SEC Form 4 · accession 0000019617-18-000135
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd A. Combs
Director
Period of report
May 14, 2018
Accepted (ET)
May 16, 2018 · 6:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000019617
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | May 14, 2018 | P | 13,000 | $114.6075 | A | 18,277 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy)F3 | $41.696 | May 14, 2018 | S | 22,500 | D | Dec 11, 2009 | Oct 28, 2018 | Common Stock | 22,950 | 0 | D |
Explanation of responses
- F1There was no disgorgeable profits under Rule 16b-6(c)(2) from the transactions being reported on this Form 4, because the price of the common stock at the time of the sale of the warrants ($114.56) was lower than the lowest price at which the stock was purchased ($114.59).
- F2Reflects a weighted average purchase price of $114.6075, at prices ranging from $114.59 to $114.61 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3The Reporting Person sold 22,500 warrants. The amount of common shares into which these warrants are exchangeable is at an exchange rate of 1.02 (22,950 equivalent shares).