SEC Form 4 · accession 0001127602-15-011470
AMERICAN EXPRESS CO · AXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ashwini Gupta
Officer — Pres-Risk/Info Mgmt & AXP CRO
Period of report
Mar 12, 2015
Accepted (ET)
Mar 16, 2015 · 5:56 pm EDT
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 Stock | Mar 12, 2015 | I | 60 | $81.56 | D | 0 | I | by 401(k) Trust |
| Common Stock | holding | — | — | — | 113,175 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF1,F2 | — | Mar 12, 2015 | I | 580 | D | — | — | Common Stock | 580 | 0 | D |
Explanation of responses
- F1The phantom stock units will convert into common stock equivalents on a one-for-one basis at settlement, upon the reporting person's retirement or other termination of service.
- F2The units are to be settled in cash based on the Company's stock price at settlement.