Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERICAN EXPRESS COAXP · Entity 2839 | Advisor to the Board | December 31, 2015 | January 05, 2016 |
| RTX CorpUTX · Entity 2823 | Director | April 27, 2007 | April 30, 2007 |
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 December 31, 2015 · Filed January 05, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Share Equivalent UnitsSEC Table II · derivative / convertible security | Direct | 41,284.202 |
Reported balance
After 2015-12-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2015-12-31 · Grant · Acquired 566.71 · Balance 41,284.202 F1: The Share Equivalent Units convert into common stock on a one-for-one basis. F2: The reported Share Equivalent Units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in cash following termination of service as a Director. F3: The Share Equivalent Units are convertible immediately and have no expiration date. F4: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: The Share Equivalent Units convert into common stock on a one-for-one basis.
F2: The reported Share Equivalent Units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in cash following termination of service as a Director.
F3: The Share Equivalent Units are convertible immediately and have no expiration date.
F4: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.
RTX Corp
Report date April 27, 2007 · Filed April 30, 2007
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 54,700 |
Reported balance
After 2007-04-27 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2007-04-27 · Exercise / conversion · Acquired 7,000 · Balance 54,700 F1: Includes shares held indirectly in a revocable trust. F2: The reporting person also indirectly owns 8,000 shares of United Technologies Restricted Common Stock held in a revocable trust. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $44.09 · Expires 2014-04-13 | Direct | 0 |
Reported balance
After 2007-04-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2007-04-27 · Exercise / conversion · Disposed 7,000 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares held indirectly in a revocable trust.
F2: The reporting person also indirectly owns 8,000 shares of United Technologies Restricted Common Stock held in a revocable trust.
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 |
|---|---|---|---|---|---|---|
| April 12, 2006 Filed Apr 17, 2006 19:05 UTC | RTX Corp UTX · Entity 2823 | GrantPhantom Stock Unit · Derivative | 4,526.4624 | $57.44 | $260,000.00 |
DisclosureSEC source: 0000101829-06-000092 · pop541.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,086.7488 Underlying: Common Stock · 4,526.4624 shares Expires not disclosed F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director. F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired by the reporting person in respect of his/her annual retainer for services as a non-employee director under a company program that provides for payment of all or a portion of the retainer in deferred stock units. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash as a lump sum or in installments, at the election of the director. Read SEC document |
| March 31, 2006 Filed Apr 4, 2006 21:44 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 223.504 | $53.13 Strike: $0.00 | $11,874.99 |
DisclosureSEC source: 0001127602-06-000748 · form4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,726.58 Underlying: Common Stock · 223.504 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. F4 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in cash following termination of service as a Director. Read SEC document |
| December 30, 2005 Filed Jan 4, 2006 19:58 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 178.69 | $51.77 | $9,250.25 |
DisclosureSEC source: 0001127602-06-000024 · form4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,469.833 Underlying: Common Stock · 178.69 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · balance_after: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. F4 · balance_after: The reported share equivalent units were acquired pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and wil l be settled in cash following termination of service as a Director. F5 · balance_after: The units shown have been adjusted to reflect the issuer's spin-off of Ameriprise Financial, Inc. on September 30, 2005. Read SEC document |
| September 30, 2005 Filed Oct 4, 2005 17:45 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 162 | $57.23 | $9,271.26 |
DisclosureSEC source: 0000004962-05-000203 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,484 Underlying: Common Shares · 162 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · shares: The units shown have not yet been adjusted to reflect the issuer's spin-off of Ameriprise Financial, Inc. on September 30, 2005. F3 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F3 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.underlying_shares: The units shown have not yet been adjusted to reflect the issuer's spin-off of Ameriprise Financial, Inc. on September 30, 2005. F2 · balance_after: The units shown have not yet been adjusted to reflect the issuer's spin-off of Ameriprise Financial, Inc. on September 30, 2005. F4 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F5 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| June 30, 2005 Filed Jul 5, 2005 15:45 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 171 | $54.17 | $9,263.75 |
DisclosureSEC source: 0000004962-05-000166 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,296 Underlying: Common Shares · 171 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| April 27, 2005 Filed Apr 29, 2005 19:11 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 2,225 | $0.00 | $0.00 |
DisclosureSEC source: 0000004962-05-000128 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,103 Underlying: Common Shares · 2,225 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. F4 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. Read SEC document |
| April 13, 2005 Filed Apr 15, 2005 20:49 UTC | RTX Corp UTX · Entity 2823 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 3,000 | $0.00 Strike: $101.05 | $0.00 |
DisclosureSEC source: 0000101829-05-000124 · pop436.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Underlying: Common Stock · 3,000 shares Expires 2015-04-12 Read SEC document |
| March 31, 2005 Filed Apr 4, 2005 18:54 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 180 | $51.50 | $9,270.72 |
DisclosureSEC source: 0000004962-05-000101 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,878 Underlying: Common Shares · 180 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| January 03, 2005 Filed Jan 4, 2005 21:53 UTC | RTX Corp UTX · Entity 2823 | GrantPhantom Stock Unit · Derivative | 1,310.6796 | $103.00 | $135,000.00 |
