Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERICAN EXPRESS COAXP · Entity 2839 | Pres, Crdt Risk/Glbl Info Mgt | January 26, 2018 | January 30, 2018 |
| ENCORE CAPITAL GROUP INCECPG · Entity 1189 | Director | September 01, 2026 | September 03, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AMERICAN EXPRESS CO
Report date January 26, 2018 · Filed January 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 272,801 |
Ending reported balance
After 2018-01-26 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-01-26 · Grant · Acquired 13,777 · Balance 278,662 F1: Represents shares acquired pursuant to vesting of Restricted Stock Units that were granted to the reporting person in January 2015 and have vested based on the Company's 2015-17 return on average equity performance. Row 2 · 2018-01-26 · Tax withholding · Disposed 5,861 · Balance 272,801 F2: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $83.30 · Expires 2025-01-26 | Direct | 13,777 |
Reported balance
After 2018-01-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-01-26 · Grant · Acquired 13,777 · Balance 13,777 F3: The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in January 2015. These options became exercisable on January 26, 2018 based on the Company's positive cumulative net income over the three year performance period. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares acquired pursuant to vesting of Restricted Stock Units that were granted to the reporting person in January 2015 and have vested based on the Company's 2015-17 return on average equity performance.
F2: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units.
F3: The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in January 2015. These options became exercisable on January 26, 2018 based on the Company's positive cumulative net income over the three year performance period.
ENCORE CAPITAL GROUP INC
Report date September 01, 2026 · Filed September 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 105,927 |
Reported balance
After 2026-09-01 transaction · row 1
1 source rowRow 1 · 2026-09-01 · Grant · Acquired 291 · Balance 105,927 F1: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2017 Incentive Award Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2017 Incentive Award Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 12, 2017 Filed Dec 14, 2017 15:22 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 29,533 | $16.71 | $493,496.43 |
DisclosureSEC source: 0001127602-17-034614 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,565 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 15:22 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 30,000 | $16.71 | $501,300.00 |
DisclosureSEC source: 0001127602-17-034614 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,032 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 15:22 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 30,000 | $16.71 | $501,300.00 |
DisclosureSEC source: 0001127602-17-034614 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,032 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 01, 2017 Filed Dec 4, 2017 23:28 UTC | ENCORE CAPITAL GROUP INC ECPG · Entity 1189 | GrantCommon Stock | 384 | $45.55 | $17,491.20 |
DisclosureSEC source: 0001084961-17-000137 · wf-form4_151243010901103.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,208 F1 · shares: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2017 Incentive Award Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · derivative · entry 9 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,533 Underlying: Common Stock · 30,000 shares Expires 2019-01-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: These options became exercisable in four annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · derivative · entry 8 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,533 Underlying: Common Stock · 30,000 shares Expires 2019-01-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: These options became exercisable in four annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · derivative · entry 7 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,533 Underlying: Common Stock · 30,000 shares Expires 2019-01-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: These options became exercisable in four annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 19,102 | $95.09 | $1,816,409.18 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · nonDerivative · entry 6 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,032 F1 · kind: 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.05 to $95.12. 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. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 19,102 | $95.07 | $1,816,027.14 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · nonDerivative · entry 5 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,134 F1 · kind: 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.00 to $95.13. 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. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 19,102 | $94.96 | $1,813,925.92 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · nonDerivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,236 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.73 to $95.19. 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. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 30,000 | $16.71 | $501,300.00 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,338 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 30,000 | $16.71 | $501,300.00 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,338 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 20:33 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 30,000 | $16.71 | $501,300.00 |
DisclosureSEC source: 0001127602-17-033529 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,338 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 31, 2017 Filed Nov 1, 2017 20:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $49.13 | $0.00 |
DisclosureSEC source: 0001127602-17-030791 · form4.xml · derivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 115,000 shares Expires 2018-01-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These options became exercisable in four annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| October 31, 2017 Filed Nov 1, 2017 20:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 90,658 | $94.71 | $8,586,219.18 |
DisclosureSEC source: 0001127602-17-030791 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,338 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.58 to $95.04. 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. Read SEC document |
| October 31, 2017 Filed Nov 1, 2017 20:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 115,000 | $49.13 | $5,649,950.00 |
