-18
Accepted Time:: 2013-10-18 17:02:57
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
4962	American Express Co	AXP	Finance Services (6199)	134922250

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1209456	M Louise Parent	3 World Financial Center 200 Vesey St, American Express Tower New York NY 10285	Evp, General Counsel	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2013-10-18	130,000	$49.13	215,472	No	4	M	Direct
Common Stock	Disposition	2013-10-18	117,975	$79.64	97,497	No	4	S	Direct
Common Stock	Disposition	2013-10-18	12,025	$79.60	85,472	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (Right to Buy)	Disposition	2013-10-18	130,000	$0.00	130,000	$49.13

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2009-01-31	2018-01-30	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	85	Indirect	By 401(k) Plan

Footnotes

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 $79.42 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.
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 $79.60 to $79.605. 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.
These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable."