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AMERICAN EXPRESS CO — Director's Dealing 2009
Dec 2, 2009
29774_dirs_2009-12-02_c6b45094-bbb6-47b8-bec3-ea974cb3b2fc.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: 2009-11-23
Reporting Person: Buckminster Douglas E. (Pres, Int'l Consumer & SBS)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 90512 | Direct |
| Common Stock | 11414.73 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $38.224 | 2010-02-27 | Common Stock (26732) | Direct | |
| Employee Stock Option (Right to Buy) | $41.315 | 2010-04-09 | Common Stock (4113) | Direct | |
| Employee Stock Option (Right to Buy) | $38.922 | 2011-02-25 | Common Stock (39984) | Direct | |
| Employee Stock Option (Right to Buy) | $31.941 | 2012-01-27 | Common Stock (39984) | Direct | |
| Employee Stock Option (Right to Buy) | $29.239 | 2013-01-26 | Common Stock (37128) | Direct | |
| Employee Stock Option (Right to Buy) | $43.977 | 2014-01-25 | Common Stock (37128) | Direct | |
| Employee Stock Option (Right to Buy) | $45.768 | 2015-01-23 | Common Stock (30845) | Direct | |
| Employee Stock Option (Right to Buy) | $51.865 | 2016-01-22 | Common Stock (49500) | Direct | |
| Employee Stock Option (Right to Buy) | $57.77 | 2017-01-24 | Common Stock (50000) | Direct | |
| Employee Stock Option (Right to Buy) | $58.54 | 2017-07-30 | Common Stock (50000) | Direct | |
| Employee Stock Option (Right to Buy) | $49.13 | 2018-01-30 | Common Stock (100000) | Direct | |
| Phantom Stock Units | $0 | Common Stock (203.14) | Direct |
Footnotes
F1: Shares 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.
F2: These options vested in three equal annual installments beginning on the date shown as "Date Exercisable."
F3: These shares become exercisable in four cumulative annual installments of 25% each beginning on date shown as "Date Exercisable."
F4: The units are to be settled following the reporting person's retirement or other termination of service.
F5: Includes phantom stock units acquired pursuant to a dividend reinvestment feature of the Company's Supplemental Retirement Plan.
F6: The phantom stock converts into common stock on a one-for-one basis.