DisclosureSEC source: 0000101829-05-000020 · pop373.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,459.5973 Underlying: Common Stock · 1,310.6796 shares Expires not disclosed F1 · derivative.exercise_price: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| December 31, 2004 Filed Jan 4, 2005 23:25 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 164 | $56.51 | $9,266.82 |
DisclosureSEC source: 0000004962-05-000007 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,677 Underlying: Common Shares · 164 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| November 10, 2004 Filed Nov 12, 2004 16:21 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 2,500 | $0.00 Strike: $78.50 | $0.00 |
DisclosureSEC source: 0000101829-04-000253 · pop339.xml · derivative · entry 4 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500 shares Expires 2011-04-27 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. Read SEC document |
| November 10, 2004 Filed Nov 12, 2004 16:21 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000101829-04-000253 · pop339.xml · nonDerivative · entry 3 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 17,350 F1 · ownership.nature: Includes shares held indirectly in a revocable trust. Read SEC document |
| November 10, 2004 Filed Nov 12, 2004 16:21 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 2,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000101829-04-000253 · pop339.xml · nonDerivative · entry 2 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| November 10, 2004 Filed Nov 12, 2004 16:21 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 2,500 | $78.50 | $196,250.00 |
DisclosureSEC source: 0000101829-04-000253 · pop339.xml · nonDerivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 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 08, 2004 Filed Nov 10, 2004 15:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 2,000 | $0.00 Strike: $43.09 | $0.00 |
DisclosureSEC source: 0000004962-04-000213 · doc4.xml · derivative · entry 7 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common Shares · 2,000 shares Expires 2012-04-22 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. F2 · security: One half of the options exercised became exercisable on 4/22/2003, the other on 4/22/2004. Read SEC document |
| November 08, 2004 Filed Nov 10, 2004 15:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 3,000 | $0.00 Strike: $40.63 | $0.00 |
DisclosureSEC source: 0000004962-04-000213 · doc4.xml · derivative · entry 6 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 3,000 shares Expires 2011-04-22 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. F1 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| November 08, 2004 Filed Nov 10, 2004 15:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 3,000 | $0.00 Strike: $48.85 | $0.00 |
DisclosureSEC source: 0000004962-04-000213 · doc4.xml · derivative · entry 5 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 3,000 shares Expires 2010-04-23 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. F1 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| November 08, 2004 Filed Nov 10, 2004 15:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 3,000 | $48.85 | $146,562.00 |
DisclosureSEC source: 0000004962-04-000213 · doc4.xml · nonDerivative · entry 4 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Personal Trust Disclosed balance after: 32,420 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 08, 2004 Filed Nov 10, 2004 15:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 2,000 | $43.09 | $86,170.00 |
DisclosureSEC source: 0000004962-04-000213 · doc4.xml · nonDerivative · entry 3 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Personal Trust Disclosed balance after: 29,420 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 08, 2004 Filed Nov 10, 2004 15:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 3,000 | $40.63 | $121,890.00 |
DisclosureSEC source: 0000004962-04-000213 · doc4.xml · nonDerivative · entry 2 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Owned by Personal Trust Disclosed balance after: 27,420 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 30, 2004 Filed Oct 4, 2004 17:18 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 180 | $51.39 | $9,250.20 |
DisclosureSEC source: 0000004962-04-000182 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,493 Underlying: Common Shares · 180 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| June 30, 2004 Filed Jul 2, 2004 16:05 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 180 | $51.33 | $9,239.40 |
DisclosureSEC source: 0000004962-04-000154 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,294 Underlying: Common Shares · 180 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 3,000 | $0.00 Strike: $44.91 | $0.00 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · derivative · entry 9 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 3,000 shares Expires 2009-04-25 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. F1 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 3,000 | $0.00 Strike: $34.17 | $0.00 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · derivative · entry 8 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 3,000 shares Expires 2008-04-27 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. F1 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 2,001 | $0.00 Strike: $20.94 | $0.00 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · derivative · entry 7 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 2,001 shares Expires 2007-04-28 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 in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 1,002 | $0.00 Strike: $15.83 | $0.00 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · derivative · entry 6 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 1,002 shares Expires 2006-04-21 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 |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 3,000 | $44.91 | $134,718.00 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · nonDerivative · entry 4 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,611.23 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. Read SEC document |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 3,000 | $34.17 | $102,501.00 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · nonDerivative · entry 3 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,611.23 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. Read SEC document |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 2,001 | $20.94 | $41,896.94 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · nonDerivative · entry 2 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,611.23 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. Read SEC document |
