SEC Form 4 · accession 0001225208-15-001527
JPMORGAN CHASE & CO · JPM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Dimon
Officer — Chairman & CEO · Director
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 4:49 pm EST
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 StockF1 | Jan 15, 2015 | M | 600,481 | $37.47 | A | 3,662,571 | D | |
| Common StockF2 | Jan 15, 2015 | F | 514,120 | $55.555 | D | 3,148,451 | D | |
| Common Stock | holding | — | — | — | 6,881 | I | By 401(k) | |
| Common Stock | holding | — | — | — | 986,788 | I | By GRAT | |
| Common StockF3 | holding | — | — | — | 75,000 | I | By LLC | |
| Common Stock | holding | — | — | — | 1,025,045 | I | By Spouse | |
| Common Stock | holding | — | — | — | 359,955 | I | By Spouse's GRAT | |
| Common Stock | holding | — | — | — | 522,743 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF5 | $37.47 | Jan 15, 2015 | M | 600,481 | D | — | Jan 20, 2015 | Common Stock | 600,481 | 0 | D |
Explanation of responses
- F1Represents the gross number of shares underlying the Stock Appreciation Rights, without reduction as described in Note 2 below.
- F2Represents the number of shares surrendered to the company in satisfaction of tax withholding obligations, plus a number of shares equal in value to the exercise price multiplied by the number of SARs exercised.
- F3Reporting person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest.
- F4Stock Appreciation Rights (SAR) exercise pursuant to SAR Exercise Plan dated October 21, 2014.
- F5Vests in two equal annual installments beginning January 25, 2007.