SEC Form 4 · accession 0001127602-16-039029
AMERICAN EXPRESS CO · AXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael John O'Neill
Officer — EVP, Corp Affairs & Comm
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 3:49 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 Stock | Jan 29, 2016 | A | 5,473 | $53.50 | A | 32,463 | D | |
| Common StockF3 | Jan 29, 2016 | F | 2,320 | $53.50 | D | 30,143 | D | |
| Common StockF4 | holding | — | — | — | 1,010 | I | by 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares acquired pursuant to vesting of Restricted Stock Units ("performance units") that were granted to the reporting person in January 2013 and have vested based on the Company's 2013-15 return on average equity performance.
- F2The reported disposition represents the surrender of shares to satisfy tax obligations arising from the vesting of Restricted Stock Units.
- F3Includes shares acquired pursuant to dividend reinvestment.
- F4Shares 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.