DisclosureSEC source: 0001127602-17-030791 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,996 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 01, 2017 Filed Sep 6, 2017 00:38 UTC | ENCORE CAPITAL GROUP INC ECPG · Entity 1189 | GrantCommon Stock | 449 | $41.20 | $18,498.80 |
DisclosureSEC source: 0001084961-17-000115 · wf-form4_150465832293211.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,824 F1 · shares: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2017 Incentive Award Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 20:31 UTC | ENCORE CAPITAL GROUP INC ECPG · Entity 1189 | GrantCommon Stock | 2,962 | $40.50 | $119,961.00 |
DisclosureSEC source: 0001084961-17-000081 · wf-form4_149850909359500.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,375 F1 · shares: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2017 Incentive Award Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 21:10 UTC | ENCORE CAPITAL GROUP INC ECPG · Entity 1189 | GrantCommon Stock | 517 | $37.65 | $19,465.05 |
DisclosureSEC source: 0001084961-17-000060 · wf-form4_149669699055614.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,413 F1 · shares: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2013 Incentive Compensation Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 02:51 UTC | ENCORE CAPITAL GROUP INC ECPG · Entity 1189 | GrantCommon Stock | 543 | $32.17 | $17,468.31 |
DisclosureSEC source: 0001084961-17-000030 · wf-form4_148850944883452.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,896 F1 · shares: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2013 Incentive Compensation Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $58.54 | $0.00 |
DisclosureSEC source: 0001127602-17-008946 · form4.xml · derivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2017-07-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: These options vested and became exercisable 25% each year starting 7/31/2008. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 15,000 | $58.54 | $878,100.00 |
DisclosureSEC source: 0001127602-17-008946 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,996 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 28, 2017 Filed Jan 31, 2017 22:18 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 12,184 | $0.00 Strike: $86.64 | $0.00 |
DisclosureSEC source: 0001127602-17-003149 · form4.xml · derivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,184 Underlying: Common Stock · 12,184 shares Expires 2024-01-28 F3 · kind: The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in January 2014. These options became exercisable on January 28, 2017 based on the Company's positive cumulative net income over the three year performance period. Read SEC document |
| January 28, 2017 Filed Jan 31, 2017 22:18 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 5,068 | $76.85 | $389,475.80 |
DisclosureSEC source: 0001127602-17-003149 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,996 F2 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. Read SEC document |
| January 28, 2017 Filed Jan 31, 2017 22:18 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 12,184 | $76.85 | $936,340.40 |
DisclosureSEC source: 0001127602-17-003149 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,064 F1 · kind: Represents shares acquired pursuant to vesting of Restricted Stock Units ("performance units") that were granted to the reporting person in January 2014 and have vested based on the Company's 2014-16 return on average equity performance. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 21:20 UTC | ENCORE CAPITAL GROUP INC ECPG · Entity 1189 | GrantCommon Stock | 649 | $26.95 | $17,490.55 |
DisclosureSEC source: 0001084961-16-000231 · wf-form4_148097278247854.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,353 F1 · shares: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2013 Incentive Compensation Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 22:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $57.77 | $0.00 |
DisclosureSEC source: 0001127602-16-067257 · form4.xml · derivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 150,000 shares Expires 2017-01-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: 50,000 of these options became exercisable on 1/25/2011; the remaining 100,000 became exercisable on 1/25/2012. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 22:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 8,930 | $72.42 | $646,728.46 |
DisclosureSEC source: 0001127602-16-067257 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,880 Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 22:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 137,100 | $72.27 | $9,908,217.00 |
DisclosureSEC source: 0001127602-16-067257 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,810 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.14 to $72.42. 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. Read SEC document |
| November 14, 2016 Filed Nov 15, 2016 22:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 150,000 | $57.77 | $8,665,500.00 |
DisclosureSEC source: 0001127602-16-067257 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 298,910 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $57.77 | $0.00 |
DisclosureSEC source: 0001127602-16-065162 · form4.xml · derivative · entry 5 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 50,000 shares Expires 2017-01-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $57.77 | $0.00 |
DisclosureSEC source: 0001127602-16-065162 · form4.xml · derivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2017-01-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These shares become exercisable in four annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 140,808 | $67.18 | $9,459,481.44 |
DisclosureSEC source: 0001127602-16-065162 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,910 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.09 to $67.36. 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. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 50,000 | $57.77 | $2,888,500.00 |
DisclosureSEC source: 0001127602-16-065162 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,718 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 100,000 | $57.77 | $5,777,000.00 |
DisclosureSEC source: 0001127602-16-065162 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Crdt Risk/Glbl Info Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,718 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 01, 2016 Filed Sep 6, 2016 20:45 UTC | ENCORE CAPITAL GROUP INC ECPG · Entity 1189 | GrantCommon Stock | 541 | $21.56 | $11,663.96 |
