Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERICAN EXPRESS COAXP · Entity 2839 | EVP-Corp. Affairs | February 28, 2014 | February 28, 2014 |
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 February 28, 2014 · Filed February 28, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 37,954.537 |
Ending reported balance
After 2014-02-28 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2014-02-28 · Exercise / conversion · Acquired 115,000 · Balance 152,954.537 Row 2 · 2014-02-28 · Exercise / conversion · Acquired 115,000 · Balance 267,954.537 Row 3 · 2014-02-28 · Sale · Disposed 208,840 · Balance 59,114.537 F1: 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 and the sale of 50% of the net shares acquired from this exercise; the reporting person will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.01 to $91.64. 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. Row 4 · 2014-02-28 · Sale · Disposed 21,160 · Balance 37,954.537 F3: The reported disposition represents the sale of shares acquired from previous restricted stock vestings, stock option exercises and/or dividend reinvestment. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.02 to $91.18. 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. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $57.77 · Expires 2017-01-24 | Direct | 0 |
Reported balance
After 2014-02-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2014-02-28 · Exercise / conversion · Disposed 115,000 · Balance 0 F6: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $49.13 · Expires 2018-01-30 | Direct | 0 |
Reported balance
After 2014-02-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2014-02-28 · Exercise / conversion · Disposed 115,000 · Balance 0 F6: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 1,115 |
Reported balance
Holding disclosure · report date 2014-02-28 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,115 F5: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 and the sale of 50% of the net shares acquired from this exercise; the reporting person will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.01 to $91.64. 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.
F3: The reported disposition represents the sale of shares acquired from previous restricted stock vestings, stock option exercises and/or dividend reinvestment.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.02 to $91.18. 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.
F5: 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.
F6: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable."
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 |
|---|---|---|---|---|---|---|
| February 28, 2014 Filed Feb 28, 2014 21:36 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: 0001127602-14-009262 · form4.xml · derivative · entry 7 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 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. F6 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| February 28, 2014 Filed Feb 28, 2014 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $57.77 | $0.00 |
DisclosureSEC source: 0001127602-14-009262 · form4.xml · derivative · entry 6 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 115,000 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. F6 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| February 28, 2014 Filed Feb 28, 2014 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 21,160 | $91.08 | $1,927,193.55 |
DisclosureSEC source: 0001127602-14-009262 · form4.xml · nonDerivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,954.537 F3 · kind: The reported disposition represents the sale of shares acquired from previous restricted stock vestings, stock option exercises and/or dividend reinvestment. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.02 to $91.18. 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 |
| February 28, 2014 Filed Feb 28, 2014 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 208,840 | $91.26 | $19,059,511.11 |
DisclosureSEC source: 0001127602-14-009262 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,114.537 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 and the sale of 50% of the net shares acquired from this exercise; the reporting person 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 $91.01 to $91.64. 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 |
| February 28, 2014 Filed Feb 28, 2014 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 115,000 | $49.13 | $5,649,950.00 |
DisclosureSEC source: 0001127602-14-009262 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,954.537 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 28, 2014 Filed Feb 28, 2014 21:36 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 115,000 | $57.77 | $6,643,550.00 |
DisclosureSEC source: 0001127602-14-009262 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,954.537 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, 2014 Filed Jan 29, 2014 21:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 1,695 | $85.72 | $145,295.40 |
DisclosureSEC source: 0001127602-14-003330 · form4.xml · nonDerivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,954.537 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 21:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 3,035 | $85.72 | $260,160.20 |
DisclosureSEC source: 0001127602-14-003330 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,649.537 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 |
| January 27, 2014 Filed Jan 29, 2014 21:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 8,681 | $85.72 | $744,135.32 |
DisclosureSEC source: 0001127602-14-003330 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,614.537 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 21:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 15,550 | $85.72 | $1,332,946.00 |
DisclosureSEC source: 0001127602-14-003330 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,295.537 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 |
| April 19, 2013 Filed Apr 19, 2013 21:53 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $51.87 | $0.00 |
DisclosureSEC source: 0001127602-13-014237 · form4.xml · derivative · entry 5 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 115,000 shares Expires 2016-01-23 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 |
| April 19, 2013 Filed Apr 19, 2013 21:53 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 5,146 | $65.40 | $336,548.40 |
DisclosureSEC source: 0001127602-13-014237 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,745.537 F2 · kind: The reported disposition represents the sale of shares acquired from restricted stock vestings and/or stock option exercises in prior years. Read SEC document |
| April 19, 2013 Filed Apr 19, 2013 21:53 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 109,854 | $65.40 | $7,184,451.60 |
DisclosureSEC source: 0001127602-13-014237 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,891.537 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 and the sale of 50% of the net shares acquired from this exercise; the reporting person will retain the balance of the net shares in accordance with the Company's retention guidelines for executive officers. Read SEC document |
