SEC Form 4 · accession 0001127602-18-029175
AMERICAN EXPRESS CO · AXP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald A Williams
Director
Period of report
Sep 30, 2018
Accepted (ET)
Oct 2, 2018 · 5:27 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 UnitsF1,F3 | — | Sep 30, 2018 | A | 355 | A | — | — | Common Stock | 355 | 64,335 | D |
| Share Equivalent UnitsF5,F1,F3 | — | Sep 30, 2018 | A | 172 | A | — | — | Common Stock | 172 | 64,507 | D |
Explanation of responses
- F1Each Share Equivalent Unit reflects the value of one common share.
- F2The reported Share Equivalent Units were acquired pursuant to the Directors' Deferred Compensation Plan 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.
- F4The 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.
- F5Includes 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.