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 |
|---|---|---|---|---|---|---|
| January 27, 2014 Filed Jan 29, 2014 21:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 10,323 | $85.72 | $884,887.56 |
DisclosureSEC source: 0001127602-14-003326 · 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: 103,207 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 | 18,492 | $85.72 | $1,585,134.24 |
DisclosureSEC source: 0001127602-14-003326 · 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: 113,530 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 |
| December 03, 2013 Filed Dec 5, 2013 21:12 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 13,709 | $0.00 Strike: $45.77 | $0.00 |
DisclosureSEC source: 0001127602-13-033785 · form4.xml · derivative · entry 6 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt & AXP CRO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,709 shares Expires 2015-01-23 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. F4 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| December 03, 2013 Filed Dec 5, 2013 21:12 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 114,240 | $0.00 Strike: $45.77 | $0.00 |
DisclosureSEC source: 0001127602-13-033785 · 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: 0 Underlying: Common Stock · 114,240 shares Expires 2015-01-23 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. F4 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| December 03, 2013 Filed Dec 5, 2013 21:12 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 102,500 | $84.37 | $8,648,089.00 |
DisclosureSEC source: 0001127602-13-033785 · 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: 95,038 F1 · kind: The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the exercise of employee stock options. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.20 to $84.76. 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 |
| December 03, 2013 Filed Dec 5, 2013 21:12 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 13,709 | $45.77 | $627,433.51 |
DisclosureSEC source: 0001127602-13-033785 · 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: 197,538 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 03, 2013 Filed Dec 5, 2013 21:12 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 114,240 | $45.77 | $5,228,536.32 |
DisclosureSEC source: 0001127602-13-033785 · 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: 183,829 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, 2013 Filed Jan 31, 2013 01:16 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 29,302 | $59.07 | $1,730,869.14 |
DisclosureSEC source: 0001127602-13-003260 · 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: 69,589 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, 2013 Filed Jan 31, 2013 01:16 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 52,493 | $59.07 | $3,100,761.51 |
DisclosureSEC source: 0001127602-13-003260 · 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: 98,891 F1 · kind: Shares acquired pursuant to the vesting of Restricted Stock Units (i.e., "performance units") granted to the reporting person on January 26, 2010. Read SEC document |
| January 28, 2013 Filed Jan 31, 2013 01:16 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 962 | $59.07 | $56,825.34 |
DisclosureSEC source: 0001127602-13-003260 · 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: 46,398 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, 2013 Filed Jan 31, 2013 01:16 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 1,722 | $59.07 | $101,718.54 |
DisclosureSEC source: 0001127602-13-003260 · 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: 47,360 F1 · kind: Shares acquired pursuant to the vesting of Restricted Stock Units (i.e., "performance units") granted to the reporting person on January 26, 2010. Read SEC document |
| January 24, 2013 Filed Jan 28, 2013 21:26 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | OtherCommon Stock | 18,431.95 | $59.30 | $1,093,014.64 |
DisclosureSEC source: 0001127602-13-002879 · form4.xml · nonDerivative · entry 2 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 F2 · shares: 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. Read SEC document |
| December 21, 2012 Filed Jan 28, 2013 21:26 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GiftCommon Stock | 53,482 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001127602-13-002879 · 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: 45,638 F1 · kind: The reported disposition represents a bona fide gift by the reporting person to a trust for the benefit of family members. F1 · price: The reported disposition represents a bona fide gift by the reporting person to a trust for the benefit of family members. Read SEC document |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 142,800 | $0.00 Strike: $43.98 | $0.00 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · derivative · entry 11 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 142,800 shares Expires 2014-01-25 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. F4 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 51,408 | $0.00 Strike: $39.91 | $0.00 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · derivative · entry 10 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 51,408 shares Expires 2013-09-30 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. F4 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 19,421 | $0.00 Strike: $39.88 | $0.00 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · derivative · entry 9 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,421 shares Expires 2013-07-27 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. F4 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 71,971 | $0.00 Strike: $29.24 | $0.00 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · derivative · entry 8 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 71,971 shares Expires 2013-01-26 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. F4 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 258,177 | $60.90 | $15,723,005.12 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · nonDerivative · entry 5 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,120 F1 · kind: The reported disposition represents the sale of shares to cover the cost of exercise and withholding tax obligations arising from the stock options exercises reported above and the sale of 50% of the net shares acquired from these exercises; Mr. Gupta will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.90 to $60.91. 