| April 19, 2013 Filed Apr 19, 2013 21:53 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 115,000 | $51.87 | $5,964,475.00 |
DisclosureSEC source: 0001127602-13-014237 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,745.537 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 04, 2013 Filed Feb 7, 2013 00:13 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 12,139 | $0.00 Strike: $38.10 | $0.00 |
DisclosureSEC source: 0001127602-13-004558 · form4.xml · derivative · entry 7 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,139 Underlying: Common Stock · 12,139 shares Expires 2020-01-26 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. Read SEC document |
| February 04, 2013 Filed Feb 7, 2013 00:13 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 44,884 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001127602-13-004558 · form4.xml · derivative · entry 6 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 44,884 shares Expires 2019-01-28 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. Read SEC document |
| February 04, 2013 Filed Feb 7, 2013 00:13 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 14,550 | $59.26 | $862,160.25 |
DisclosureSEC source: 0001127602-13-004558 · form4.xml · nonDerivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,745.537 F3 · kind: The reported disposition represents the sale of shares acquired from previous restricted stock vestings, stock option exercises and/or dividend reinvestment. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.25 to $59.255. 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 |
| February 04, 2013 Filed Feb 7, 2013 00:13 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 55,408 | $59.26 | $3,283,406.05 |
DisclosureSEC source: 0001127602-13-004558 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,295.537 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 and the sale of 50% of the net shares acquired from this exercise, along with 50% of the net shares from the vesting of restricted stock units; the reporting person 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 $59.21 to $59.31. 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 |
| February 04, 2013 Filed Feb 7, 2013 00:13 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 12,139 | $38.10 | $462,495.90 |
DisclosureSEC source: 0001127602-13-004558 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,703.537 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 04, 2013 Filed Feb 7, 2013 00:13 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 44,884 | $16.71 | $750,011.64 |
DisclosureSEC source: 0001127602-13-004558 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,564.537 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 01:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 14,651 | $59.07 | $865,434.57 |
DisclosureSEC source: 0001127602-13-003276 · form4.xml · nonDerivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,680.537 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 01:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 26,246 | $59.07 | $1,550,351.22 |
DisclosureSEC source: 0001127602-13-003276 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,331.537 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 01:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 1,695 | $59.07 | $100,123.65 |
DisclosureSEC source: 0001127602-13-003276 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,085.537 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 01:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 3,035 | $59.07 | $179,277.45 |
DisclosureSEC source: 0001127602-13-003276 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,780.537 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 22, 2013 Filed Jan 23, 2013 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 24,278 | $0.00 Strike: $38.10 | $0.00 |
DisclosureSEC source: 0001127602-13-002435 · form4.xml · derivative · entry 7 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,278 Underlying: Common Stock · 24,278 shares Expires 2020-01-26 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. F8 · derivative.exercise_date: 12,139 of the options exercised became exercisable on 1/26/2011; the balance became exercisable on 1/26/2012. Read SEC document |
| January 22, 2013 Filed Jan 23, 2013 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 131,376 | $0.00 Strike: $45.77 | $0.00 |
DisclosureSEC source: 0001127602-13-002435 · form4.xml · derivative · entry 6 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 131,376 shares Expires 2015-01-24 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. F7 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| January 22, 2013 Filed Jan 23, 2013 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 44,939 | $59.49 | $2,673,430.10 |
DisclosureSEC source: 0001127602-13-002435 · form4.xml · nonDerivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,745.537 F3 · kind: The reported disposition represents the sale of shares acquired from previous restricted stock vestings, stock option exercises and/or dividend reinvestment. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.19 to $59.83. 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. F5 · balance_after: Includes shares acquired pursuant to dividend reinvestment. Read SEC document |
| January 22, 2013 Filed Jan 23, 2013 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 145,715 | $59.62 | $8,687,178.58 |
DisclosureSEC source: 0001127602-13-002435 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,684.537 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 and the sale of 50% of the net shares acquired from these exercises; Mr. Schick 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 $59.37 to $59.82. 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 |
| January 22, 2013 Filed Jan 23, 2013 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 24,278 | $38.10 | $924,991.80 |
DisclosureSEC source: 0001127602-13-002435 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,399.537 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 22, 2013 Filed Jan 23, 2013 22:07 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 131,376 | $45.77 | $6,012,816.77 |
DisclosureSEC source: 0001127602-13-002435 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,121.537 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 29, 2012 Filed Feb 29, 2012 22:37 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 44,883 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001127602-12-008738 · form4.xml · derivative · entry 7 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,884 Underlying: Common Stock · 44,883 shares Expires 2019-01-28 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. Read SEC document |
| February 29, 2012 Filed Feb 29, 2012 22:37 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 170,218 | $0.00 Strike: $43.98 | $0.00 |
