SEC Form 4 · accession 0001127602-18-000708
AMERICAN EXPRESS CO · AXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ursula M Burns
Director
Period of report
Dec 14, 2017
Accepted (ET)
Jan 3, 2018 · 5:03 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 StockF1 | Dec 14, 2017 | G | 4,000 | — | D | 10,481 | D | |
| Common StockF2 | holding | — | — | — | 1,852 | I | Through the Ursula Burns Irrevocable Trust FBO Malcolm Bean | |
| Common StockF3 | holding | — | — | — | 3,667 | I | Through the Ursula Burns Irrevocable Trust FBO Melissa Bean |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Share Equivalent UnitsF7,F4,F6 | — | Dec 31, 2017 | A | 316 | A | — | — | Common Stock | 316 | 69,956 | D |
Explanation of responses
- F1The reported disposition represents a bona fide charitable gift made by the reporting person.
- F2The reporting person is a trustee of the Ursula Burns Irrevocable Trust FBO Malcolm Bean.
- F3The reporting person is a trustee of the Ursula Burns Irrevocable Trust FBO Melissa Bean.
- F4Each Share Equivalent Unit reflects the value of one common share.
- F5The reported Share Equivalent Units were acquired 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.
- F6The Share Equivalent Units are convertible immediately and have no expiration date.
- F7Includes 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.