SEC Form 4 · accession 0001127602-17-002836
AMERICAN EXPRESS CO · AXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen J Squeri
Officer — Vice Chairman
Period of report
Jan 26, 2017
Accepted (ET)
Jan 30, 2017 · 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 26, 2017 | A | 15,006 | $76.89 | A | 221,737 | D | |
| Common StockF3 | Jan 26, 2017 | F | 5,893 | $76.89 | D | 215,844 | D | |
| Common StockF4 | holding | — | — | — | 117 | I | 401(k) Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares acquired pursuant to vesting of Restricted Stock Units that were granted to the reporting person in January 2015 and have vested based on the Company's positive cumulative net income over the two year performance period.
- 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.