Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Yum China Holdings, Inc.YUMC · Entity 1255 | Director | October 31, 2018 | November 02, 2018 |
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.
Yum China Holdings, Inc.
Report date October 31, 2018 · Filed November 02, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-10-31 · Other · Disposed 4,145 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-10-31 · Other · Disposed 1,109 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-10-31 · Other · Disposed 4,600 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-10-31 · Other · Disposed 3,443 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-10-31 · Other · Disposed 4,788 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-10-31 · Other · Disposed 3,935 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-10-31 · Other · Disposed 3,423 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-10-31 · Other · Disposed 2,957 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-10-31 · Other · Disposed 2,507 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-10-31 · Other · Disposed 2,374 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-10-31 · Other · Disposed 2,360 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-10-31 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-10-31 · Other · Disposed 2,866 · Balance 0 F1: Conversion occurs on a one-for-one basis. F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan. F2: Distribution occurs upon separation of employment. F3: This grant does not have a specified expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Conversion occurs on a one-for-one basis.
F2: Distribution occurs upon separation of employment.
F3: This grant does not have a specified expiration date.
F4: This represents shares of phantom stock held in the Yum! China Stock Fund under the Yum! Brands Executive Income Deferral ("EID") Program. The administrator of the EID Program has determined to close the Yum! China Stock Fund within the EID Program. Accordingly, all phantom shares in that fund have been disposed of and transferred into another fund under the plan.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AMERICAN EXPRESS CO
Report date December 31, 2005 · Filed February 14, 2006
Section 16 reporting ended · disclosed 2006-02-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 935 |
Reported balance
After 2005-01-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2005-01-27 · Other · Acquired 37 · Balance 935 F1: The phantom stock converts into common stock on a one-for-one basis. F3: The reported phantom stock units were acquired under the Company's Supplemental Retirement Plan on 1/27/2005, 4/22/2005, 7/28/2005, and 10/11/2005, at prices ranging from $49.18 to $55.47 per share. F2: The units are to be settled following the reporting person's retirement or other termination of service. |
Filing footnotes · ownership attribution and instrument terms
F1: The phantom stock converts into common stock on a one-for-one basis.
F2: The units are to be settled following the reporting person's retirement or other termination of service.
F3: The reported phantom stock units were acquired under the Company's Supplemental Retirement Plan on 1/27/2005, 4/22/2005, 7/28/2005, and 10/11/2005, at prices ranging from $49.18 to $55.47 per share.
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 |
|---|---|---|---|---|---|---|
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 9,000 | $54.42 | $489,780.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 11 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 663,912 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 10,000 | $54.40 | $544,000.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 10 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 672,912 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 10,000 | $54.39 | $543,900.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 9 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 682,912 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 10,500 | $54.38 | $570,990.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 8 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 692,912 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 19,500 | $54.36 | $1,060,020.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 7 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 703,412 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 8,300 | $54.35 | $451,105.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 6 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 722,912 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 1,300 | $54.34 | $70,642.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 5 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 731,212 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 400 | $54.33 | $21,732.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 4 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 732,512 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 10,900 | $54.32 | $592,088.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 3 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 732,912 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 200 | $54.31 | $10,862.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 2 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 743,812 Read SEC document |
| June 01, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 18,900 | $54.30 | $1,026,270.00 |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,012 Read SEC document |
| May 11, 2005 Filed Jun 3, 2005 13:43 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GiftCommon Shares | 475 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000004962-05-000147 · edgar.xml · nonDerivative · entry 14 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Indirect · by spouse Disclosed balance after: 34,025 F2 · price: This disposition was a bona fide gift involving no payment of consideration by the recipient of the gift. Read SEC document |
| February 28, 2005 Filed Feb 28, 2005 15:39 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 71,143 | $54.19 | $3,855,239.17 |
DisclosureSEC source: 0000004962-05-000076 · doc4.xml · nonDerivative · entry 2 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 762,912 F1 · kind: The reported disposition represents the surrender of shares to cover the cost of exercise and tax obligations arising from the ex ercise of employee stock options. Read SEC document |
| February 24, 2005 Filed Feb 28, 2005 15:39 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee stock option (right to buy) · Derivative | 73,598 | $0.00 Strike: $51.38 | $0.00 |