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 |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 142,800 | $43.98 | $6,279,915.60 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · nonDerivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,297 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 |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 51,408 | $39.91 | $2,051,539.06 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,497 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 |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 19,421 | $39.88 | $774,431.80 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,089 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 |
| May 03, 2012 Filed May 7, 2012 16:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 71,971 | $29.24 | $2,104,360.07 |
DisclosureSEC source: 0001127602-12-016004 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,668 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 26, 2012 Filed Jan 30, 2012 23:12 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 622 | $49.98 | $31,087.56 |
DisclosureSEC source: 0001127602-12-003046 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,697 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, 2012 Filed Jan 30, 2012 23:12 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 1,722 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-12-003046 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,319 F1 · kind: Shares acquired pursuant to the vesting of Restricted Stock Units (i.e., "performance units") granted to the reporting person on January 26, 2010. Read SEC document |
| January 24, 2012 Filed Jan 26, 2012 22:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 16,494 | $0.00 Strike: $49.23 | $0.00 |
DisclosureSEC source: 0001127602-12-002629 · form4.xml · derivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,494 Underlying: Common Stock · 16,494 shares Expires 2022-01-23 F1 · derivative.exercise_date: These shares become exercisable in four cumulative annual installments of 25% each beginning on date shown as "Date Exercisable." Read SEC document |
| December 30, 2011 Filed Jan 26, 2012 22:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GiftCommon Stock | 1,060 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-12-002629 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Indirect · by family trust Disclosed balance after: 1,060 Read SEC document |
| December 30, 2011 Filed Jan 26, 2012 22:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GiftCommon Stock | 1,060 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-12-002629 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,597 Read SEC document |
| April 29, 2011 Filed May 3, 2011 21:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 79,968 | $0.00 Strike: $31.94 | $0.00 |
DisclosureSEC source: 0001127602-11-014788 · form4.xml · derivative · entry 6 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 79,968 shares Expires 2012-01-27 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 three annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| April 29, 2011 Filed May 3, 2011 21:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 7,394 | $49.00 | $362,306.00 |
DisclosureSEC source: 0001127602-11-014788 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,657 Read SEC document |
| April 29, 2011 Filed May 3, 2011 21:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 72,574 | $49.00 | $3,556,126.00 |
DisclosureSEC source: 0001127602-11-014788 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,051 F1 · kind: 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. Read SEC document |
| April 29, 2011 Filed May 3, 2011 21:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 79,968 | $31.94 | $2,554,257.89 |
DisclosureSEC source: 0001127602-11-014788 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,625 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 27, 2011 Filed Jan 28, 2011 23:59 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 18,130 | $0.00 Strike: $44.54 | $0.00 |
DisclosureSEC source: 0001127602-11-002752 · form4.xml · derivative · entry 5 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,130 Underlying: Common Stock · 18,130 shares Expires 2021-01-27 F4 · derivative.exercise_date: These options become exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 23:59 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 682 | $44.46 | $30,321.72 |
DisclosureSEC source: 0001127602-11-002752 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,657 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, 2011 Filed Jan 28, 2011 23:59 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 1,722 | $44.46 | $76,560.12 |
DisclosureSEC source: 0001127602-11-002752 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,339 F1 · kind: Shares acquired pursuant to the vesting of Restricted Stock Units (i.e., "performance units") granted to the reporting person on January 26, 2010. Read SEC document |
