Home > Insider Trading > Filing (0001127602-16-069038)

Filing Details

Accession Number:: 0001127602-16-069038
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-12-02 18:16:24
Reporting Period:: 2016-12-01

Filing Date:: 2016-12-02
Accepted Time:: 2016-12-02 18:16:24
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
1302528	Kevin L Cox	200 Vesey Street, American Express Tower New York NY 10285-5001	Chief Human Resources Officer	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	Explanation
Common Stock	Acquisiton	2016-12-01	52,903	$49.13	52,903	No	4	M	Direct
Common Stock	Disposition	2016-12-01	48,970	$72.30	3,933	No	4	S	Direct
Common Stock	Disposition	2016-12-01	3,932	$72.30	22,068	No	4	S	Indirect	By GRAT II

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	S	Indirect	By GRAT II

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	2016-12-01	52,903	$0.00	52,903	$49.13

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
72,097	2009-01-31	2018-01-30	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	22,359	Indirect	By GRAT I
Common Stock	53	Indirect	by 401(k) Trust

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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 31, 2016.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.79 to $72.72. 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.
This balance also reflects the prior transfer of shares from the reporting person's direct holdings to indirect holdings in the GRATs shown below.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.90 to $72.57. 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.
31,250 of the options exercised became exercisable on 1/31/2009; the balance became exercisable on 1/31/2010.