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Home > Insider Trading > Filing (0001127602-14-008709)

Filing Details

Accession Number:
0001127602-14-008709
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-26 17:09:44
Reporting Period:
2014-02-26
Filing Date:
2014-02-26
Accepted Time:
2014-02-26 17:09:44
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
1180524 I Kenneth Chenault 3 World Financial Center
200 Vesey St, American Express Tower
New York NY 10285		 Chief Executive Officer Yes 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 2014-02-26 425,000 $51.87 1,177,493 No 4 M Direct
Common Stock Acquisiton 2014-02-26 312,500 $57.77 1,489,993 No 4 M Direct
Common Stock Disposition 2014-02-26 666,615 $89.66 823,378 No 4 S Direct
Common Stock Disposition 2014-02-26 50,280 $90.26 773,098 No 4 S Direct
Common Stock Disposition 2014-02-26 39,328 $89.37 733,770 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S 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 2014-02-26 425,000 $0.00 425,000 $51.87
Common Stock Employee Stock Option (Right to Buy) Disposition 2014-02-26 312,500 $0.00 312,500 $57.77
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2007-01-23 2016-01-23 No 4 M Direct
312,500 2008-01-25 2017-01-24 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 26,148 Indirect By Wife
Common Stock 4,158 Indirect Wife As Trustee/custodian
Common Stock 59,122 Indirect by trust fbo children
Common Stock 67,568 Indirect by trust fbo children
Common Stock 2,850 Indirect by son
Common Stock 23,610 Indirect By 401(k) Plan
Footnotes
  1. The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock option exercises reported above, the sale of 50% of the net shares acquired from these exercises, and the sale of net shares from previous restricted stock vestings.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.21 to $90.20. 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.21 to $90.35. 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.
  4. The reported disposition represents the sale of shares acquired from restricted stock vestings and/or stock option exercises in prior years.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.275 to $89.70. 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.
  6. The reporting person will retain 50% of the net shares from the stock option exercises reported above for one year in accordance with the Company's retention guidelines for executive officers.
  7. 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.
  8. These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable."
  9. One-half of the options exercised became exercisable on 1/25/2008, and one-half became exercisable on 1/25/2009.