Filing Details
- Accession Number:
- 0001127602-11-014788
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-03 18:23:43
- Reporting Period:
- 2011-04-29
- Filing Date:
- 2011-05-03
- Accepted Time:
- 2011-05-03 17:23:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1405635 | Ashwini Gupta | 3 World Financial Center 200 Vesey St., American Express Tower New York NY 10285 | Pres-Risk/Info Mgmt/Banking Gp | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-04-29 | 79,968 | $31.94 | 151,625 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-29 | 72,574 | $49.00 | 79,051 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-04-29 | 7,394 | $49.00 | 71,657 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2011-04-29 | 79,968 | $0.00 | 79,968 | $31.94 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2003-01-28 | 2012-01-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 760 | Indirect | custodian for children |
| Common Stock | 18,074 | Indirect | by 401(k) Trust |
Footnotes
- Of the 79,968 shares acquired pursuant to the employee stock option exercise reported above, approximately 65,181 shares were sold to cover the cost of exercise and withholding taxes. Mr. Gupta retained 50% of the net shares acquired from this option exercise.
- 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 shares become exercisable in three annual installments beginning on date shown as "Date Exercisable."
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