SEC Form 4 · accession 0001127602-16-064007
AMERICAN EXPRESS CO · AXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Vasella
Director
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 4:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000004962
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Share Equivalent UnitsF4,F1,F3 | — | Sep 30, 2016 | A | 625 | A | — | — | Common Stock | 625 | 17,473 | D |
Explanation of responses
- F1The Share Equivalent Units convert into common stock on a one-for-one basis.
- F2The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director.
- F3The Share Equivalent Units are convertible immediately and have no expiration date.
- F4Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.