| April 29, 2004 Filed Apr 30, 2004 13:55 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 1,002 | $15.83 | $15,864.67 |
DisclosureSEC source: 0000004962-04-000130 · doc4.xml · nonDerivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,610.23 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. Read SEC document |
| April 26, 2004 Filed Apr 28, 2004 17:13 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 2,225 | $0.00 | $0.00 |
DisclosureSEC source: 0000004962-04-000121 · doc4.xml · derivative · entry 3 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,099.226 Underlying: Common Shares · 2,225 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. F4 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. Read SEC document |
| April 14, 2004 Filed Apr 16, 2004 20:16 UTC | RTX Corp UTX · Entity 2823 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 3,500 | $0.00 Strike: $88.17 | $0.00 |
DisclosureSEC source: 0000101829-04-000147 · pop270.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,500 shares Expires 2014-04-13 Read SEC document |
| March 31, 2004 Filed Apr 2, 2004 20:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 182.194 | $50.77 | $9,249.99 |
DisclosureSEC source: 0000004962-04-000104 · doc4.xml · derivative · entry 3 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,874.226 Underlying: Common Shares · 182.194 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 4,000 | $0.00 Strike: $49.22 | $0.00 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · derivative · entry 8 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires 2008-04-29 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. Read SEC document |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 2,850 | $0.00 Strike: $62.19 | $0.00 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · derivative · entry 7 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,850 shares Expires 2010-04-27 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. Read SEC document |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative | 4,000 | $0.00 Strike: $72.44 | $0.00 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · derivative · entry 6 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires 2009-04-29 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. Read SEC document |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 10,850 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · nonDerivative · entry 5 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 14,850 F1 · ownership.nature: Includes shares held indirectly in a revocable trust. Read SEC document |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | GiftCommon Stock | 10,850 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · nonDerivative · entry 4 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 4,000 | $49.22 | $196,875.20 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · nonDerivative · entry 3 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,850 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 |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 2,850 | $62.19 | $177,234.38 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · nonDerivative · entry 2 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,850 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 |
| February 26, 2004 Filed Feb 27, 2004 22:13 UTC | RTX Corp UTX · Entity 2823 | Exercise / conversionCommon Stock | 4,000 | $72.44 | $289,750.00 |
DisclosureSEC source: 0001181431-04-012544 · rrd35044.xml · nonDerivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 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 02, 2004 Filed Jan 6, 2004 20:18 UTC | RTX Corp UTX · Entity 2823 | GrantPhantom Stock Unit · Derivative | 1,430.691 | $94.36 Strike: $0.00 | $135,000.00 |
DisclosureSEC source: 0000101829-04-000025 · pop210.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,936.5066 Underlying: Common Stock · 1,430.691 shares Expires not disclosed F1 · derivative.exercise_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. F1 · derivative.expiration_date: Consists of Phantom Stock Units acquired at the election of the reporting person in lieu of his/her annual retainer for services as a non-employee director under a company program that permits him/her to defer receipt of the retainer. Upon termination of services on the Board of Directors, all such Phantom Stock Units are payable in cash. Read SEC document |
| December 31, 2003 Filed Jan 5, 2004 17:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 191.79 | $48.23 | $9,250.03 |
DisclosureSEC source: 0000004962-04-000003 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,679.43 Underlying: Common Shares · 191.79 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| September 30, 2003 Filed Oct 2, 2003 22:18 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 205.28 | $45.06 | $9,249.92 |
DisclosureSEC source: 0000004962-03-000190 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,473.613 Underlying: Common Shares · 205.28 shares Expires not disclosed F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. F4 · ownership.direct: The reported share equivalent units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in ca sh following termination of service as a Director. Read SEC document |
| June 30, 2003 Filed Jul 2, 2003 18:02 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 216.22 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000004962-03-000129 · doc4.xml · derivative · entry 1 POPOFF FRANK P · CIK 0001184179 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,254.212 Underlying: Common Shares · 216.22 shares Expires 1988-08-08 F1 · derivative.exercise_price: The share equivalent units convert into common stock on a one-for-one basis. F2 · derivative.exercise_date: The share equivalent units are convertible immediately and have no expiration date. F2 · derivative.expiration_date: The share equivalent units are convertible immediately and have no expiration date. F3 · ownership.direct: The reported share equivalent units were acquired pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and wil l be settled in cash following termination of service as a Director. F4 · ownership.direct: Includes share equivalent units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. 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.