DisclosureSEC source: 0000004962-05-000076 · doc4.xml · derivative · entry 5 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 73,598 shares Expires 2005-02-26 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 24, 2005 Filed Feb 28, 2005 15:39 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 73,598 | $51.38 | $3,781,097.25 |
DisclosureSEC source: 0000004962-05-000076 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 834,055 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, 2005 Filed Feb 14, 2006 21:14 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | OtherPhantom Stock Units · Derivative | 37 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-06-000294 · form5.xml · derivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 935 Underlying: Common Stock · 37 shares Expires not disclosed F1 · derivative.exercise_price: The phantom stock converts into common stock on a one-for-one basis. F3 · date: The reported phantom stock units were acquired under the Company's Supplemental Retirement Plan on 1/27/2005, 4/22/2005, 7/28/2005, and 10/11/2005, at prices ranging from $49.18 to $55.47 per share. F3 · kind: The reported phantom stock units were acquired under the Company's Supplemental Retirement Plan on 1/27/2005, 4/22/2005, 7/28/2005, and 10/11/2005, at prices ranging from $49.18 to $55.47 per share. F3 · price: The reported phantom stock units were acquired under the Company's Supplemental Retirement Plan on 1/27/2005, 4/22/2005, 7/28/2005, and 10/11/2005, at prices ranging from $49.18 to $55.47 per share. F2 · derivative.exercise_date: The units are to be settled following the reporting person's retirement or other termination of service. F2 · derivative.expiration_date: The units are to be settled following the reporting person's retirement or other termination of service. Read SEC document |
| December 30, 2004 Filed Feb 11, 2005 22:34 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GiftCommon Shares | 11,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000004962-05-000058 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 760,457 Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee stock option (right to buy) · Derivative | 90,694 | $0.00 Strike: $56.07 | $0.00 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · derivative · entry 10 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,694 Underlying: Common Shares · 90,694 shares Expires 2007-02-23 F4 · kind: Employee stock options granted pursuant to a reload feature of the 1998 Incentive Compensation Plan. Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee stock option (right to buy) · Derivative | 94,949 | $0.00 Strike: $56.07 | $0.00 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · derivative · entry 9 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,949 Underlying: Common Shares · 94,949 shares Expires 2008-02-22 F4 · kind: Employee stock options granted pursuant to a reload feature of the 1998 Incentive Compensation Plan. Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 138,000 | $0.00 Strike: $29.30 | $0.00 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · derivative · entry 8 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 138,000 shares Expires 2008-02-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $22.15 | $0.00 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · derivative · entry 7 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 150,000 shares Expires 2007-02-23 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. F3 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 94,949 | $56.07 | $5,323,315.69 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · nonDerivative · entry 4 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 771,957 F1 · kind: The reported disposition represents the surrender of shares to cover the cost of exercise and tax obligations arising from the ex ercise of employee stock options. Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 90,694 | $56.07 | $5,084,759.11 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · nonDerivative · entry 3 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 866,906 F1 · kind: The reported disposition represents the surrender of shares to cover the cost of exercise and tax obligations arising from the ex ercise of employee stock options. Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 138,000 | $29.30 | $4,043,676.00 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · nonDerivative · entry 2 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 957,600 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 20, 2004 Filed Dec 22, 2004 19:47 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 150,000 | $22.15 | $3,321,900.00 |
DisclosureSEC source: 0000004962-04-000242 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 819,600 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 03, 2004 Filed Nov 5, 2004 16:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee stock option (right to buy) · Derivative | 79,727 | $0.00 Strike: $54.46 | $0.00 |
DisclosureSEC source: 0000004962-04-000196 · doc4.xml · derivative · entry 6 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,727 Underlying: Common Shares · 79,727 shares Expires 2006-02-25 Read SEC document |
| November 03, 2004 Filed Nov 5, 2004 16:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $15.42 | $0.00 |
DisclosureSEC source: 0000004962-04-000196 · doc4.xml · derivative · entry 5 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 150,000 shares Expires 2006-02-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| November 03, 2004 Filed Nov 5, 2004 16:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 79,727 | $54.46 | $4,341,533.79 |
DisclosureSEC source: 0000004962-04-000196 · doc4.xml · nonDerivative · entry 2 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 669,600 Read SEC document |
| November 03, 2004 Filed Nov 5, 2004 16:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 150,000 | $15.42 | $2,312,550.00 |
DisclosureSEC source: 0000004962-04-000196 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 749,327 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 18, 2004 Filed Mar 22, 2004 19:20 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee stock option (right to buy) · Derivative | 73,598 | $0.00 Strike: $51.38 | $0.00 |
DisclosureSEC source: 0000004962-04-000092 · doc4.xml · derivative · entry 7 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,598 Underlying: Common Shares · 73,598 shares Expires 2005-02-26 Read SEC document |
| March 18, 2004 Filed Mar 22, 2004 19:20 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $11.33 | $0.00 |
DisclosureSEC source: 0000004962-04-000092 · doc4.xml · derivative · entry 6 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 150,000 shares Expires 2005-02-26 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. F3 · derivative.exercise_date: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| March 18, 2004 Filed Mar 22, 2004 19:20 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 73,598 | $51.38 | $3,781,097.25 |