DisclosureSEC source: 0001084961-16-000211 · wf-form4_147319469642836.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,704 F1 · shares: Grant to the reporting person, for service on the Board of Directors of Encore Capital Group, Inc. ("Encore"), of deferred stock units under the terms of a non-employee director deferred compensation plan established under the 2013 Incentive Compensation Plan. Deferred stock units will be converted into shares of Encore common stock on a one-for-one basis upon distribution. The distribution of shares of common stock will occur within 10 business days following the fifth anniversary of the date the reporting person is no longer a member of the Board of Directors. Read SEC document |
| January 29, 2016 Filed Feb 2, 2016 20:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 17,612 | $0.00 Strike: $59.45 | $0.00 |
DisclosureSEC source: 0001127602-16-039023 · form4.xml · derivative · entry 5 Gupta Ashwini · CIK 0001405635 · Pres, Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,612 Underlying: Common Stock · 17,612 shares Expires 2023-01-29 F4 · date: The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in January 2013. These options became exercisable on January 29, 2016 based on the Company's positive cumulative net income over the three year performance period. Read SEC document |
| January 29, 2016 Filed Feb 2, 2016 20:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 8,605 | $53.50 | $460,367.50 |
DisclosureSEC source: 0001127602-16-039023 · form4.xml · nonDerivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres, Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,718 F2 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. Read SEC document |
| January 29, 2016 Filed Feb 2, 2016 20:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 16,820 | $53.50 | $899,870.00 |
DisclosureSEC source: 0001127602-16-039023 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres, Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,323 F3 · kind: Represents shares acquired pursuant to vesting of Restricted Stock Units that were granted to the reporting person in January 2013 and have vested based on the Company's positive cumulative net income over the three year performance period. Read SEC document |
| January 29, 2016 Filed Feb 2, 2016 20:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 6,781 | $53.50 | $362,783.50 |
DisclosureSEC source: 0001127602-16-039023 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres, Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,503 F2 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. Read SEC document |
| January 29, 2016 Filed Feb 2, 2016 20:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 18,193 | $53.50 | $973,325.50 |
DisclosureSEC source: 0001127602-16-039023 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres, Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,284 F1 · kind: Represents shares acquired pursuant to vesting of Restricted Stock Units ("performance units") that were granted to the reporting person in January 2013 and have vested based on the Company's 2013-15 return on average equity performance. Read SEC document |
| November 20, 2015 Filed Nov 24, 2015 19:08 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 110,000 | $0.00 Strike: $51.87 | $0.00 |
DisclosureSEC source: 0001127602-15-032449 · form4.xml · derivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 110,000 shares Expires 2016-01-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These shares become exercisable in four annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| November 20, 2015 Filed Nov 24, 2015 19:08 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 103,084 | $72.48 | $7,471,085.06 |
DisclosureSEC source: 0001127602-15-032449 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,091 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.40 to $72.63. 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. Read SEC document |
| November 20, 2015 Filed Nov 24, 2015 19:08 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 110,000 | $51.87 | $5,705,150.00 |
DisclosureSEC source: 0001127602-15-032449 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,175 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 12, 2015 Filed Mar 16, 2015 21:56 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | OtherPhantom Stock Units · Derivative | 580.0817 | $81.56 | $47,311.46 |
DisclosureSEC source: 0001127602-15-011470 · form4.xml · derivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 580.0817 shares Expires not disclosed F1 · derivative.exercise_price: The phantom stock units will convert into common stock equivalents on a one-for-one basis at settlement, upon the reporting person's retirement or other termination of service. F2 · derivative.exercise_date: The units are to be settled in cash based on the Company's stock price at settlement. F2 · derivative.expiration_date: The units are to be settled in cash based on the Company's stock price at settlement. Read SEC document |
| March 12, 2015 Filed Mar 16, 2015 21:56 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | OtherCommon Stock | 60.2292 | $81.56 | $4,912.29 |
DisclosureSEC source: 0001127602-15-011470 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Indirect · by 401(k) Trust Disclosed balance after: 0 Read SEC document |
| January 26, 2015 Filed Jan 28, 2015 23:32 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 7,748 | $83.30 | $645,408.40 |
DisclosureSEC source: 0001127602-15-003108 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,175 F2 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. Read SEC document |
| January 26, 2015 Filed Jan 28, 2015 23:32 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 16,955 | $83.30 | $1,412,351.50 |
DisclosureSEC source: 0001127602-15-003108 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,923 F1 · kind: Represents shares acquired pursuant to vesting of Restricted Stock Units ("performance units") that were granted to the reporting person in January 2012 and have vested based on the Company's 2012-15 return on average equity performance. Pursuant to the Company's stock ownership guidelines, the reporting person is required to hold a portion of shares received upon vesting for a period of time. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 962 | $85.72 | $82,462.64 |
DisclosureSEC source: 0001127602-14-003326 · form4.xml · nonDerivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,968 F2 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 1,723 | $85.72 | $147,695.56 |
DisclosureSEC source: 0001127602-14-003326 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,930 F1 · kind: Shares acquired pursuant to the vesting of Restricted Stock Units (i.e., "performance units") previously granted to the reporting person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.