Filing Details
- Accession Number:
- 0001127602-14-005139
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-07 16:25:21
- Reporting Period:
- 2014-02-06
- Filing Date:
- 2014-02-07
- Accepted Time:
- 2014-02-07 16:25:21
- 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 |
|---|---|---|---|---|---|---|---|
| 1215315 | H Daniel Schulman | 3 World Financial Center 200 Vesey Street, American Express Tower New York NY 10285 | Group Pres, Enterprise Growth | 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 | 2014-02-06 | 94,055 | $39.87 | 127,152 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-06 | 77,466 | $85.20 | 49,686 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2014-02-06 | 94,055 | $0.00 | 94,055 | $39.87 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 31,352 | 2011-08-31 | 2020-08-31 | No | 4 | M | Direct |
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 25% of the net shares acquired from this exercise; the reporting person will retain 75% 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 $85.05 to $85.39. 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.
- One-third of the options exercised became exercisable on 8/31/2011, one-third on 8/31/2012, and one-third on 8/31/2013.
Billionaire Hedge Funds
