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AMERICAN EXPRESS CO — Director's Dealing 2014
Oct 2, 2014
29774_dirs_2014-10-02_92ea054f-1d93-4a3b-ab5d-acf49902bdb6.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: 2014-09-29
Reporting Person: O'Neill Michael John (EVP, Corp Affairs & Comm)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 25061 | Direct |
| Common Stock | 989 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $57.77 | 2017-01-25 | Common Stock (16600) | Direct | |
| Employee Stock Option (Right to Buy) | $49.13 | 2018-01-31 | Common Stock (37500) | Direct | |
| Employee Stock Option (Right to Buy) | $16.71 | 2019-01-29 | Common Stock (8379) | Direct | |
| Employee Stock Option (Right to Buy) | $38.10 | 2020-01-26 | Common Stock (15749) | Direct | |
| Employee Stock Option (Right to Buy) | $44.54 | 2021-01-27 | Common Stock (13472) | Direct | |
| Employee Stock Option (Right to Buy) | $34.84 | 2019-10-30 | Common Stock (43054) | Direct | |
| Employee Stock Option (Right to Buy) | $49.23 | 2022-01-24 | Common Stock (12188) | Direct | |
| Phantom Stock Units | $ | Common Stock (635) | 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: 7,450 of these options became exercisable on January 25, 2010 and 9,150 of these options became exercisable on January 25, 2011.
F3: These options became exercisable in four equal annual installments beginning on date shown as "Date Exercisable."
F4: These options become exercisable in four equal annual installments beginning on the date shown as "Date Exercisable."
F5: The units are to be settled following the reporting person's retirement or other termination of service.
F6: The phantom stock converts into common stock on a one-for-one basis.