| November 05, 2010 Filed Nov 9, 2010 21:28 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 79,968 | $0.00 Strike: $38.92 | $0.00 |
DisclosureSEC source: 0001127602-10-027516 · form4.xml · derivative · entry 5 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 79,968 shares Expires 2011-02-25 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 vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| November 05, 2010 Filed Nov 9, 2010 21:28 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 2,496 | $44.03 | $109,907.12 |
DisclosureSEC source: 0001127602-10-027516 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,617 F3 · shares: These shares were originally acquired from previous stock option exercises or restricted stock vestings under registered Company plans or pursuant to dividend reinvestment. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.02 to $44.084. 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 05, 2010 Filed Nov 9, 2010 21:28 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 77,472 | $44.03 | $3,411,347.82 |
DisclosureSEC source: 0001127602-10-027516 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,113 F1 · shares: Of the 79,968 shares acquired pursuant to the employee stock option exercise reported above, approximately 74,977 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.02 to $44.084. 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 05, 2010 Filed Nov 9, 2010 21:28 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 79,968 | $38.92 | $3,112,514.50 |
DisclosureSEC source: 0001127602-10-027516 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,585 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 26, 2010 Filed Jan 29, 2010 00:49 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 82,677 | $0.00 Strike: $38.10 | $0.00 |
DisclosureSEC source: 0001127602-10-002475 · form4.xml · derivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,677 Underlying: Common Stock · 82,677 shares Expires 2020-01-26 F1 · derivative.exercise_date: These options become exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| January 29, 2009 Filed Feb 2, 2009 22:44 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 179,533 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001127602-09-002283 · form4.xml · derivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,533 Underlying: Common Stock · 179,533 shares Expires 2019-01-28 F1 · derivative.exercise_date: These shares become exercisable in four cumulative annual installments of 25% each beginning on date shown as "Date Exercisable." Read SEC document |
| January 23, 2009 Filed Jan 27, 2009 22:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 656 | $15.52 | $10,177.84 |
DisclosureSEC source: 0001127602-09-001775 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,617 F1 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of a restricted stock award. Read SEC document |
| June 05, 2008 Filed Jun 6, 2008 19:02 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 15,000 | $47.33 | $709,950.00 |
DisclosureSEC source: 0001127602-08-004032 · form4.xml · nonDerivative · entry 6 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,273 Read SEC document |
| June 04, 2008 Filed Jun 6, 2008 19:02 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 15,800 | $46.21 | $730,118.00 |
DisclosureSEC source: 0001127602-08-004032 · form4.xml · nonDerivative · entry 5 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,273 Read SEC document |
| June 04, 2008 Filed Jun 6, 2008 19:02 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 12,356 | $46.20 | $570,847.20 |
DisclosureSEC source: 0001127602-08-004032 · form4.xml · nonDerivative · entry 4 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,073 Read SEC document |
| June 04, 2008 Filed Jun 6, 2008 19:02 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 1,500 | $46.24 | $69,360.00 |
DisclosureSEC source: 0001127602-08-004032 · form4.xml · nonDerivative · entry 3 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,429 Read SEC document |
| June 04, 2008 Filed Jun 6, 2008 19:02 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 1,300 | $46.22 | $60,086.00 |
DisclosureSEC source: 0001127602-08-004032 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,929 Read SEC document |
| June 04, 2008 Filed Jun 6, 2008 19:02 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 500 | $46.23 | $23,115.00 |
DisclosureSEC source: 0001127602-08-004032 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,229 Read SEC document |
| January 31, 2008 Filed Feb 4, 2008 21:48 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $49.13 | $0.00 |
DisclosureSEC source: 0001127602-08-000626 · form4.xml · derivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2018-01-30 F1 · derivative.exercise_date: These shares become exercisable in four cumulative annual installments of 25% each beginning on date shown as "Date Exercisable." Read SEC document |
| January 26, 2008 Filed Jan 28, 2008 20:51 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 3,862 | $46.63 | $180,085.06 |
DisclosureSEC source: 0001127602-08-000482 · form4.xml · nonDerivative · entry 2 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,729 F1 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of a restricted stock award. Read SEC document |
| January 24, 2008 Filed Jan 28, 2008 20:51 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 634 | $47.53 | $30,134.02 |
DisclosureSEC source: 0001127602-08-000482 · form4.xml · nonDerivative · entry 1 Gupta Ashwini · CIK 0001405635 · Pres-Risk/Info Mgmt/Banking Gp 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,591 F1 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of a restricted stock award. 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.