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AMERICAN EXPRESS CO — Director's Dealing 2014
Jan 22, 2014
29774_dirs_2014-01-22_ac536625-d63b-43ae-9c3b-809954ac89ff.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: 2014-01-13
Reporting Person: Sobbott Susan (President Global Corp Payments)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20378 | Direct |
| Common Stock | 908 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $57.77 | 2017-01-24 | Common Stock (15113) | Direct | |
| Employee Stock Option (Right to Buy) | $49.13 | 2018-01-30 | Common Stock (50000) | Direct | |
| Employee Stock Option (Right to Buy) | $58.54 | 2017-07-30 | Common Stock (20000) | Direct | |
| Phantom Stock Units | $ | Common Stock (103) | 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 became exercisable in four equal annual installments beginning on date shown as "Date Exercisable."
F3: The units are to be settled following the reporting person's retirement or other termination of service.
F4: The phantom stock converts into common stock on a one-for-one basis.