SEC Form 4 · accession 0001127602-15-003117
AMERICAN EXPRESS CO · AXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen J Squeri
Officer — Group Pres., Global Corp Serv
Period of report
Jan 26, 2015
Accepted (ET)
Jan 28, 2015 · 6:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000004962
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 23, 2014 | G | 4,000 | — | D | 141,206 | D | |
| Common Stock | Jan 26, 2015 | A | 38,535 | $83.30 | A | 158,698 | D | |
| Common StockF4 | Jan 26, 2015 | F | 18,129 | $83.30 | D | 140,569 | D | |
| Common StockF5 | holding | — | — | — | 113 | I | 401(k) Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported disposition represents a bona fide charitable gift made by the reporting person.
- F2Represents shares acquired pursuant to vesting of Restricted Stock Units ("performance units") that were granted to the reporting person in January 2012 and have vested based on the Company's 2012-15 return on average equity performance. Pursuant to the Company's stock ownership guidelines, the reporting person is required to hold a portion of shares received upon vesting for a period of time.
- F3The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units.
- F4The reporting person's end of period holdings reflect prior transfers of shares pursuant to a domestic relations order as well as shares acquired pursuant to dividend reinvestment.
- F5Shares held in reporting person'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.