DisclosureSEC source: 0001127602-12-008738 · form4.xml · derivative · entry 6 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 170,218 shares Expires 2014-01-26 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. F6 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| February 29, 2012 Filed Feb 29, 2012 22:37 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 35,377 | $53.52 | $1,893,323.97 |
DisclosureSEC source: 0001127602-12-008738 · form4.xml · nonDerivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,405.7025 F3 · kind: The reported disposition represents the sale of shares acquired from restricted stock vestings and/or stock option exercises in prior years. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.43 to $53.64. 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 |
| February 29, 2012 Filed Feb 29, 2012 22:37 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 199,724 | $53.39 | $10,662,605.27 |
DisclosureSEC source: 0001127602-12-008738 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,782.7025 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.00 to $53.82. 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 |
| February 29, 2012 Filed Feb 29, 2012 22:37 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 44,883 | $16.71 | $749,994.93 |
DisclosureSEC source: 0001127602-12-008738 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,506.7025 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 29, 2012 Filed Feb 29, 2012 22:37 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 170,218 | $43.98 | $7,485,676.99 |
DisclosureSEC source: 0001127602-12-008738 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,623.7025 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 23:44 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 1,224 | $49.98 | $61,175.52 |
DisclosureSEC source: 0001127602-12-003068 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,405.7025 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 23:44 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 3,035 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-12-003068 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,629.7025 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 22:25 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 13,870 | $0.00 Strike: $49.23 | $0.00 |
DisclosureSEC source: 0001127602-12-002636 · form4.xml · derivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,870 Underlying: Common Stock · 13,870 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 |
| May 04, 2011 Filed May 6, 2011 20:45 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 89,766 | $0.00 Strike: $16.71 | $0.00 |
DisclosureSEC source: 0001127602-11-015433 · form4.xml · derivative · entry 5 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,767 Underlying: Common Stock · 89,766 shares Expires 2019-01-28 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. F4 · derivative.exercise_date: These shares became exercisable in two equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| May 04, 2011 Filed May 6, 2011 20:45 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 14,786 | $49.71 | $735,050.50 |
DisclosureSEC source: 0001127602-11-015433 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,594.7025 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.67 to $49.75. 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 04, 2011 Filed May 6, 2011 20:45 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 74,980 | $49.71 | $3,727,450.75 |
DisclosureSEC source: 0001127602-11-015433 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,380.7025 F1 · shares: Of the 89,766 shares acquired pursuant to the employee stock option exercise reported above, approximately 60,194 shares were sold to cover the cost of exercise and withholding taxes. Mr. Schick 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 $49.67 to $49.75. 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 04, 2011 Filed May 6, 2011 20:45 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 89,766 | $16.71 | $1,499,989.86 |
DisclosureSEC source: 0001127602-11-015433 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,360.7025 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 08, 2011 Filed Feb 8, 2011 22:26 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 170,218 | $0.00 Strike: $29.24 | $0.00 |
DisclosureSEC source: 0001127602-11-004417 · form4.xml · derivative · entry 5 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 170,218 shares Expires 2013-01-27 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. F5 · derivative.exercise_date: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable." Read SEC document |
| February 08, 2011 Filed Feb 8, 2011 22:26 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 14,764 | $45.08 | $665,536.02 |
DisclosureSEC source: 0001127602-11-004417 · form4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,594.7025 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.15. 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. F3 · balance_after: Includes shares acquired pursuant to dividend reinvestment. Read SEC document |
| February 08, 2011 Filed Feb 8, 2011 22:26 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Stock | 155,454 | $45.08 | $7,007,602.05 |
DisclosureSEC source: 0001127602-11-004417 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,358.7025 F1 · shares: Of the 170,218 shares acquired pursuant to the employee stock option exercise reported above, approximately 140,691 shares were sold to cover the cost of exercise and withholding taxes. Mr. Schick 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 $45.00 to $45.15. 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 |
| February 08, 2011 Filed Feb 8, 2011 22:26 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Stock | 170,218 | $29.24 | $4,977,004.10 |
DisclosureSEC source: 0001127602-11-004417 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,812.7025 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 29, 2011 00:27 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (Right to Buy) · Derivative | 15,246 | $0.00 Strike: $44.54 | $0.00 |
DisclosureSEC source: 0001127602-11-002759 · form4.xml · derivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,246 Underlying: Common Stock · 15,246 shares Expires 2021-01-27 F5 · 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 29, 2011 00:27 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Stock | 1,295 | $44.46 | $57,575.70 |
DisclosureSEC source: 0001127602-11-002759 · form4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,262.95 F2 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units. F3 · balance_after: Includes shares acquired pursuant to dividend reinvestment. Read SEC document |
| January 26, 2011 Filed Jan 29, 2011 00:27 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Stock | 3,034 | $44.46 | $134,891.64 |
DisclosureSEC source: 0001127602-11-002759 · form4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,557.95 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.