DisclosureSEC source: 0000004962-04-000092 · doc4.xml · nonDerivative · entry 2 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 590,305 F1 · kind: The reported disposition represents the surrender of shares to cover the cost of exercise and tax obligations arising from the ex ercise of employee stock options. Read SEC document |
| March 18, 2004 Filed Mar 22, 2004 19:20 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 150,000 | $11.33 | $1,699,950.00 |
DisclosureSEC source: 0000004962-04-000092 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 663,903 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 30, 2004 Filed Feb 3, 2004 21:51 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 92,553 | $0.00 Strike: $41.36 | $0.00 |
DisclosureSEC source: 0000004962-04-000060 · doc4.xml · derivative · entry 6 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 92,553 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 |
| January 30, 2004 Filed Feb 3, 2004 21:51 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 80,774 | $51.36 | $4,148,148.77 |
DisclosureSEC source: 0000004962-04-000060 · doc4.xml · nonDerivative · entry 2 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 513,903 Read SEC document |
| January 30, 2004 Filed Feb 3, 2004 21:51 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 92,553 | $41.36 | $3,827,529.32 |
DisclosureSEC source: 0000004962-04-000060 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 594,677 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, 2004 Filed Jan 28, 2004 13:38 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee stock option (right to buy) · Derivative | 70,000 | $0.00 Strike: $50.24 | $0.00 |
DisclosureSEC source: 0000004962-04-000025 · doc4.xml · derivative · entry 6 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Shares · 70,000 shares Expires 2014-01-26 F2 · derivative.exercise_date: These options will vest in four equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| December 30, 2003 Filed Jan 28, 2004 13:38 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantPhantom Stock Units · Derivative | 91 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000004962-04-000025 · doc4.xml · derivative · entry 7 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 853 Underlying: Common Shares · 91 shares Expires not disclosed F3 · derivative.exercise_price: The phantom stock converts into common stock on a one-for-one basis. F4 · 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. F4 · 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. F5 · derivative.exercise_date: The units are to be settled following the reporting person's retirement or other termination of service. F5 · derivative.expiration_date: The units are to be settled following the reporting person's retirement or other termination of service. F5 · derivative.underlying: The units are to be settled following the reporting person's retirement or other termination of service. Read SEC document |
| December 22, 2003 Filed Jan 28, 2004 13:38 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GiftCommon Shares | 8,255 | $0.00 | $0.00 |
DisclosureSEC source: 0000004962-04-000025 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,673 Read SEC document |
| May 30, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 10,000 | $42.12 | $421,200.00 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · nonDerivative · entry 7 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 485,928 Read SEC document |
| May 30, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 20,000 | $42.10 | $842,000.00 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · nonDerivative · entry 6 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 495,928 Read SEC document |
| May 30, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 4,400 | $42.05 | $185,020.00 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · nonDerivative · entry 5 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 515,928 Read SEC document |
| May 30, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 3,000 | $42.02 | $126,060.00 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · nonDerivative · entry 4 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 520,328 Read SEC document |
| May 30, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | SaleCommon Shares | 47,600 | $42.00 | $1,999,200.00 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · nonDerivative · entry 3 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523,328 Read SEC document |
| May 29, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionEmployee Stock Options (right to buy) with tandem SAR · Derivative | 188,169 | $0.00 Strike: $8.62 | $0.00 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · derivative · entry 8 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 188,169 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. F3 · ownership.direct: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable." Read SEC document |
| May 29, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Tax withholdingCommon Shares | 92,553 | $41.36 | $3,827,529.32 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · nonDerivative · entry 2 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 570,928 Read SEC document |
| May 29, 2003 Filed May 30, 2003 19:09 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | Exercise / conversionCommon Shares | 188,169 | $8.62 | $1,622,581.29 |
DisclosureSEC source: 0000004962-03-000100 · doc4.xml · nonDerivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 663,481 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 · ownership.direct: Mr. Linen also owns the following shares indirectly: 23,915 shares held in a GRAT; 9,558 shares held in a second GRAT; and 34,500 shares held by his spouse. F2 · ownership.direct: As of May 29, 2003, 45,287 shares were held in Mr. Linen's account under the Company's Incentive Savings Plan. This plan uses unit accounting, and the number of shares that a participant is deemed to hold varies with the unit price of the Company pooled stock fund. Read SEC document |
| May 29, 2003 Filed May 30, 2003 19:25 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantEmployee Stock Option (right to buy) · Derivative | 92,553 | $0.00 Strike: $41.36 | $0.00 |
DisclosureSEC source: 0000004962-03-000102 · doc4.xml · derivative · entry 1 LINEN JONATHAN S · CIK 0001188723 · Member, Global Leadership Team 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,553 Underlying: Common Shares · 92,553 shares Expires 2004-02-27 F1 · ownership.direct: Employee stock options granted pursuant to a reload feature of the 1998 Incentive Compensation Plan. 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.