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AMERICAN EXPRESS CO — Director's Dealing 2007
Jul 12, 2007
29774_dirs_2007-07-12_8f38182e-7333-4e2d-a1d1-1dc464db1af9.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: AMERICAN EXPRESS CO (AXP)
CIK: 0000004962
Period of Report: 2007-07-02
Reporting Person: Gupta Ashwini (Pres-Risk/Info Mgmt/Banking Gp)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 122225 | Direct |
| Common Stock | 16736 | Indirect |
| Common Stock | 760 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock Units | $ | Common Stock (508) | Direct | ||
| Employee Stock Option (Right to Buy) | $38.224 | 2010-02-27 | Common Stock (68544) | Direct | |
| Employee Stock Option (Right to Buy) | $38.922 | 2011-02-25 | Common Stock (79968) | Direct | |
| Employee Stock Option (Right to Buy) | $31.941 | 2012-01-27 | Common Stock (79968) | Direct | |
| Employee Stock Option (Right to Buy) | $29.239 | 2013-01-26 | Common Stock (71971) | Direct | |
| Employee Stock Option (Right to Buy) | $39.876 | 2013-07-27 | Common Stock (19421) | Direct | |
| Employee Stock Option (Right to Buy) | $39.907 | 2013-09-30 | Common Stock (51408) | Direct | |
| Employee Stock Option (Right to Buy) | $43.977 | 2014-01-25 | Common Stock (142800) | Direct | |
| Employee Stock Option (Right to Buy) | $45.768 | 2015-01-23 | Common Stock (13709) | Direct | |
| Employee Stock Option (Right to Buy) | $45.768 | 2015-01-23 | Common Stock (114240) | Direct | |
| Employee Stock Option (Right to Buy) | $51.865 | 2016-01-22 | Common Stock (110000) | Direct | |
| Employee Stock Option (Right to Buy) | $57.77 | 2017-01-24 | Common Stock (200000) | Direct | |
| Employee Stock Option (Right to Buy) | $57.77 | 2017-01-24 | Common Stock (100000) | Direct |
Footnotes
F1: Shares held in reporting person's account under the Company's Incentive 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.
F2: The units are to be settled upon the reporting person's retirement or other termination of service.
F3: The phantom stock converts into common stock on a one-for-one basis.
F4: These shares become exercisable in three annual installments beginning on date shown as "Date Exercisable."
F5: These shares become exercisable in four annual installments beginning on date shown as "Date Exercisable."