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 |
|---|---|---|---|---|---|---|
| January 30, 2004 Filed Feb 2, 2004 23:32 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 68,000 | $29.30 | $1,992,536.00 |
DisclosureSEC source: 0000004962-04-000047 · doc4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,283.538 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 |
| January 27, 2004 Filed Jan 29, 2004 01:25 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 423 | $50.69 | $21,441.87 |
DisclosureSEC source: 0000004962-04-000042 · doc4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,283.538 F1 · kind: The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of a restricted s tock award. Read SEC document |
| January 26, 2004 Filed Jan 28, 2004 16:56 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee stock option (right to buy) · Derivative | 149,000 | $0.00 Strike: $50.24 | $0.00 |
DisclosureSEC source: 0000004962-04-000035 · doc4.xml · derivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,000 Underlying: Common Shares · 149,000 shares Expires 2014-01-26 F3 · derivative.exercise_date: These options will vest in four equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| January 26, 2004 Filed Jan 28, 2004 16:56 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantCommon Shares | 3,483 | $0.00 | $0.00 |
DisclosureSEC source: 0000004962-04-000035 · doc4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,706.538 F1 · ownership.direct: Restricted stock award will vest in 3 equal annual installments (1/3 on Jan. 26th of 2005, 2006 and 2007, respectively) subject t o continuous employment. Read SEC document |
| December 30, 2003 Filed Jan 28, 2004 16:56 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantPhantom Stock Units · Derivative | 59 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000004962-04-000035 · doc4.xml · derivative · entry 4 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485 Underlying: Common Shares · 59 shares Expires not disclosed F4 · derivative.exercise_price: The phantom stock converts into common stock on a one-for-one basis. F5 · date: The reported phantom stock units were acquired under the Company's Supplemental Retirement Plan on various dates during 2003 at p rices ranging from $31.59 to $48.40 per share. F5 · price: The reported phantom stock units were acquired under the Company's Supplemental Retirement Plan on various dates during 2003 at p rices ranging from $31.59 to $48.40 per share. F6 · derivative.exercise_date: The units are to be settled following the reporting person's retirement or other termination of service. F6 · derivative.expiration_date: The units are to be settled following the reporting person's retirement or other termination of service. F6 · derivative.underlying: The units are to be settled following the reporting person's retirement or other termination of service. Read SEC document |
| September 11, 2003 Filed Sep 11, 2003 20:58 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 39,400 | $0.00 Strike: $39.69 | $0.00 |
DisclosureSEC source: 0000004962-03-000165 · doc4.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 Shares · 39,400 shares Expires 2004-02-27 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 |
| September 11, 2003 Filed Sep 11, 2003 20:58 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 40,512 | $45.80 | $1,855,449.60 |
DisclosureSEC source: 0000004962-03-000165 · doc4.xml · nonDerivative · entry 3 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,028.516 Read SEC document |
| September 11, 2003 Filed Sep 11, 2003 20:58 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 39,400 | $39.69 | $1,563,707.20 |
DisclosureSEC source: 0000004962-03-000165 · doc4.xml · nonDerivative · entry 2 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,540.516 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 09, 2003 Filed Sep 11, 2003 20:58 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 1,112 | $0.00 Strike: $39.69 | $0.00 |
DisclosureSEC source: 0000004962-03-000165 · doc4.xml · derivative · entry 5 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,400 Underlying: Common Shares · 1,112 shares Expires 2004-02-27 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 |
| September 09, 2003 Filed Sep 11, 2003 20:58 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 1,112 | $39.69 | $44,133.06 |
DisclosureSEC source: 0000004962-03-000165 · doc4.xml · nonDerivative · entry 1 SCHICK THOMAS A · CIK 0001212290 · EVP-Corp. Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,140.516 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.