Filing Details

Accession Number:
0001127602-11-014386
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-05-02 17:44:30
Reporting Period:
2011-04-28
Filing Date:
2011-05-02
Accepted Time:
2011-05-02 17:44:30
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
1209446 D John Hayes 3 World Financial Center
200 Vesey St, American Express Tower
New York NY 10285
Evp, Advertising 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 2011-04-28 70,218 $29.24 171,044 No 4 M Direct
Common Stock Disposition 2011-04-28 63,009 $47.59 108,035 No 4 S Direct
Common Stock Disposition 2011-04-28 7,209 $47.73 100,826 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 2011-04-28 70,218 $0.00 70,218 $29.24
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2006-01-27 2013-01-26 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,768 Indirect By Isp Trust
Footnotes
  1. Of the 70,218 shares acquired pursuant to the employee stock option exercise reported above, approximately 55,800 shares were sold to cover the cost of exercise and withholding taxes. Mr. Hayes retained 50% of the net shares acquired from this option exercise.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.25 to $47.85. 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. 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.
  4. 27,663 of the options exercised became exercisable on 1/27/2006; the balance became exercisable on 1/27/2007.