SEC Form 4 · accession 0001127602-17-003164

AMERICAN EXPRESS CO · AXP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, Chief Financial Officer

Period of report

Jul 31, 2016

Accepted (ET)

Jan 31, 2017 · 5:27 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 28, 2017	A	21,008	$76.85	A	83,077	D
Common Stock^F3	Jan 28, 2017	F	9,855	$76.85	D	73,222	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)	$73.77	Jul 31, 2016	A	49,785	A	Jul 31, 2016	Jul 31, 2023	Common Stock	49,785	49,785	D
Employee Stock Option (Right to Buy)	$86.64	Jan 28, 2017	A	21,008	A	Jan 28, 2017	Jan 28, 2024	Common Stock	21,008	21,008	D

F1Represents shares acquired pursuant to vesting of Restricted Stock Units ("performance units") that were granted to the reporting person in January 2014 and have vested based on the Company's 2014-16 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.
F4The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in July 2013. These options became exercisable on July 31, 2016 based on the Company's positive cumulative net income over the three year performance period.
F5The reported acquisition represents the vesting of Stock Options that were granted to the reporting person in January 2014. These options became exercisable on January 28, 2017 based on the Company's positive cumulative net income over the three year performance period.